Form 8.3 - SHIRE PLC

LONDON--()--

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:   Barclays PLC.
     
(b) Owner or controller of interest and short
  positions disclosed, if different from 1(a):  
(c) Name of offeror/offeree in relation to whose SHIRE PLC
  relevant securities this form relates:  
(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: 02 April 2018
(f) In addition to the company in 1(c) above, is the discloser making YES:
  disclosures in respect of any other party to the offer? TAKEDA PHARMACEUTICAL CO LTD

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:       5p ordinary            
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,960,878 0.55% 3,843,191 0.43%
           
(2) Cash-settled derivatives:
484,527 0.05% 2,282,821 0.25%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 340,400 0.04% 262,900 0.03%
           
 
TOTAL: 5,785,805 0.64% 6,388,912 0.71%

All interests and all short positions should be disclosed.

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:  

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   Purchase/sale   Number of   Price per unit
security   securities  
ADR Purchase 2 147.6601 USD
ADR Purchase 4 148.9800 USD
ADR Purchase 45 149.1900 USD
ADR Purchase 50 148.4200 USD
ADR Purchase 50 148.4300 USD
ADR Purchase 100 149.5250 USD
ADR Purchase 100 148.3500 USD
ADR Purchase 200 148.3800 USD
ADR Purchase 200 148.4150 USD
ADR Purchase 200 149.3300 USD
ADR Purchase 200 147.7850 USD
ADR Purchase 500 147.6300 USD
ADR Purchase 600 149.3229 USD
ADR Purchase 675 148.3551 USD
ADR Purchase 700 147.7214 USD
ADR Purchase 766 148.6958 USD
ADR Purchase 877 148.2175 USD
ADR Purchase 1,700 149.1952 USD
ADR Purchase 1,861 148.8882 USD
ADR Purchase 2,045 149.2608 USD
ADR Purchase 2,600 148.8863 USD
ADR Purchase 2,600 148.3423 USD
ADR Purchase 3,700 148.9100 USD
ADR Purchase 3,728 147.9569 USD
ADR Purchase 15,000 148.1140 USD
ADR Purchase 17,630 147.7265 USD
ADR Purchase 22,430 147.5134 USD
ADR Sale 1 148.6400 USD
ADR Sale 2 147.6601 USD
ADR Sale 4 148.9800 USD
ADR Sale 11 146.9100 USD
ADR Sale 15 146.3680 USD
ADR Sale 50 148.4300 USD
ADR Sale 52 149.1900 USD
ADR Sale 89 147.2688 USD
ADR Sale 96 149.4700 USD
ADR Sale 100 147.9300 USD
ADR Sale 100 147.2200 USD
ADR Sale 100 149.1809 USD
ADR Sale 100 149.1700 USD
ADR Sale 100 149.5250 USD
ADR Sale 191 147.9795 USD
ADR Sale 200 148.4600 USD
ADR Sale 300 147.6133 USD
ADR Sale 400 147.4200 USD
ADR Sale 400 149.7500 USD
ADR Sale 410 147.5385 USD
ADR Sale 411 147.7513 USD
ADR Sale 461 147.3069 USD
ADR Sale 576 147.9432 USD
ADR Sale 600 147.0375 USD
ADR Sale 700 148.4928 USD
ADR Sale 830 148.8531 USD
ADR Sale 952 147.4841 USD
ADR Sale 1,000 147.6705 USD
ADR Sale 1,100 148.8181 USD
ADR Sale 1,169 147.2139 USD
ADR Sale 1,499 148.2920 USD
ADR Sale 1,800 148.2180 USD
ADR Sale 1,850 148.9000 USD
ADR Sale 1,850 148.9100 USD
ADR Sale 2,200 148.8634 USD
ADR Sale 2,234 148.2269 USD
ADR Sale 2,800 147.6180 USD
ADR Sale 2,939 147.3217 USD
ADR Sale 3,650 148.2823 USD
ADR Sale 6,949 148.6351 USD
ADR Sale 8,325 148.1789 USD
ADR Sale 8,845 148.0306 USD
ADR Sale 19,524 147.3444 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   Product   Writing,   Number   Exercise   Type   Expiry   Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
      relates        
ORD Call Options Purchasing 500 150 USD American 6 Apr 2018 2.0700 USD
ORD Call Options Selling 200 153 USD American 13 Apr 2018 3.5000 USD
ORD Put Options Selling 100 75 USD American 20 Apr 2018 0.1500 USD

(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: 3 Apr 2018
Contact name: ELISE TANG
Telephone number: 0207 1163001

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

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.

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

Identity of the person whose positions/dealings   Barclays PLC.
are being disclosed:  
Name of offeror/offeree in relation to whose SHIRE PLC
relevant securities this from relates:  

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class   Product   Writing,   Number   Exercise   Type   Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
      relates      
5p ordinary Call Options Written -125,000 3600.0000 American 21 Dec 2018
5p ordinary Call Options Purchased 100,000 4000.0000 American 15 Jun 2018
5p ordinary Call Options Purchased 10,000 4200.0000 American 15 Jun 2018
5p ordinary Put Options Written 125,000 3600.0000 American 21 Dec 2018
ADR Put Options Written 1,100 140.0000 American 20 Jul 2018
ADR Call Options Purchased 100 175.0000 American 18 Jan 2019
ADR Put Options Written 100 110.0000 American 17 Jan 2020
ADR Call Options Purchased 41,800 145.0000 American 20 Apr 2018
ADR Call Options Purchased 1,700 195.0000 American 17 Jan 2020
ADR Put Options Purchased -100 125.0000 American 20 Jul 2018
ADR Put Options Purchased -100 145.0000 American 6 Apr 2018
ADR Call Options Written -100 160.0000 American 18 May 2018
ADR Call Options Written -200 150.0000 American 18 May 2018
ADR Put Options Purchased -600 120.0000 American 27 Apr 2018
ADR Put Options Purchased -1,000 150.0000 American 18 Jan 2019
ADR Put Options Purchased -1,500 165.0000 American 18 Jan 2019
ADR Call Options Written -2,000 175.0000 American 20 Jul 2018
ADR Call Options Written -2,200 200.0000 American 20 Apr 2018
ADR Put Options Purchased -2,700 80.0000 American 18 Jan 2019
ADR Put Options Purchased -3,000 130.0000 American 18 Jan 2019
ADR Put Options Purchased -3,300 110.0000 American 20 Apr 2018
ADR Put Options Purchased -4,700 130.0000 American 20 Apr 2018
ADR Put Options Purchased -5,800 180.0000 American 18 Jan 2019
ADR Call Options Written -11,400 155.0000 American 20 Apr 2018
ADR Call Options Purchased 100 165.0000 American 6 Apr 2018
ADR Put Options Written 100 150.0000 American 18 May 2018
ADR Call Options Purchased 1,400 135.0000 American 20 Apr 2018
ADR Call Options Written -200 153.0000 American 13 Apr 2018
ADR Call Options Written -300 150.0000 American 27 Apr 2018
ADR Call Options Written -700 210.0000 American 20 Apr 2018
ADR Call Options Purchased 400 230.0000 American 18 Jan 2019
ADR Call Options Purchased 300 115.0000 American 18 Jan 2019
ADR Put Options Written 200 200.0000 American 17 Jan 2020
ADR Put Options Written 200 125.0000 American 19 Oct 2018
ADR Call Options Purchased 100 220.0000 American 18 Jan 2019
ADR Call Options Purchased 100 125.0000 American 18 Jan 2019
ADR Put Options Written 100 95.0000 American 18 Jan 2019
ADR Put Options Purchased -100 120.0000 American 20 Jul 2018
ADR Call Options Written -100 140.0000 American 17 Jan 2020
ADR Call Options Written -100 133.0000 American 6 Apr 2018
ADR Call Options Written -500 145.0000 American 20 Jul 2018
ADR Call Options Written -1,000 85.0000 American 18 Jan 2019
ADR Call Options Written -1,400 145.0000 American 18 Jan 2019
ADR Put Options Purchased -2,200 110.0000 American 20 Jul 2018
ADR Put Options Purchased -2,500 120.0000 American 17 Jan 2020
ADR Call Options Written -3,100 145.0000 American 6 Apr 2018
ADR Call Options Purchased 900 160.0000 American 20 Apr 2018
ADR Call Options Purchased 400 150.0000 American 6 Apr 2018
ADR Call Options Purchased 300 165.0000 American 20 Jul 2018
ADR Call Options Purchased 200 155.0000 American 17 Jan 2020
ADR Call Options Purchased 200 110.0000 American 20 Apr 2018
ADR Call Options Purchased 4,100 170.0000 American 20 Apr 2018
ADR Call Options Purchased 4,000 200.0000 American 18 Jan 2019
ADR Call Options Purchased 1,400 130.0000 American 20 Apr 2018
ADR Put Options Purchased -200 170.0000 American 18 Jan 2019
ADR Put Options Purchased -500 130.0000 American 20 Jul 2018
ADR Call Options Written -600 175.0000 American 19 Oct 2018
ADR Call Options Written -1,000 160.0000 American 4 May 2018
ADR Call Options Written -1,400 185.0000 American 18 May 2018
ADR Call Options Written -1,700 140.0000 American 20 Apr 2018
ADR Call Options Written -1,800 205.0000 American 20 Apr 2018
ADR Put Options Purchased -2,100 115.0000 American 20 Apr 2018
ADR Call Options Written -3,100 180.0000 American 20 Apr 2018
ADR Call Options Purchased 500 165.0000 American 18 Jan 2019
ADR Call Options Purchased 500 190.0000 American 20 Apr 2018
ADR Call Options Purchased 200 120.0000 American 17 Jan 2020
ADR Call Options Purchased 200 195.0000 American 18 Jan 2019
ADR Call Options Purchased 100 185.0000 American 18 Jan 2019
ADR Call Options Purchased 2,100 120.0000 American 20 Apr 2018
ADR Put Options Purchased -200 115.0000 American 19 Oct 2018
ADR Call Options Written -200 145.0000 American 4 May 2018
ADR Put Options Purchased -300 150.0000 American 20 Apr 2018
ADR Call Options Written -800 170.0000 American 6 Apr 2018
ADR Put Options Purchased -1,000 105.0000 American 18 Jan 2019
ADR Put Options Purchased -1,200 115.0000 American 20 Jul 2018
ADR Put Options Purchased -3,000 115.0000 American 18 May 2018
ADR Call Options Written -4,400 150.0000 American 20 Apr 2018
ADR Call Options Written -13,500 180.0000 American 18 Jan 2019
ADR Call Options Purchased 1,000 170.0000 American 18 Jan 2019
ADR Call Options Purchased 700 136.0000 American 13 Apr 2018
ADR Put Options Written 200 150.0000 American 20 Jul 2018
ADR Call Options Written -100 130.0000 American 18 Jan 2019
ADR Call Options Written -100 150.0000 American 20 Jul 2018
ADR Put Options Purchased -500 120.0000 American 20 Apr 2018
ADR Call Options Written -900 130.0000 American 18 May 2018
ADR Put Options Purchased -1,000 80.0000 American 17 Jan 2020
ADR Call Options Written -2,000 145.0000 American 18 May 2018
ADR Put Options Purchased -2,300 85.0000 American 18 Jan 2019
ADR Call Options Written -4,700 170.0000 American 20 Jul 2018
ADR Put Options Purchased -5,500 135.0000 American 20 Apr 2018
ADR Put Options Purchased -6,000 135.0000 American 18 Jan 2019
ADR Put Options Purchased -7,500 155.0000 American 18 Jan 2019
ADR Call Options Purchased 500 185.0000 American 20 Apr 2018
ADR Call Options Purchased 100 140.0000 American 18 Jan 2019
ADR Put Options Written 100 140.0000 American 19 Oct 2018
ADR Put Options Written 3,100 145.0000 American 27 Apr 2018
ADR Put Options Written 2,000 155.0000 American 20 Apr 2018
ADR Put Options Purchased -100 145.0000 American 17 Jan 2020
ADR Call Options Written -500 195.0000 American 6 Apr 2018
ADR Put Options Purchased -1,100 140.0000 American 18 Jan 2019
ADR Put Options Purchased -2,400 160.0000 American 18 Jan 2019
ADR Call Options Written -2,700 144.0000 American 6 Apr 2018
ADR Call Options Purchased 1,000 150.0000 American 18 Jan 2019
ADR Call Options Purchased 1,000 135.0000 American 18 Jan 2019
ADR Put Options Written 800 140.0000 American 20 Apr 2018
ADR Call Options Purchased 400 185.0000 American 20 Jul 2018
ADR Put Options Written 100 110.0000 American 18 Jan 2019
ADR Put Options Written 100 75.0000 American 20 Apr 2018
ADR Call Options Purchased 28,400 165.0000 American 20 Apr 2018
ADR Put Options Written 3,000 145.0000 American 20 Apr 2018
ADR Put Options Purchased -100 105.0000 American 20 Apr 2018
ADR Put Options Purchased -100 95.0000 American 20 Apr 2018
ADR Put Options Purchased -100 117.0000 American 6 Apr 2018
ADR Call Options Written -100 160.0000 American 20 Jul 2018
ADR Put Options Purchased -500 145.0000 American 18 Jan 2019
ADR Call Options Written -500 125.0000 American 20 Apr 2018
ADR Put Options Purchased -1,300 135.0000 American 17 Jan 2020
ADR Put Options Purchased -1,900 125.0000 American 20 Apr 2018
ADR Put Options Purchased -2,300 115.0000 American 18 Jan 2019
ADR Put Options Purchased -2,400 75.0000 American 20 Jul 2018
ADR Call Options Written -3,300 175.0000 American 20 Apr 2018

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:

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.

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.

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 644234
Time of Receipt (offset from UTC): 20180403T153432+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC