Threadneedle Asset Mangmt Hldgs Ltd Form 8.3 - Royal Dutch Shell Plc (9737O)
February 12 2016 - 9:10AM
UK Regulatory
TIDMRDSA TIDMBG.
RNS Number : 9737O
Threadneedle Asset Mangmt Hldgs Ltd
12 February 2016
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: Threadneedle Asset Management Holdings Ltd (on behalf of
affiliate companies that carry on
the business of fund and portfolio management)
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(b) Owner or controller of interests and short positions Ameriprise Financial, Inc. ultimate parent company of
disclosed, if different from 1(a): Threadneedle Asset Management Holdings
The naming of nominee or vehicle companies is Ltd and affiliated companies.
insufficient. For a trust, the trustee(s),
settlor and beneficiaries must be named.
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(c) Name of offeror/offeree in relation to whose relevant Royal Dutch Shell Plc
securities this form relates:
Use a separate form for each offeror/offeree
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(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity
of offeror/offeree:
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(e) Date position held/dealing undertaken: 11/02/2016
For an opening position disclosure, state the latest
practicable date prior to the disclosure
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(f) In addition to the company in 1(c) above, is the BG Group Plc
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"
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2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in
more than one class of relevant securities of the offeror or
offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for
each additional class of relevant security.
(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 Ord EUR 0.07
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Interests Short positions
--------------------------------------------------------------------------- --------------------- ------------------
Number % Number %
--------------------------------------------------------------------------- ------------ ------- ------------- ---
(1) Relevant securities owned and/or controlled: 20,548,738* 0.515%
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(2) Cash-settled derivatives:
--------------------------------------------------------------------------- ------------ ------- ------------- ---
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
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TOTAL: 20,548,738* 0.515%
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*The change in the holding of 366 shares since the last
disclosure, (RNS Number 8351O) is due to the transfer in of a
discretionary holding.
Class of relevant security: B Ord EUR 0.07
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Interests Short positions
--------------------------------------------------------------------------- --------------------- ------------------
Number % Number %
--------------------------------------------------------------------------- ------------ ------- ------------- ---
(1) Relevant securities owned and/or controlled: 42,998,471* 1.762%
--------------------------------------------------------------------------- ------------ ------- ------------- ---
(2) Cash-settled derivatives:
--------------------------------------------------------------------------- ------------ ------- ------------- ---
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
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TOTAL: 42,998,471* 1.762%
--------------------------------------------------------------------------- ------------ ------- ------------- ---
*The change in the holding of 172 shares since the last
disclosure, (RNS Number 8351O) is due to the transfer in of a
discretionary holding.
Details of any open stock-settled derivative positions
(including traded options), or agreements to purchase or sell
relevant securities, should be given on a Supplemental Form 8 (Open
Positions).
(b) Rights to subscribe for new securities (including directors' and other employee options)
Class of relevant security in relation to which subscription right exists:
----------------------------------------------------------------------------
Details, including nature of the rights concerned and relevant percentages:
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3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of
relevant securities of the offeror or offeree named in 1(c), copy
table 3(a), (b), (c) or (d) (as appropriate) for each additional
class of relevant security dealt in.
The currency of all prices and other monetary amounts should be
stated.
(a) Purchases and sales
Class of relevant security Purchase/sale Number of securities Price per unit
--------------------------- -------------- -------------------------------------- ---------------
A Ord EUR 0.07 Purchase 808,439 GBP 14.55
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A ADR USD Purchase 19 (Representing 38 Ordinary Shares) USD 41.99
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A ADR USD Purchase 50 (Representing 100 Ordinary Shares) USD 42.12
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A ADR USD Sale 45 (Representing 90 Ordinary Shares) USD 42.32
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Class of relevant security Purchase/sale Number of securities Price per unit
--------------------------- -------------- --------------------- ---------------
B Ord EUR 0.07 Purchase 26,707 GBP 14.39
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(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
------------------------- -------------------- ------------------------- ------------------------- ---------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
------------- ------------- ------------- ------------- -------------- ------------- ------------ -------------
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
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