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: 23 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: 5,484,312 0.61% 5,031,224 0.55%
           
(2) Cash-settled derivatives:
1,230,318 0.13% 3,079,146 0.34%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 290,300 0.04% 463,500 0.05%
           
 
TOTAL: 7,004,930 0.78% 8,573,870 0.94%

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  
5p ordinary Purchase 20 38.3103 GBP
ADR Purchase 85 160.3600 USD
ADR Purchase 100 160.8600 USD
ADR Purchase 149 160.3697 USD
ADR Purchase 200 160.4000 USD
ADR Purchase 200 160.1950 USD
ADR Purchase 200 160.3250 USD
5p ordinary Purchase 250 38.5950 GBP
ADR Purchase 300 160.1366 USD
5p ordinary Purchase 353 38.0984 GBP
ADR Purchase 353 160.4916 USD
ADR Purchase 400 159.1675 USD
ADR Purchase 653 160.2339 USD
ADR Purchase 694 160.2689 USD
5p ordinary Purchase 735 38.3104 GBP
ADR Purchase 900 160.6600 USD
ADR Purchase 1,176 160.0800 USD
5p ordinary Purchase 1,336 38.0591 GBP
5p ordinary Purchase 1,337 38.0384 GBP
5p ordinary Purchase 1,582 38.1016 GBP
ADR Purchase 1,776 159.7454 USD
ADR Purchase 1,824 160.4400 USD
ADR Purchase 1,824 160.4100 USD
5p ordinary Purchase 1,966 38.1062 GBP
5p ordinary Purchase 1,998 38.0259 GBP
ADR Purchase 2,124 160.4054 USD
ADR Purchase 2,200 160.1209 USD
5p ordinary Purchase 2,311 38.1461 GBP
5p ordinary Purchase 3,000 38.0791 GBP
5p ordinary Purchase 3,177 38.0289 GBP
5p ordinary Purchase 3,435 37.9821 GBP
5p ordinary Purchase 3,488 38.0385 GBP
5p ordinary Purchase 3,500 38.2575 GBP
5p ordinary Purchase 3,886 38.1684 GBP
ADR Purchase 4,500 160.2908 USD
ORD Purchase 6,096 38.2289 GBP
ADR Purchase 7,400 160.4010 USD
5p ordinary Purchase 9,257 38.3191 GBP
ADR Purchase 15,315 159.5999 USD
5p ordinary Purchase 16,657 38.1405 GBP
5p ordinary Purchase 18,000 38.6507 GBP
5p ordinary Purchase 19,754 38.3818 GBP
5p ordinary Purchase 22,774 38.0000 GBP
5p ordinary Purchase 25,000 38.5000 GBP
5p ordinary Purchase 25,895 38.4029 GBP
5p ordinary Purchase 37,828 38.1520 GBP
5p ordinary Purchase 39,101 38.4723 GBP
ADR Purchase 60,841 159.9977 USD
5p ordinary Purchase 254,164 38.1943 GBP
5p ordinary Sale 36 38.4503 GBP
ADR Sale 100 161.0100 USD
ADR Sale 155 160.1922 USD
ADR Sale 200 159.2700 USD
ADR Sale 200 160.4250 USD
ADR Sale 200 160.2250 USD
ADR Sale 300 159.5000 USD
ADR Sale 300 160.3775 USD
ADR Sale 339 160.2120 USD
5p ordinary Sale 359 38.7675 GBP
ADR Sale 363 159.7009 USD
ADR Sale 400 160.8125 USD
ADR Sale 500 159.9260 USD
5p ordinary Sale 600 38.5587 GBP
5p ordinary Sale 694 38.0617 GBP
ADR Sale 715 159.8179 USD
ADR Sale 987 160.4561 USD
ADR Sale 1,176 160.0800 USD
ADR Sale 1,200 160.3375 USD
ADR Sale 1,400 160.6503 USD
5p ordinary Sale 1,505 37.9975 GBP
5p ordinary Sale 1,564 38.3963 GBP
ADR Sale 1,800 160.5444 USD
ADR Sale 1,824 160.4400 USD
ADR Sale 1,824 160.4100 USD
ADR Sale 1,900 160.0742 USD
ADR Sale 2,200 160.4113 USD
5p ordinary Sale 3,193 38.0017 GBP
ADR Sale 3,800 160.4744 USD
5p ordinary Sale 5,138 38.2779 GBP
5p ordinary Sale 5,282 38.1420 GBP
ADR Sale 5,300 160.4033 USD
5p ordinary Sale 5,438 38.2867 GBP
5p ordinary Sale 9,211 38.3194 GBP
5p ordinary Sale 9,969 38.2819 GBP
ADR Sale 11,142 160.1385 USD
5p ordinary Sale 13,000 37.8862 GBP
5p ordinary Sale 16,338 38.6462 GBP
5p ordinary Sale 17,165 38.1808 GBP
ADR Sale 17,715 159.6568 USD
5p ordinary Sale 18,762 38.2224 GBP
5p ordinary Sale 19,339 38.3848 GBP
5p ordinary Sale 20,224 38.2021 GBP
5p ordinary Sale 23,468 38.2832 GBP
5p ordinary Sale 29,313 38.4266 GBP
ADR Sale 45,897 159.9121 USD
5p ordinary Sale 47,235 38.4137 GBP
5p ordinary Sale 47,684 38.0000 GBP
5p ordinary Sale 68,480 38.3491 GBP
5p ordinary Sale 90,022 38.5060 GBP
5p ordinary Sale 135,238 38.2481 GBP

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
5p ordinary SWAP Long 34 38.3776 GBP
5p ordinary SWAP Long 424 38.3953 GBP
5p ordinary SWAP Long 595 38.4795 GBP
5p ordinary CFD Long 694 38.0617 GBP
5p ordinary CFD Long 1,505 37.9975 GBP
5p ordinary SWAP Long 1,952 38.4248 GBP
5p ordinary CFD Long 3,882 38.0365 GBP
5p ordinary CFD Long 4,206 38.4647 GBP
5p ordinary CFD Long 9,969 38.2819 GBP
5p ordinary CFD Long 23,468 38.2832 GBP
5p ordinary CFD Long 37,338 37.9969 GBP
5p ordinary CFD Long 41,630 38.3004 GBP
5p ordinary SWAP Long 43,624 38.0000 GBP
5p ordinary CFD Long 90,022 38.5061 GBP
5p ordinary SWAP Long 118,226 38.3785 GBP
5p ordinary SWAP Short 142 38.6503 GBP
5p ordinary SWAP Short 593 38.0640 GBP
5p ordinary CFD Short 1,333 38.1564 GBP
5p ordinary SWAP Short 6,096 38.2289 GBP
5p ordinary SWAP Short 8,515 38.2930 GBP
5p ordinary SWAP Short 17,841 38.1861 GBP
5p ordinary CFD Short 25,895 38.4029 GBP
5p ordinary CFD Short 52,929 38.3248 GBP
5p ordinary SWAP Short 143,204 38.1006 GBP

(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        
5p ordinary Put Options Purchasing 100,000 3600 GBP American 18 May 2018 120.0000 GBP
ADR Call Options Purchasing 100 185 USD American 18 Jan 2019 5.9400 USD
ADR Put Options Purchasing 200 125 USD American 18 May 2018 0.3000 USD
ADR Put Options Purchasing 100 135 USD American 27 Apr 2018 0.3100 USD
ADR Put Options Purchasing 100 140 USD American 27 Apr 2018 0.4000 USD
ADR Put Options Selling 100 150 USD American 27 Apr 2018 2.4000 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: 24 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 Purchased -140,000 3500.0000 American 15 Jun 2018
5p ordinary Put Options Written 125,000 3600.0000 American 21 Dec 2018
5p ordinary Put Options Purchased -100,000 3600.0000 American 18 May 2018
ADR Call Options Purchased 17,800 195.0000 American 27 Apr 2018
ADR Put Options Written 2,400 165.0000 American 18 May 2018
ADR Call Options Purchased 1,700 195.0000 American 17 Jan 2020
ADR Put Options Written 1,100 140.0000 American 20 Jul 2018
ADR Call Options Purchased 1,000 180.0000 American 17 Jan 2020
ADR Call Options Purchased 1,000 170.0000 American 17 Jan 2020
ADR Call Options Purchased 200 135.0000 American 17 Jan 2020
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 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 -700 160.0000 American 17 Jan 2020
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 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 -5,800 180.0000 American 18 Jan 2019
ADR Put Options Written 100 150.0000 American 18 May 2018
ADR Call Options Written -100 125.0000 American 20 Jul 2018
ADR Put Options Purchased -200 125.0000 American 18 May 2018
ADR Call Options Written -300 150.0000 American 27 Apr 2018
ADR Call Options Written -500 160.0000 American 25 May 2018
ADR Call Options Written -600 173.0000 American 4 May 2018
ADR Call Options Written -1,200 163.0000 American 27 Apr 2018
ADR Call Options Purchased 1,100 125.0000 American 18 Jan 2019
ADR Put Options Written 1,000 135.0000 American 20 Jul 2018
ADR Call Options Purchased 700 155.0000 American 18 Jan 2019
ADR Call Options Purchased 500 185.0000 American 19 Oct 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 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 -100 147.0000 American 27 Apr 2018
ADR Call Options Written -200 155.0000 American 4 May 2018
ADR Call Options Written -1,000 85.0000 American 18 Jan 2019
ADR Call Options Written -1,000 145.0000 American 20 Jul 2018
ADR Put Options Purchased -1,500 135.0000 American 18 May 2018
ADR Call Options Written -1,600 145.0000 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 Purchased 4,500 200.0000 American 18 Jan 2019
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 200 130.0000 American 17 Jan 2020
ADR Put Options Written 200 140.0000 American 18 May 2018
ADR Put Options Purchased -200 170.0000 American 18 Jan 2019
ADR Call Options Written -600 175.0000 American 19 Oct 2018
ADR Put Options Purchased -800 150.0000 American 17 Jan 2020
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 Put Options Written 700 125.0000 American 20 Jul 2018
ADR Call Options Purchased 500 165.0000 American 18 Jan 2019
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 200 185.0000 American 18 Jan 2019
ADR Put Options Written 100 150.0000 American 27 Apr 2018
ADR Put Options Purchased -200 115.0000 American 19 Oct 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 Call Options Written -2,400 190.0000 American 27 Apr 2018
ADR Put Options Purchased -3,000 115.0000 American 18 May 2018
ADR Call Options Written -13,400 180.0000 American 18 Jan 2019
ADR Call Options Purchased 1,100 170.0000 American 18 Jan 2019
ADR Call Options Purchased 500 140.0000 American 20 Jul 2018
ADR Call Options Purchased 200 160.0000 American 17 Jan 2020
ADR Put Options Written 200 150.0000 American 20 Jul 2018
ADR Put Options Purchased -100 140.0000 American 27 Apr 2018
ADR Call Options Written -100 130.0000 American 18 Jan 2019
ADR Call Options Written -100 150.0000 American 20 Jul 2018
ADR Call Options Written -100 175.0000 American 4 May 2018
ADR Put Options Purchased -500 140.0000 American 17 Jan 2020
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 -6,000 135.0000 American 18 Jan 2019
ADR Put Options Purchased -7,500 155.0000 American 18 Jan 2019
ADR Put Options Written 3,100 145.0000 American 27 Apr 2018
ADR Put Options Written 2,300 120.0000 American 18 Jan 2019
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 Purchased -1,100 140.0000 American 18 Jan 2019
ADR Put Options Purchased -2,100 160.0000 American 18 Jan 2019
ADR Call Options Written -2,600 140.0000 American 18 May 2018
ADR Put Options Purchased -3,700 145.0000 American 17 Jan 2020
ADR Call Options Purchased 4,100 135.0000 American 20 Jul 2018
ADR Call Options Purchased 2,200 180.0000 American 27 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 700 85.0000 American 20 Jul 2018
ADR Call Options Purchased 600 155.0000 American 27 Apr 2018
ADR Call Options Purchased 400 185.0000 American 20 Jul 2018
ADR Put Options Written 200 70.0000 American 19 Oct 2018
ADR Put Options Written 100 110.0000 American 18 Jan 2019
ADR Put Options Purchased -100 135.0000 American 27 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 Put Options Purchased -1,000 170.0000 American 17 Jan 2020
ADR Put Options Purchased -1,300 135.0000 American 17 Jan 2020
ADR Put Options Purchased -2,300 115.0000 American 18 Jan 2019
ADR Put Options Purchased -2,400 75.0000 American 20 Jul 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: 645715
Time of Receipt (offset from UTC): 20180424T113037+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC