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: 18 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: 8,097,381 0.89% 3,014,233 0.33%
           
(2) Cash-settled derivatives:
355,816 0.04% 3,741,794 0.41%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 358,700 0.04% 591,200 0.07%
           
 
TOTAL: 8,811,897 0.97% 7,347,227 0.80%

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 17 169.7500 USD
5p ordinary Purchase 20 42.1244 GBP
5p ordinary Purchase 33 41.9603 GBP
ADR Purchase 69 170.3334 USD
5p ordinary Purchase 71 41.9450 GBP
ADR Purchase 86 169.8800 USD
ADR Purchase 100 169.4000 USD
ADR Purchase 200 169.8890 USD
5p ordinary Purchase 263 41.9825 GBP
ADR Purchase 300 169.9166 USD
5p ordinary Purchase 329 41.9922 GBP
ADR Purchase 334 169.6100 USD
ADR Purchase 353 169.7387 USD
ADR Purchase 400 169.8675 USD
5p ordinary Purchase 430 41.9900 GBP
5p ordinary Purchase 515 42.0279 GBP
5p ordinary Purchase 520 42.0450 GBP
5p ordinary Purchase 540 42.0348 GBP
5p ordinary Purchase 587 42.0700 GBP
5p ordinary Purchase 797 42.0438 GBP
5p ordinary Purchase 803 42.1242 GBP
5p ordinary Purchase 931 41.9661 GBP
5p ordinary Purchase 981 42.1619 GBP
ADR Purchase 1,058 169.8553 USD
5p ordinary Purchase 1,191 42.0653 GBP
ADR Purchase 1,300 170.0400 USD
ADR Purchase 1,300 169.6715 USD
ADR Purchase 1,933 170.0081 USD
5p ordinary Purchase 1,998 42.0641 GBP
5p ordinary Purchase 2,525 42.0364 GBP
5p ordinary Purchase 2,704 42.1734 GBP
5p ordinary Purchase 2,982 42.0070 GBP
ADR Purchase 3,100 169.6654 USD
5p ordinary Purchase 3,135 41.9147 GBP
ADR Purchase 3,756 169.7762 USD
ADR Purchase 4,800 169.9929 USD
ADR Purchase 6,100 170.0029 USD
5p ordinary Purchase 7,047 41.9309 GBP
5p ordinary Purchase 7,244 41.9677 GBP
5p ordinary Purchase 8,400 42.0544 GBP
5p ordinary Purchase 9,002 42.0829 GBP
ADR Purchase 19,016 169.5925 USD
5p ordinary Purchase 24,979 42.0056 GBP
5p ordinary Purchase 25,000 42.1045 GBP
5p ordinary Purchase 26,109 42.0729 GBP
5p ordinary Purchase 91,143 42.0361 GBP
5p ordinary Purchase 182,594 42.0603 GBP
5p ordinary Sale 6 41.9316 GBP
ADR Sale 50 169.6700 USD
ADR Sale 54 169.3100 USD
ADR Sale 69 170.3334 USD
ADR Sale 86 169.8800 USD
5p ordinary Sale 98 42.2046 GBP
5p ordinary Sale 108 41.9900 GBP
ADR Sale 200 169.6250 USD
5p ordinary Sale 204 42.2715 GBP
ADR Sale 300 169.9966 USD
ADR Sale 328 169.7928 USD
ADR Sale 334 169.6100 USD
ADR Sale 400 170.0331 USD
ADR Sale 400 169.5250 USD
5p ordinary Sale 563 42.0319 GBP
5p ordinary Sale 607 42.0108 GBP
5p ordinary Sale 788 42.1746 GBP
5p ordinary Sale 918 42.0622 GBP
5p ordinary Sale 1,015 41.8990 GBP
ADR Sale 1,100 169.7345 USD
5p ordinary Sale 1,185 42.0437 GBP
5p ordinary Sale 1,324 42.1295 GBP
5p ordinary Sale 1,651 41.9331 GBP
ADR Sale 2,500 169.9304 USD
ADR Sale 2,600 169.9141 USD
ADR Sale 3,100 170.0736 USD
5p ordinary Sale 3,574 42.0683 GBP
ADR Sale 3,600 170.0534 USD
5p ordinary Sale 3,622 42.1036 GBP
ADR Sale 4,424 169.7292 USD
5p ordinary Sale 4,722 42.1316 GBP
5p ordinary Sale 5,286 41.9329 GBP
5p ordinary Sale 5,752 41.9590 GBP
5p ordinary Sale 5,848 42.1000 GBP
5p ordinary Sale 6,386 42.1505 GBP
5p ordinary Sale 6,892 42.0765 GBP
5p ordinary Sale 8,313 41.9986 GBP
5p ordinary Sale 9,656 42.1026 GBP
5p ordinary Sale 16,082 42.1042 GBP
5p ordinary Sale 16,838 41.9918 GBP
ADR Sale 21,844 169.6115 USD
5p ordinary Sale 23,992 42.0401 GBP
5p ordinary Sale 24,042 42.0647 GBP
5p ordinary Sale 78,913 42.0267 GBP
5p ordinary Sale 103,464 42.0571 GBP
5p ordinary Sale 222,116 42.1846 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 6 41.9316 GBP
5p ordinary CFD Long 27 42.1300 GBP
5p ordinary SWAP Long 98 42.2045 GBP
5p ordinary SWAP Long 780 41.9765 GBP
5p ordinary CFD Long 788 42.1746 GBP
5p ordinary CFD Long 1,324 42.1295 GBP
5p ordinary CFD Long 1,651 41.9331 GBP
5p ordinary SWAP Long 1,949 42.0546 GBP
5p ordinary SWAP Long 4,722 42.1316 GBP
5p ordinary CFD Long 5,286 41.9329 GBP
5p ordinary CFD Long 5,725 41.9582 GBP
5p ordinary CFD Long 9,596 42.2966 GBP
5p ordinary CFD Long 9,656 42.1026 GBP
5p ordinary SWAP Long 16,937 42.0467 GBP
5p ordinary CFD Long 18,978 41.9853 GBP
5p ordinary SWAP Long 63,844 42.2664 GBP
5p ordinary SWAP Long 66,297 42.2997 GBP
5p ordinary SWAP Long 67,422 42.0352 GBP
5p ordinary SWAP Short 33 41.9604 GBP
5p ordinary SWAP Short 63 42.0828 GBP
5p ordinary SWAP Short 71 41.9100 GBP
5p ordinary SWAP Short 71 42.1440 GBP
5p ordinary SWAP Short 250 42.1263 GBP
5p ordinary CFD Short 300 42.1943 GBP
5p ordinary CFD Short 372 42.2108 GBP
5p ordinary SWAP Short 430 41.9900 GBP
5p ordinary SWAP Short 707 42.0892 GBP
5p ordinary SWAP Short 805 42.3004 GBP
5p ordinary CFD Short 992 41.8797 GBP
5p ordinary SWAP Short 1,067 41.8707 GBP
5p ordinary SWAP Short 1,209 41.9601 GBP
5p ordinary CFD Short 2,187 41.8792 GBP
5p ordinary SWAP Short 2,618 42.1152 GBP
5p ordinary CFD Short 2,704 42.1734 GBP
5p ordinary CFD Short 3,135 41.9147 GBP
5p ordinary CFD Short 4,065 42.0367 GBP
5p ordinary SWAP Short 8,618 42.0560 GBP
5p ordinary CFD Short 12,707 41.9933 GBP
5p ordinary CFD Short 21,054 42.1634 GBP
5p ordinary SWAP Short 55,907 42.0549 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 Purchasing 200 180 USD American 20 Jul 2018 1.9000 USD
ADR Call Options Selling 100 170 USD American 18 May 2018 0.1000 USD
ADR Put Options Purchasing 2,000 170 USD American 25 May 2018 2.0000 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: 21 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
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 -400 165.0000 American 17 Jan 2020
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 Purchased -22,500 170.0000 American 15 Jun 2018
ADR Put Options Purchased -44,000 145.0000 American 19 Oct 2018
ADR Call Options Purchased 4,300 170.0000 American 18 May 2018
ADR Call Options Purchased 1,600 170.0000 American 19 Oct 2018
ADR Put Options Written 200 105.0000 American 18 May 2018
ADR Put Options Written 29,100 150.0000 American 18 May 2018
ADR Call Options Written -100 125.0000 American 20 Jul 2018
ADR Put Options Purchased -2,300 170.0000 American 25 May 2018
ADR Call Options Purchased 3,500 185.0000 American 19 Oct 2018
ADR Call Options Purchased 3,100 155.0000 American 18 Jan 2019
ADR Put Options Written 2,900 95.0000 American 20 Jul 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 900 163.0000 American 18 May 2018
ADR Call Options Purchased 400 230.0000 American 18 Jan 2019
ADR Call Options Purchased 300 115.0000 American 18 Jan 2019
ADR Call Options Purchased 300 160.0000 American 25 May 2018
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 100 165.0000 American 15 Jun 2018
ADR Put Options Written 100 95.0000 American 18 Jan 2019
ADR Call Options Purchased 11,700 170.0000 American 15 Jun 2018
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 -400 173.0000 American 22 Jun 2018
ADR Put Options Purchased -700 135.0000 American 18 May 2018
ADR Call Options Written -900 145.0000 American 20 Jul 2018
ADR Call Options Written -1,000 85.0000 American 18 Jan 2019
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 2,400 158.0000 American 18 May 2018
ADR Call Options Purchased 2,000 165.0000 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 -100 165.0000 American 1 Jun 2018
ADR Put Options Purchased -200 170.0000 American 18 Jan 2019
ADR Call Options Written -400 115.0000 American 20 Jul 2018
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 -1,500 148.0000 American 22 Jun 2018
ADR Call Options Written -1,500 185.0000 American 18 May 2018
ADR Call Options Purchased 1,600 175.0000 American 18 May 2018
ADR Put Options Written 1,400 135.0000 American 25 May 2018
ADR Call Options Purchased 500 165.0000 American 18 Jan 2019
ADR Put Options Written 500 125.0000 American 20 Jul 2018
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 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 Written -162,000 165.0000 American 15 Jun 2018
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 -300 150.0000 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 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 95.0000 American 18 May 2018
ADR Call Options Purchased 900 160.0000 American 20 Jul 2018
ADR Call Options Purchased 500 165.0000 American 22 Jun 2018
ADR Call Options Purchased 200 180.0000 American 20 Jul 2018
ADR Put Options Written 200 90.0000 American 18 May 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 Call Options Written -1,300 140.0000 American 18 May 2018
ADR Put Options Purchased -2,000 175.0000 American 19 Oct 2018
ADR Put Options Purchased -2,100 160.0000 American 18 Jan 2019
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 Put Options Written 4,100 150.0000 American 15 Jun 2018
ADR Put Options Written 2,800 110.0000 American 18 May 2018
ADR Call Options Purchased 2,000 150.0000 American 17 Jan 2020
ADR Put Options Written 2,000 155.0000 American 18 May 2018
ADR Call Options Purchased 1,400 180.0000 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 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 -100 165.0000 American 18 May 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 -1,800 115.0000 American 18 Jan 2019
ADR Put Options Purchased -2,400 75.0000 American 20 Jul 2018
ADR Call Options Written -2,600 175.0000 American 15 Jun 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: 647878
Time of Receipt (offset from UTC): 20180521T130907+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC