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: 22 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: 9,220,936 1.01% 3,240,772 0.35%
           
(2) Cash-settled derivatives:
355,835 0.04% 4,480,123 0.49%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 314,200 0.04% 581,300 0.06%
           
(4)
TOTAL: 9,890,971 1.09% 8,302,195 0.90%

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 2 169.8300 USD
5p ordinary Purchase 10 42.2900 GBP
5p ordinary Purchase 40 42.2600 GBP
5p ordinary Purchase 65 42.2857 GBP
ADR Purchase 109 170.2106 USD
5p ordinary Purchase 120 42.1762 GBP
ADR Purchase 151 170.7292 USD
ADR Purchase 161 170.6700 USD
5p ordinary Purchase 216 42.2050 GBP
5p ordinary Purchase 265 42.3303 GBP
ADR Purchase 292 170.6937 USD
ADR Purchase 300 170.4783 USD
ADR Purchase 300 169.8900 USD
ADR Purchase 300 170.5166 USD
ADR Purchase 400 170.0575 USD
5p ordinary Purchase 421 42.3500 GBP
ADR Purchase 500 170.2480 USD
5p ordinary Purchase 568 42.3108 GBP
5p ordinary Purchase 649 42.3423 GBP
5p ordinary Purchase 770 42.3200 GBP
5p ordinary Purchase 773 42.3058 GBP
5p ordinary Purchase 921 42.3287 GBP
5p ordinary Purchase 932 42.1845 GBP
5p ordinary Purchase 1,025 42.0250 GBP
5p ordinary Purchase 1,087 42.2994 GBP
5p ordinary Purchase 1,533 42.3361 GBP
ADR Purchase 2,401 170.3351 USD
5p ordinary Purchase 2,802 42.2047 GBP
5p ordinary Purchase 2,981 42.3250 GBP
5p ordinary Purchase 3,325 42.2759 GBP
ADR Purchase 4,000 170.1349 USD
ADR Purchase 4,400 170.1570 USD
5p ordinary Purchase 4,826 42.1662 GBP
5p ordinary Purchase 4,921 42.3004 GBP
ADR Purchase 4,987 170.1216 USD
5p ordinary Purchase 6,748 42.3143 GBP
5p ordinary Purchase 13,878 42.3027 GBP
5p ordinary Purchase 15,338 42.2030 GBP
ADR Purchase 18,405 170.2373 USD
5p ordinary Purchase 25,000 42.3117 GBP
5p ordinary Purchase 25,000 42.2081 GBP
5p ordinary Purchase 38,852 42.1998 GBP
5p ordinary Purchase 40,209 42.2766 GBP
5p ordinary Purchase 50,000 42.3327 GBP
5p ordinary Purchase 50,000 42.2716 GBP
5p ordinary Purchase 58,779 42.3061 GBP
5p ordinary Purchase 69,018 42.2793 GBP
5p ordinary Purchase 69,018 42.2840 GBP
5p ordinary Purchase 70,000 42.3767 GBP
5p ordinary Purchase 100,000 42.3255 GBP
5p ordinary Purchase 100,000 42.3040 GBP
5p ordinary Purchase 150,000 42.2773 GBP
5p ordinary Purchase 195,032 42.1949 GBP
ADR Sale 2 169.8300 USD
5p ordinary Sale 3 42.2660 GBP
5p ordinary Sale 20 42.3100 GBP
5p ordinary Sale 21 42.2785 GBP
ADR Sale 50 170.2350 USD
5p ordinary Sale 98 42.2991 GBP
ADR Sale 100 170.0775 USD
ADR Sale 100 170.6700 USD
ADR Sale 100 170.1300 USD
ADR Sale 100 169.9936 USD
ADR Sale 100 170.2400 USD
5p ordinary Sale 133 42.3042 GBP
5p ordinary Sale 144 42.1850 GBP
ADR Sale 159 170.1900 USD
ADR Sale 200 170.3400 USD
ADR Sale 200 170.3300 USD
5p ordinary Sale 242 42.2768 GBP
ADR Sale 300 170.1400 USD
ADR Sale 300 169.8900 USD
5p ordinary Sale 370 42.3200 GBP
ADR Sale 500 170.2900 USD
5p ordinary Sale 538 42.2507 GBP
5p ordinary Sale 580 42.2726 GBP
ADR Sale 600 170.3233 USD
ADR Sale 600 170.3150 USD
ADR Sale 604 170.6962 USD
5p ordinary Sale 754 42.2644 GBP
5p ordinary Sale 771 41.9919 GBP
ADR Sale 800 170.3412 USD
5p ordinary Sale 1,060 42.2242 GBP
5p ordinary Sale 1,129 42.0255 GBP
5p ordinary Sale 1,364 42.2819 GBP
ADR Sale 1,390 170.2937 USD
ADR Sale 1,600 170.2425 USD
ADR Sale 1,600 170.0822 USD
5p ordinary Sale 2,009 42.2685 GBP
5p ordinary Sale 2,063 42.0633 GBP
ADR Sale 2,100 170.3861 USD
5p ordinary Sale 2,632 42.0604 GBP
ADR Sale 2,700 170.1093 USD
5p ordinary Sale 3,158 42.2548 GBP
5p ordinary Sale 3,225 42.3288 GBP
ADR Sale 3,273 170.3214 USD
5p ordinary Sale 3,306 42.2830 GBP
5p ordinary Sale 3,342 42.3229 GBP
5p ordinary Sale 3,595 42.0142 GBP
5p ordinary Sale 3,716 42.2531 GBP
ADR Sale 4,400 170.1570 USD
5p ordinary Sale 4,589 42.2937 GBP
5p ordinary Sale 5,560 42.2862 GBP
5p ordinary Sale 5,701 42.2297 GBP
5p ordinary Sale 5,713 42.0074 GBP
ADR Sale 6,087 170.1382 USD
5p ordinary Sale 6,447 42.1896 GBP
5p ordinary Sale 6,934 42.2125 GBP
5p ordinary Sale 7,469 41.9842 GBP
5p ordinary Sale 8,625 42.2711 GBP
5p ordinary Sale 9,386 42.2430 GBP
5p ordinary Sale 10,255 42.0402 GBP
ADR Sale 10,443 170.1781 USD
5p ordinary Sale 13,556 42.1917 GBP
5p ordinary Sale 19,197 42.2035 GBP
5p ordinary Sale 23,760 42.2472 GBP
ADR Sale 30,000 170.1200 USD
5p ordinary Sale 42,123 42.1578 GBP
5p ordinary Sale 75,000 42.2084 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 3 42.2660 GBP
5p ordinary SWAP Long 21 42.2787 GBP
5p ordinary SWAP Long 98 42.2991 GBP
5p ordinary SWAP Long 133 42.3041 GBP
5p ordinary SWAP Long 242 42.2768 GBP
5p ordinary SWAP Long 419 42.2758 GBP
5p ordinary SWAP Long 538 42.2507 GBP
5p ordinary SWAP Long 1,159 42.2493 GBP
5p ordinary SWAP Long 1,364 42.2819 GBP
5p ordinary SWAP Long 2,874 42.2390 GBP
5p ordinary CFD Long 3,306 42.2830 GBP
5p ordinary SWAP Long 4,268 42.1118 GBP
5p ordinary SWAP Long 4,589 42.2937 GBP
5p ordinary CFD Long 5,100 42.2014 GBP
5p ordinary SWAP Long 5,701 42.2297 GBP
5p ordinary CFD Long 6,447 42.1896 GBP
5p ordinary CFD Long 7,469 41.9842 GBP
5p ordinary SWAP Short 34 42.2850 GBP
5p ordinary SWAP Short 37 42.2648 GBP
5p ordinary SWAP Short 100 42.1892 GBP
5p ordinary SWAP Short 151 42.1749 GBP
5p ordinary SWAP Short 495 42.2537 GBP
5p ordinary CFD Short 568 42.3108 GBP
5p ordinary CFD Short 773 42.3058 GBP
5p ordinary CFD Short 1,468 42.2759 GBP
5p ordinary CFD Short 1,533 42.3361 GBP
5p ordinary SWAP Short 4,273 42.2567 GBP
5p ordinary CFD Short 6,748 42.3143 GBP
5p ordinary CFD Short 21,651 42.3013 GBP
5p ordinary SWAP Expires 24/06/2019 Short 25,000 42.2716 GBP
5p ordinary SWAP Expires 24/06/2019 Short 25,000 42.3117 GBP
5p ordinary SWAP Short 32,559 42.2208 GBP
5p ordinary SWAP Short 55,389 42.1796 GBP
5p ordinary CFD Short 58,779 42.3061 GBP
5p ordinary SWAP Expires 24/06/2019 Short 70,000 42.3767 GBP
5p ordinary SWAP Short 71,708 42.2129 GBP
5p ordinary SWAP Expires 24/06/2019 Short 75,000 42.3327 GBP
5p ordinary SWAP Expires 24/06/2019 Short 100,000 42.3040 GBP
5p ordinary SWAP Expires 24/06/2019 Short 100,000 42.3255 GBP
5p ordinary SWAP Expires 24/06/2019 Short 150,000 42.2773 GBP
ORD CFD Long 30,000 170.1200 USD

(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        
ORD Call Options Purchasing 100 110 USD American 17 Jan 2020 66.1500 USD
ORD Call Options Purchasing 4,000 180 USD American 20 Jul 2018 1.9750 USD
ORD Call Options Purchasing 2,000 185 USD American 18 Jan 2019 6.5000 USD
ORD Put Options Purchasing 800 135 USD American 20 Jul 2018 0.1600 USD
ORD Put Options Selling 100 135 USD American 17 Jan 2020 6.1500 USD
ORD Put Options Selling 800 140 USD American 20 Jul 2018 0.3600 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: 23 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
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 2,100 140.0000 American 20 Jul 2018
ADR Call Options Purchased 1,700 195.0000 American 17 Jan 2020
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 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 Put Options Purchased -2,300 170.0000 American 25 May 2018
ADR Call Options Written -100 125.0000 American 20 Jul 2018
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 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 Put Options Written 200 135.0000 American 20 Jul 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 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 Put Options Purchased -100 120.0000 American 20 Jul 2018
ADR Call Options Written -100 140.0000 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 Call Options Purchased 200 155.0000 American 17 Jan 2020
ADR Call Options Purchased 200 130.0000 American 17 Jan 2020
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 Put Options Purchased -100 165.0000 American 1 Jun 2018
ADR Put Options Purchased -200 170.0000 American 18 Jan 2019
ADR Call Options Purchased 2,200 185.0000 American 18 Jan 2019
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 Put Options Written 100 110.0000 American 1 Jun 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 Put Options Purchased -200 115.0000 American 19 Oct 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 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 Written -100 130.0000 American 18 Jan 2019
ADR Call Options Written -300 150.0000 American 20 Jul 2018
ADR Call Options Purchased 9,800 160.0000 American 15 Jun 2018
ADR Call Options Purchased 4,200 180.0000 American 20 Jul 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 Call Options Purchased 100 110.0000 American 17 Jan 2020
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 -2,000 175.0000 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 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 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 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 -1,200 135.0000 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: 648055
Time of Receipt (offset from UTC): 20180523T114229+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC