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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

SHIRE PLC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

 

21 May 2018

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

 

YES: 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: 8,310,305 0.91% 3,197,705 0.34%
           
(2) Cash-settled derivatives:
355,872 0.04% 3,826,876 0.42%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 308,100 0.04% 581,400 0.06%
           
(4)
TOTAL: 8,974,277 0.99% 7,605,981 0.82%

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

(a)   Purchases and sales        
Class of relevant Purchase/sale Number of Price per unit
security   securities  
ADR Purchase 64 168.9500 USD
ADR Purchase 87 169.5800 USD
ADR Purchase 100 169.0000 USD
ADR Purchase 100 168.3100 USD
ADR Purchase 100 168.2500 USD
ADR Purchase 100 169.5500 USD
5p ordinary Purchase 109 42.0112 GBP
5p ordinary Purchase 113 41.9350 GBP
ADR Purchase 184 169.4117 USD
5p ordinary Purchase 185 41.9564 GBP
ADR Purchase 188 168.6219 USD
ADR Purchase 200 168.9650 USD
ADR Purchase 212 169.4072 USD
ADR Purchase 282 169.4050 USD
5p ordinary Purchase 296 41.8650 GBP
ADR Purchase 300 168.4766 USD
ADR Purchase 300 168.9450 USD
ADR Purchase 304 168.8373 USD
5p ordinary Purchase 326 41.9681 GBP
ADR Purchase 343 169.4053 USD
5p ordinary Purchase 370 41.9597 GBP
ADR Purchase 500 168.8575 USD
ADR Purchase 500 169.4950 USD
5p ordinary Purchase 546 42.0073 GBP
ADR Purchase 600 168.9133 USD
ADR Purchase 600 168.7905 USD
5p ordinary Purchase 658 42.0700 GBP
5p ordinary Purchase 1,021 41.9533 GBP
5p ordinary Purchase 1,150 41.9836 GBP
ADR Purchase 1,596 168.6744 USD
ADR Purchase 1,900 168.9789 USD
5p ordinary Purchase 2,116 42.0494 GBP
5p ordinary Purchase 2,232 42.0376 GBP
5p ordinary Purchase 2,424 42.0534 GBP
5p ordinary Purchase 2,969 41.9911 GBP
5p ordinary Purchase 4,359 42.0134 GBP
ADR Purchase 4,663 169.1202 USD
ADR Purchase 6,700 168.9513 USD
5p ordinary Purchase 7,004 41.9922 GBP
5p ordinary Purchase 7,589 41.9553 GBP
ADR Purchase 8,500 169.4350 USD
ADR Purchase 11,299 169.1576 USD
5p ordinary Purchase 17,254 42.0546 GBP
ADR Purchase 19,000 169.0595 USD
5p ordinary Purchase 27,141 41.9897 GBP
5p ordinary Purchase 46,922 42.0046 GBP
5p ordinary Purchase 86,272 42.0357 GBP
5p ordinary Purchase 135,002 42.0103 GBP
5p ordinary Sale 7 42.0114 GBP
5p ordinary Sale 46 41.9832 GBP
ADR Sale 64 168.9500 USD
5p ordinary Sale 64 41.9803 GBP
5p ordinary Sale 86 41.8650 GBP
ADR Sale 100 169.1600 USD
ADR Sale 100 169.0000 USD
ADR Sale 100 169.0650 USD
ADR Sale 200 168.6900 USD
ADR Sale 200 169.0150 USD
5p ordinary Sale 250 41.9550 GBP
ADR Sale 300 169.4233 USD
5p ordinary Sale 370 41.9597 GBP
ADR Sale 379 169.1774 USD
5p ordinary Sale 589 42.0700 GBP
5p ordinary Sale 597 42.0066 GBP
ADR Sale 600 169.1725 USD
5p ordinary Sale 661 42.0106 GBP
5p ordinary Sale 733 41.9138 GBP
ADR Sale 800 169.1881 USD
5p ordinary Sale 938 41.9746 GBP
ADR Sale 1,000 169.2050 USD
ADR Sale 1,000 169.1290 USD
ADR Sale 1,021 169.4068 USD
ADR Sale 1,100 168.8809 USD
ADR Sale 1,100 169.1900 USD
5p ordinary Sale 1,213 42.0195 GBP
5p ordinary Sale 1,253 42.0119 GBP
5p ordinary Sale 1,278 42.0044 GBP
ADR Sale 1,300 169.1142 USD
ADR Sale 1,486 169.3580 USD
5p ordinary Sale 1,491 41.9984 GBP
ADR Sale 1,500 169.1796 USD
5p ordinary Sale 1,989 41.9481 GBP
ADR Sale 2,108 169.1807 USD
5p ordinary Sale 2,147 42.0682 GBP
ADR Sale 2,201 169.2172 USD
ADR Sale 2,814 169.1428 USD
ADR Sale 2,900 169.0113 USD
ADR Sale 3,000 168.7143 USD
ADR Sale 3,750 168.9644 USD
ADR Sale 4,300 168.9000 USD
5p ordinary Sale 4,496 42.0190 GBP
5p ordinary Sale 5,251 42.0147 GBP
ADR Sale 5,520 169.0576 USD
ADR Sale 6,491 169.1914 USD
5p ordinary Sale 6,662 41.9462 GBP
5p ordinary Sale 6,870 42.0401 GBP
5p ordinary Sale 7,538 42.0045 GBP
ADR Sale 9,187 169.4409 USD
ADR Sale 12,500 169.1412 USD
5p ordinary Sale 14,197 42.0112 GBP
ADR Sale 14,901 169.1604 USD
ADR Sale 16,600 169.0671 USD
5p ordinary Sale 24,919 41.9715 GBP
5p ordinary Sale 29,840 42.0398 GBP
5p ordinary Sale 30,595 42.0016 GBP
5p ordinary Sale 48,814 41.9529 GBP
5p ordinary Sale 70,537 42.0060 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 7 42.0114 GBP
5p ordinary SWAP Long 54 42.0075 GBP
5p ordinary SWAP Long 56 42.0230 GBP
5p ordinary CFD Long 64 41.9801 GBP
5p ordinary CFD Long 733 41.9138 GBP
5p ordinary CFD Long 1,278 42.0044 GBP
5p ordinary CFD Long 3,214 42.0365 GBP
5p ordinary CFD Long 4,934 42.0112 GBP
5p ordinary SWAP Long 5,251 42.0147 GBP
5p ordinary CFD Long 6,049 41.9978 GBP
5p ordinary CFD Long 6,870 42.0401 GBP
5p ordinary CFD Long 7,538 42.0045 GBP
5p ordinary SWAP Long 26,958 42.0429 GBP
5p ordinary CFD Long 67,777 42.0060 GBP
5p ordinary SWAP Short 138 42.0178 GBP
5p ordinary CFD Short 468 42.0856 GBP
5p ordinary CFD Short 546 42.0073 GBP
5p ordinary CFD Short 1,021 41.9533 GBP
5p ordinary CFD Short 2,116 42.0494 GBP
5p ordinary SWAP Short 2,208 42.0465 GBP
5p ordinary CFD Short 19,579 42.0498 GBP
5p ordinary SWAP Short 20,172 42.0495 GBP
5p ordinary SWAP Short 22,429 42.0700 GBP
5p ordinary SWAP Short 47,132 42.0270 GBP

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(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:  

22 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 and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. 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

Full name of person making disclosure:  

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

SHIRE PLC

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 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 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 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 1,600 170.0000 American 19 Oct 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 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 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 400 230.0000 American 18 Jan 2019
ADR Call Options Purchased 300 115.0000 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 -400 173.0000 American 22 Jun 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 200 155.0000 American 17 Jan 2020
ADR Call Options Purchased 200 130.0000 American 17 Jan 2020
ADR Call Options Purchased 4,500 200.0000 American 18 Jan 2019
ADR Call Options Purchased 2,000 165.0000 American 20 Jul 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 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 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 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 -8,000 180.0000 American 18 Jan 2019
ADR Call Options Written -162,000 165.0000 American 15 Jun 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 Purchased 1,500 140.0000 American 20 Jul 2018
ADR Call Options Purchased 1,100 170.0000 American 18 Jan 2019
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 Put Options Purchased -1,000 80.0000 American 17 Jan 2020
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 200 180.0000 American 20 Jul 2018
ADR Call Options Purchased 100 140.0000 American 18 Jan 2019
ADR Put Options Written 100 140.0000 American 19 Oct 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 900 160.0000 American 20 Jul 2018
ADR Call Options Purchased 500 165.0000 American 22 Jun 2018
ADR Put Options Purchased -1,100 140.0000 American 18 Jan 2019
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 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 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 2,000 150.0000 American 17 Jan 2020
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 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: 647994
Time of Receipt (offset from UTC): 20180522T114118+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC