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: 27 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: 5,607,228 0.62% 3,714,701 0.40%
           
(2) Cash-settled derivatives:
310,087 0.03% 3,516,779 0.38%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 343,600 0.04% 495,500 0.05%
           
(4)
TOTAL: 6,260,915 0.69% 7,726,980 0.84%

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 9 161.5900 USD
ADR Purchase 19 161.2126 USD
ADR Purchase 61 161.1700 USD
ADR Purchase 100 161.2600 USD
ADR Purchase 100 161.2400 USD
5p ordinary Purchase 104 38.6280 GBP
ADR Purchase 200 160.2350 USD
ADR Purchase 200 160.2850 USD
ADR Purchase 300 161.0483 USD
ADR Purchase 379 161.0859 USD
ADR Purchase 600 160.8016 USD
ADR Purchase 1,200 160.5791 USD
5p ordinary Purchase 1,516 38.6646 GBP
5p ordinary Purchase 2,938 38.7966 GBP
ADR Purchase 3,169 161.6600 USD
ADR Purchase 4,400 160.7908 USD
ADR Purchase 4,600 160.7974 USD
5p ordinary Purchase 6,377 38.8993 GBP
5p ordinary Purchase 7,213 38.7387 GBP
5p ordinary Purchase 7,639 38.8122 GBP
5p ordinary Purchase 8,269 38.6840 GBP
5p ordinary Purchase 9,994 38.6901 GBP
5p ordinary Purchase 13,144 38.7782 GBP
5p ordinary Purchase 13,998 38.7557 GBP
5p ordinary Purchase 14,116 38.7360 GBP
ADR Purchase 15,918 160.8931 USD
5p ordinary Purchase 16,297 38.8067 GBP
5p ordinary Purchase 19,890 38.5760 GBP
5p ordinary Purchase 25,956 38.8918 GBP
ADR Purchase 32,644 160.9564 USD
5p ordinary Purchase 41,333 38.7228 GBP
5p ordinary Purchase 44,822 38.7296 GBP
5p ordinary Purchase 45,396 38.6865 GBP
5p ordinary Purchase 80,152 38.8445 GBP
5p ordinary Purchase 93,754 38.7012 GBP
5p ordinary Purchase 101,351 38.8115 GBP
5p ordinary Purchase 184,271 38.8529 GBP
5p ordinary Sale 24 38.8150 GBP
ADR Sale 61 161.1700 USD
ADR Sale 100 160.2900 USD
ADR Sale 100 161.5000 USD
ADR Sale 100 160.3200 USD
ADR Sale 100 160.2500 USD
5p ordinary Sale 150 38.6300 GBP
ADR Sale 174 161.1255 USD
ADR Sale 200 160.5000 USD
5p ordinary Sale 239 38.6686 GBP
ADR Sale 280 160.4917 USD
ADR Sale 302 161.6318 USD
5p ordinary Sale 306 38.9400 GBP
5p ordinary Sale 323 38.7076 GBP
5p ordinary Sale 343 38.6409 GBP
ADR Sale 400 160.8887 USD
ADR Sale 400 160.9150 USD
5p ordinary Sale 431 38.7418 GBP
ADR Sale 500 160.5010 USD
5p ordinary Sale 519 38.9294 GBP
5p ordinary Sale 559 38.8812 GBP
ADR Sale 600 160.6942 USD
ADR Sale 600 160.8700 USD
ADR Sale 700 161.0350 USD
5p ordinary Sale 717 38.5982 GBP
ADR Sale 867 161.1374 USD
5p ordinary Sale 1,011 38.6523 GBP
5p ordinary Sale 1,340 38.7815 GBP
5p ordinary Sale 1,471 38.7602 GBP
ADR Sale 1,543 160.9640 USD
5p ordinary Sale 1,544 38.9412 GBP
5p ordinary Sale 1,605 38.6838 GBP
ADR Sale 2,190 160.9218 USD
ADR Sale 2,255 161.0300 USD
5p ordinary Sale 2,729 39.0098 GBP
5p ordinary Sale 3,378 38.9399 GBP
ADR Sale 3,600 160.7661 USD
5p ordinary Sale 3,880 38.7483 GBP
ADR Sale 4,000 160.7674 USD
ADR Sale 4,160 161.6600 USD
5p ordinary Sale 10,000 38.6406 GBP
5p ordinary Sale 10,474 38.6917 GBP
5p ordinary Sale 14,724 38.9433 GBP
5p ordinary Sale 17,251 38.7810 GBP
ADR Sale 17,906 160.8788 USD
ADR Sale 24,635 160.9575 USD
5p ordinary Sale 25,877 38.6600 GBP
5p ordinary Sale 26,575 38.9391 GBP
5p ordinary Sale 32,678 38.7200 GBP
5p ordinary Sale 34,153 38.9417 GBP
5p ordinary Sale 41,396 38.7228 GBP
5p ordinary Sale 50,000 38.7860 GBP
5p ordinary Sale 123,311 38.7522 GBP
5p ordinary Sale 263,869 38.7898 GBP

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
5p ordinary CFD Long 115 38.9607 GBP
5p ordinary CFD Long 170 38.5981 GBP
5p ordinary SWAP Long 184 38.8275 GBP
5p ordinary CFD Long 248 38.9608 GBP
5p ordinary CFD Long 547 38.5982 GBP
5p ordinary CFD Long 559 38.8812 GBP
5p ordinary SWAP Long 778 38.7424 GBP
5p ordinary CFD Long 1,215 38.9374 GBP
5p ordinary CFD Long 7,000 38.9370 GBP
5p ordinary CFD Long 13,509 38.9438 GBP
5p ordinary SWAP Long 17,251 38.7810 GBP
5p ordinary SWAP Long 25,877 38.6600 GBP
5p ordinary SWAP Long 32,678 38.7200 GBP
5p ordinary CFD Long 39,885 38.9198 GBP
5p ordinary CFD Long 42,683 38.9368 GBP
5p ordinary SWAP Long 165,043 38.7694 GBP
5p ordinary CFD Short 186 38.9451 GBP
5p ordinary SWAP Short 5,806 38.9497 GBP
5p ordinary CFD Short 7,213 38.7387 GBP
5p ordinary CFD Short 7,639 38.8122 GBP
5p ordinary CFD Short 8,269 38.6840 GBP
5p ordinary SWAP Short 10,350 38.9400 GBP
5p ordinary CFD Short 12,830 38.7623 GBP
5p ordinary CFD Short 16,297 38.8067 GBP
5p ordinary SWAP Expires 01/06/2019 Short 19,890 38.5760 GBP
5p ordinary CFD Short 25,956 38.8918 GBP
5p ordinary SWAP Short 43,288 38.8763 GBP
5p ordinary SWAP Short 80,249 38.9003 GBP
5p ordinary CFD Short 101,351 38.8115 GBP
5p ordinary CFD Short 101,386 38.7460 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        
ADR Put Options Purchasing 1,100 147 USD American 4 May 2018 0.4500 USD
ADR Put Options Purchasing 500 153 USD American 4 May 2018 1.0000 USD
ADR Put Options Purchasing 1,000 158 USD American 27 Apr 2018 0.2500 USD
ADR Put Options Selling 500 120 USD American 18 Jan 2019 2.6000 USD
ADR Put Options Selling 2,700 150 USD American 18 May 2018 2.3740 USD
ADR Put Options Selling 4,100 150 USD American 15 Jun 2018 4.0414 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: 30 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 Call Options Purchased 5,100 170.0000 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 -5,800 180.0000 American 18 Jan 2019
ADR Put Options Purchased -7,700 130.0000 American 18 Jan 2019
ADR Call Options Purchased 9,400 180.0000 American 4 May 2018
ADR Put Options Written 2,800 150.0000 American 18 May 2018
ADR Call Options Purchased 2,400 170.0000 American 18 May 2018
ADR Put Options Written 200 105.0000 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 Put Options Purchased -1,100 147.0000 American 4 May 2018
ADR Call Options Written -1,100 163.0000 American 27 Apr 2018
ADR Call Options Purchased 4,400 175.0000 American 27 Apr 2018
ADR Call Options Purchased 3,100 155.0000 American 18 Jan 2019
ADR Call Options Purchased 1,500 185.0000 American 19 Oct 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 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 Put Options Purchased -1,000 158.0000 American 27 Apr 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 Put Options Written 2,400 155.0000 American 27 Apr 2018
ADR Call Options Purchased 800 170.0000 American 4 May 2018
ADR Call Options Purchased 200 155.0000 American 17 Jan 2020
ADR Call Options Purchased 200 130.0000 American 17 Jan 2020
ADR Call Options Purchased 200 165.0000 American 20 Jul 2018
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 Purchased -2,300 134.0000 American 27 Apr 2018
ADR Put Options Written 2,300 153.0000 American 27 Apr 2018
ADR Call Options Purchased 1,600 180.0000 American 11 May 2018
ADR Call Options Purchased 1,200 168.0000 American 27 Apr 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 300 195.0000 American 18 Jan 2019
ADR Call Options Purchased 200 120.0000 American 17 Jan 2020
ADR Call Options Purchased 200 185.0000 American 18 Jan 2019
ADR Call Options Purchased 200 175.0000 American 18 May 2018
ADR Put Options Written 100 110.0000 American 1 Jun 2018
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 -8,000 180.0000 American 18 Jan 2019
ADR Call Options Purchased 1,500 140.0000 American 20 Jul 2018
ADR Call Options Purchased 1,100 170.0000 American 18 Jan 2019
ADR Call Options Purchased 500 165.0000 American 27 Apr 2018
ADR Call Options Purchased 500 160.0000 American 27 Apr 2018
ADR Call Options Purchased 200 160.0000 American 17 Jan 2020
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 -500 140.0000 American 17 Jan 2020
ADR Put Options Purchased -600 140.0000 American 27 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 -6,000 135.0000 American 18 Jan 2019
ADR Put Options Purchased -7,500 155.0000 American 18 Jan 2019
ADR Call Options Written -7,500 175.0000 American 4 May 2018
ADR Call Options Purchased 9,800 160.0000 American 15 Jun 2018
ADR Put Options Written 2,800 120.0000 American 18 Jan 2019
ADR Put Options Written 2,800 145.0000 American 27 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 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 Put Options Purchased -20,000 150.0000 American 11 May 2018
ADR Call Options Purchased 4,100 135.0000 American 20 Jul 2018
ADR Put Options Written 4,100 150.0000 American 15 Jun 2018
ADR Call Options Purchased 3,300 180.0000 American 27 Apr 2018
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 500 150.0000 American 18 Jan 2019
ADR Call Options Purchased 400 185.0000 American 20 Jul 2018
ADR Put Options Written 300 110.0000 American 18 May 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 Written 100 75.0000 American 19 Oct 2018
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 -500 153.0000 American 4 May 2018
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: 646108
Time of Receipt (offset from UTC): 20180430T104017+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC