15 Dec 2015 15:19
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the “Code”)
| 1. | KEY INFORMATION | ||||||||||||||
| (a) | Full name of discloser: | Wellington Management Group LLP | |||||||||||||
| (b) | Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named. | ||||||||||||||
| (c) | Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Royal Dutch Shell plc | |||||||||||||
| (d) | If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree: | ||||||||||||||
| (e) | Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure | 14 December 2015 | |||||||||||||
| (f) | In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state “N/A” | YES BG Group plc | |||||||||||||
| 2. | POSITIONS OF THE PERSON MAKING THE DISCLOSURE | ||||||||||||||
| (a) | Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any) | ||||||||||||||
| Class of relevant security: | A Shares (GB00B03MLX29) – 3,191,665 Depository Receipts (US7802592060) – 8,979,185 (representing 17,958,370 shares on a converted basis) | ||||||||||||||
| Interests | Short Positions | ||||||||||||||
| Number | % | Number | % | ||||||||||||
| (1) | Relevant securities owned and/or controlled: | 21,150,035 | 0.54 % | 1,484 | 0.00 % | ||||||||||
| (2) | Cash-settled derivatives: | ||||||||||||||
| (3) | Stock-settled derivatives (including options) and agreements to purchase/sell: | ||||||||||||||
| Total | 21,150,035 * | 0.54 % | 1,484 | 0.00 % | |||||||||||
| *Wellington Management Group LLP does not have discretion regarding voting decisions in respect of 16,894,101 shares that are included in the total above. | |||||||||||||||
| Class of relevant security: | B Shares (GB00B03MM408) – 26,391,182 Depository Receipts (US7802591070) – 31,937 (representing 63,874 shares on a converted basis) | ||||||||||||||
| Interests | Short Positions | ||||||||||||||
| Number | % | Number | % | ||||||||||||
| (1) | Relevant securities owned and/or controlled: | 26,455,056 | 1.08 % | 518 | 0.00 % | ||||||||||
| (2) | Cash-settled derivatives: | ||||||||||||||
| (3) | Stock-settled derivatives (including options) and agreements to purchase/sell: | 4,276 | 0.00 % | ||||||||||||
| Total | 26,459,332 * | 1.08 % | 518 | 0.00 % | |||||||||||
| *Wellington Management Group LLP does not have discretion regarding voting decisions in respect of 20,332,536 shares that are included in the total above. | |||||||||||||||
| (b) | Rights to subscribe for new securities (including directors’ and other executive options) | ||||||||||||||
| Class of relevant security in relation to which subscription right exists: | |||||||||||||||
| Details, including nature of the rights concerned and relevant percentages: | |||||||||||||||
| 3. | DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE | |||||||||||||||||||||||||||||||||
| (a) | Purchases and sales | |||||||||||||||||||||||||||||||||
| Class of relevant security | Purchase/sale | Number of securities | Price per unit | |||||||||||||||||||||||||||||||
| A Shares (GB00B03MLX29) | Purchase | 2,579 | 14.1850 GBP | |||||||||||||||||||||||||||||||
| A Shares (GB00B03MLX29) | Sale | 36,769 | 14.1850 GBP | |||||||||||||||||||||||||||||||
| A Shares (GB00B03MLX29) | Purchase | 57,653 Depository Receipts (representing 115,306 shares on a converted basis) | 43.8889 USD | |||||||||||||||||||||||||||||||
| A Shares (GB00B03MLX29) | Purchase | 6,736 Depository Receipts (representing 13,472 shares on a converted basis) | 43.4267 USD | |||||||||||||||||||||||||||||||
| A Shares (GB00B03MLX29) | Sale | 5,882 Depository Receipts (representing 11,764 shares on a converted basis) | 43.9500 USD | |||||||||||||||||||||||||||||||
| B Shares (GB00B03MM408) | Purchase | 824,611 | 14.4451 GBP | |||||||||||||||||||||||||||||||
| B Shares (GB00B03MM408) | Purchase | 100,000 | 14.4946 GBP | |||||||||||||||||||||||||||||||
| B Shares (GB00B03MM408) | Sale | 114,608 | 14.2800 GBP | |||||||||||||||||||||||||||||||
| B Shares (GB00B03MM408) | Sale | 1,119 Depository Receipts (representing 2,238 shares on a converted basis) | 44.3800 USD | |||||||||||||||||||||||||||||||
| (b) | Cash-settled derivative transactions | |||||||||||||||||||||||||||||||||
| Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit | ||||||||||||||||||||||||||||||
| (c) | Stock-settled derivative transactions (including options) | |||||||||||||||||||||||||||||||||
| (i) | Writing, selling, purchasing or varying | |||||||||||||||||||||||||||||||||
| Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit | |||||||||||||||||||||||||||
| (ii) | Exercise | |||||||||||||||||||||||||||||||||
| Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit | ||||||||||||||||||||||||||||||
| (d) | Other dealings (including subscribing for new securities) | |||||||||||||||||||||||||||||||||
| Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) | |||||||||||||||||||||||||||||||
| 4. | OTHER INFORMATION | |||
| (a) | Indemnity and other dealing arrangements | |||
| Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer: Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none” | ||||
| None | ||||
| (b) | Agreements, arrangements or understandings relating to options or derivatives | |||
| Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person relating to: (i) the voting rights of any relevant securities under any option; or (ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state “none” | ||||
| None | ||||
| (c) | Attachments | |||
| Is a Supplemental Form 8 (Open Positions) attached? | YES | |||
| Date of disclosure | 15 December 2015 | |||
| Contact name | Mark O’Brien | |||
| Telephone number | 44-20-7126-6310 | |||
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel?s website at www.thetakeoverpanel.org.uk.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS,
AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the “Code”)
| 1. | KEY INFORMATION | |||||||||||||||
| Full name of person making disclosure: | Wellington Management Group LLP | |||||||||||||||
| Name of offeror/offeree in relation to whose relevant securities the disclosure relates: | Royal Dutch Shell plc | |||||||||||||||
| 2. | STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS) | |||||||||||||||
| Class of relevant security | Product description e.g. call option | Written or purchased | Number of securities to which option or derivative relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | ||||||||||
| B Shares (GB00B03MM408) | Equity Call Option | Purchased | 2,138 | 65.0000USD | American | 15 Jan 16 | ||||||||||
| B Shares (GB00B03MM408) | Equity Put Option | Written | 2,138 | 50.0000USD | American | 15 Jan 16 | ||||||||||
| 3. | AGREEMENTS TO PURCHASE OR SELL ETC. | |||||||||||||||
| Full details should be given so that the nature of the interest or position can be fully understood: | ||||||||||||||||
| None | ||||||||||||||||
It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives
The currency of all prices and other monetary amounts should be stated.
monitoring@disclosure.org.uk. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel?s website at www.thetakeoverpanel.org.uk.
View source version on businesswire.com: http://www.businesswire.com/news/home/20151215006181/en/
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