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: 01 May 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: 5,403,024 0.57% 3,550,577 0.39%
           
(2) Cash-settled derivatives:
295,118 0.03% 3,507,647 0.38%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 311,800 0.03% 512,000 0.04%
           
(4)
TOTAL: 6,009,942 0.63% 7,570,224 0.81%

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 18 38.9754 GBP
ADR Purchase 19 159.4400 USD
ADR Purchase 23 159.1700 USD
ADR Purchase 30 159.0400 USD
5p ordinary Purchase 40 38.5000 GBP
5p ordinary Purchase 78 38.9757 GBP
ADR Purchase 100 159.1500 USD
ADR Purchase 100 159.2600 USD
ADR Purchase 100 159.0900 USD
ADR Purchase 100 158.6600 USD
5p ordinary Purchase 105 38.5254 GBP
ADR Purchase 120 159.3800 USD
ADR Purchase 128 159.3265 USD
ADR Purchase 150 158.2650 USD
ADR Purchase 150 159.4500 USD
ADR Purchase 168 159.2793 USD
ADR Purchase 200 159.2325 USD
ADR Purchase 200 159.4100 USD
5p ordinary Purchase 202 38.8752 GBP
5p ordinary Purchase 246 38.9752 GBP
ADR Purchase 250 158.9900 USD
5p ordinary Purchase 251 38.8334 GBP
ADR Purchase 300 159.3133 USD
ADR Purchase 300 159.2966 USD
ADR Purchase 312 159.2525 USD
ADR Purchase 335 159.3903 USD
ADR Purchase 400 159.1262 USD
ADR Purchase 400 158.8025 USD
5p ordinary Purchase 407 38.6353 GBP
ADR Purchase 500 159.7500 USD
5p ordinary Purchase 501 38.8903 GBP
ADR Purchase 578 159.5000 USD
ADR Purchase 600 158.2891 USD
ADR Purchase 600 158.8541 USD
ADR Purchase 652 159.3858 USD
5p ordinary Purchase 855 39.0450 GBP
5p ordinary Purchase 958 38.9751 GBP
ADR Purchase 1,000 159.0990 USD
5p ordinary Purchase 1,007 38.9753 GBP
5p ordinary Purchase 1,090 38.9293 GBP
ADR Purchase 1,100 158.9277 USD
ADR Purchase 1,650 159.3763 USD
ADR Purchase 1,800 159.2333 USD
ADR Purchase 2,000 159.3451 USD
ADR Purchase 2,020 159.3454 USD
ADR Purchase 2,020 159.4522 USD
ADR Purchase 2,141 159.1412 USD
5p ordinary Purchase 2,511 38.9636 GBP
5p ordinary Purchase 3,476 39.0160 GBP
ADR Purchase 3,482 159.2567 USD
ADR Purchase 3,900 158.9375 USD
ADR Purchase 4,000 158.9556 USD
5p ordinary Purchase 5,353 38.8618 GBP
5p ordinary Purchase 6,485 38.8751 GBP
5p ordinary Purchase 8,169 38.9364 GBP
5p ordinary Purchase 8,943 38.7035 GBP
ADR Purchase 12,838 159.0599 USD
5p ordinary Purchase 12,892 38.8389 GBP
5p ordinary Purchase 19,648 39.0107 GBP
5p ordinary Purchase 26,413 38.8645 GBP
5p ordinary Purchase 30,293 38.8657 GBP
5p ordinary Purchase 72,392 38.8460 GBP
5p ordinary Purchase 78,723 38.8964 GBP
5p ordinary Purchase 79,693 38.8400 GBP
5p ordinary Purchase 90,138 38.9750 GBP
ADR Sale 4 158.7900 USD
ADR Sale 23 159.1700 USD
ADR Sale 30 159.0400 USD
ADR Sale 40 159.3800 USD
ADR Sale 50 158.2400 USD
5p ordinary Sale 78 38.4246 GBP
ADR Sale 100 159.2800 USD
ADR Sale 100 158.2775 USD
ADR Sale 100 158.6000 USD
ADR Sale 200 158.8750 USD
ADR Sale 200 158.8925 USD
ADR Sale 200 158.9125 USD
ADR Sale 250 158.9900 USD
ADR Sale 300 159.2900 USD
ADR Sale 300 159.2925 USD
ADR Sale 300 159.4966 USD
ADR Sale 500 159.3740 USD
ADR Sale 500 159.3030 USD
ADR Sale 706 159.5000 USD
5p ordinary Sale 824 38.6584 GBP
5p ordinary Sale 844 38.8803 GBP
5p ordinary Sale 855 39.0450 GBP
ADR Sale 866 159.3053 USD
5p ordinary Sale 884 39.0078 GBP
ADR Sale 1,300 159.1919 USD
5p ordinary Sale 1,362 39.0162 GBP
5p ordinary Sale 1,500 39.0350 GBP
5p ordinary Sale 1,668 39.0310 GBP
5p ordinary Sale 1,763 38.8712 GBP
5p ordinary Sale 1,888 38.8469 GBP
ADR Sale 2,000 159.3451 USD
5p ordinary Sale 2,087 38.8419 GBP
5p ordinary Sale 2,196 38.8822 GBP
5p ordinary Sale 2,420 38.8400 GBP
5p ordinary Sale 2,710 38.8718 GBP
ADR Sale 3,000 158.8414 USD
5p ordinary Sale 3,101 38.8244 GBP
5p ordinary Sale 3,407 38.8755 GBP
ADR Sale 3,800 158.9578 USD
ADR Sale 4,040 159.4522 USD
ADR Sale 4,078 159.2211 USD
5p ordinary Sale 5,795 38.8834 GBP
5p ordinary Sale 5,901 38.5074 GBP
5p ordinary Sale 7,157 38.8751 GBP
5p ordinary Sale 9,076 38.9682 GBP
5p ordinary Sale 9,967 38.9770 GBP
5p ordinary Sale 12,058 39.0367 GBP
5p ordinary Sale 12,892 38.8389 GBP
ADR Sale 19,279 159.0797 USD
5p ordinary Sale 40,553 39.0068 GBP
5p ordinary Sale 74,126 38.8917 GBP
5p ordinary Sale 289,283 38.9646 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 78 38.4246 GBP
5p ordinary SWAP Long 345 38.6800 GBP
5p ordinary SWAP Long 880 38.6809 GBP
5p ordinary SWAP Long 1,500 39.0350 GBP
5p ordinary SWAP Long 3,966 38.5086 GBP
5p ordinary CFD Long 5,901 38.5074 GBP
5p ordinary CFD Long 30,669 38.8771 GBP
5p ordinary CFD Long 182,229 39.0318 GBP
5p ordinary SWAP Short 105 38.5253 GBP
5p ordinary SWAP Short 345 38.6800 GBP
5p ordinary SWAP Short 2,111 39.0117 GBP
5p ordinary SWAP Short 2,986 38.8101 GBP
5p ordinary SWAP Short 3,972 38.8890 GBP
5p ordinary CFD Short 5,000 39.0434 GBP
5p ordinary CFD Short 8,169 38.9364 GBP
5p ordinary SWAP Short 8,943 38.7035 GBP
5p ordinary SWAP Short 16,278 38.7184 GBP
5p ordinary CFD Short 30,293 38.8658 GBP
5p ordinary SWAP Short 38,344 38.7997 GBP
5p ordinary CFD Short 43,504 38.9444 GBP
5p ordinary CFD Short 90,000 38.9750 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 Call Options Selling 100 150 USD American 20 Jul 2018 15.8000 USD
ADR Call Options Selling 100 175 USD American 4 May 2018 0.1000 USD
ADR Put Options Selling 500 115 USD American 18 Jan 2019 2.0500 USD
ADR Put Options Selling 200 140 USD American 20 Jul 2018 3.0300 USD
ADR Put Options Selling 200 145 USD American 20 Jul 2018 4.1500 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: 2 May 2018
Contact name: Jay Supaya
Telephone number: 020 7773 0635

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 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 1,300 140.0000 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 -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 Put Options Written 9,600 150.0000 American 18 May 2018
ADR Call Options Purchased 9,400 180.0000 American 4 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 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 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 -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 Call Options Written -1,600 145.0000 American 18 Jan 2019
ADR Put Options Purchased -2,000 135.0000 American 18 May 2018
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 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 Call Options Purchased 1,100 180.0000 American 11 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 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 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 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 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 -200 150.0000 American 20 Jul 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 Call Options Written -7,600 175.0000 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 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 Put Options Purchased -25,000 152.5000 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 Put Options Written 2,000 155.0000 American 18 May 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 500 150.0000 American 18 Jan 2019
ADR Call Options Purchased 400 185.0000 American 20 Jul 2018
ADR Put Options Written 300 125.0000 American 18 May 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 200 145.0000 American 20 Jul 2018
ADR Put Options Written 200 110.0000 American 25 May 2018
ADR Put Options Written 100 110.0000 American 18 Jan 2019
ADR Put Options Written 100 75.0000 American 19 Oct 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 -1,800 115.0000 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: 646309
Time of Receipt (offset from UTC): 20180502T133530+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC