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: 25 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: 9,607,975 1.06% 3,198,604 0.34%
           
(2) Cash-settled derivatives:
362,480 0.04% 4,857,847 0.53%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 358,200 0.04% 579,300 0.06%
           
 
TOTAL: 10,328,655 1.14% 8,635,751 0.94%

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 8 41.1550 GBP
5p ordinary Purchase 22 41.2800 GBP
ADR Purchase 100 164.8800 USD
ADR Purchase 100 165.2200 USD
ADR Purchase 100 164.7600 USD
ADR Purchase 109 164.9300 USD
ADR Purchase 144 164.9400 USD
5p ordinary Purchase 162 41.1700 GBP
5p ordinary Purchase 162 41.1675 GBP
5p ordinary Purchase 162 41.0975 GBP
5p ordinary Purchase 162 41.1825 GBP
5p ordinary Purchase 163 41.1750 GBP
5p ordinary Purchase 163 41.1725 GBP
5p ordinary Purchase 163 41.1450 GBP
5p ordinary Purchase 182 41.2167 GBP
5p ordinary Purchase 200 41.2001 GBP
ADR Purchase 200 164.9500 USD
5p ordinary Purchase 217 41.1900 GBP
5p ordinary Purchase 230 41.1425 GBP
ADR Purchase 234 164.6791 USD
ADR Purchase 247 164.5142 USD
ADR Purchase 261 164.8042 USD
5p ordinary Purchase 282 41.1597 GBP
ADR Purchase 300 164.9900 USD
ADR Purchase 400 164.9357 USD
ADR Purchase 808 164.8200 USD
ADR Purchase 923 164.9360 USD
5p ordinary Purchase 966 41.3000 GBP
5p ordinary Purchase 1,003 41.2634 GBP
ADR Purchase 1,006 164.9463 USD
5p ordinary Purchase 1,080 41.2066 GBP
5p ordinary Purchase 1,109 41.3298 GBP
5p ordinary Purchase 1,374 41.3310 GBP
ADR Purchase 1,519 165.2300 USD
5p ordinary Purchase 1,858 41.2509 GBP
5p ordinary Purchase 1,935 41.2833 GBP
5p ordinary Purchase 2,062 41.2788 GBP
5p ordinary Purchase 2,719 41.3350 GBP
ADR Purchase 2,900 165.0737 USD
ADR Purchase 3,000 164.9966 USD
ADR Purchase 3,000 165.0710 USD
5p ordinary Purchase 3,053 41.2192 GBP
ADR Purchase 4,500 165.0480 USD
ADR Purchase 4,702 164.9097 USD
5p ordinary Purchase 5,272 41.2852 GBP
5p ordinary Purchase 9,016 41.2406 GBP
5p ordinary Purchase 11,854 41.2252 GBP
ADR Purchase 13,711 164.9273 USD
5p ordinary Purchase 14,494 41.2656 GBP
5p ordinary Purchase 15,994 41.2821 GBP
5p ordinary Purchase 21,014 41.3301 GBP
ADR Purchase 21,800 165.0000 USD
5p ordinary Purchase 22,665 41.2804 GBP
5p ordinary Purchase 55,567 41.3244 GBP
ADR Purchase 58,121 164.9570 USD
5p ordinary Purchase 69,325 41.2541 GBP
ADR Sale 9 164.9300 USD
ADR Sale 17 164.9400 USD
5p ordinary Sale 73 41.2260 GBP
ADR Sale 100 165.3000 USD
5p ordinary Sale 105 41.2380 GBP
5p ordinary Sale 124 41.2000 GBP
5p ordinary Sale 159 41.1876 GBP
5p ordinary Sale 162 41.0975 GBP
5p ordinary Sale 162 41.1700 GBP
5p ordinary Sale 162 41.1825 GBP
5p ordinary Sale 162 41.1675 GBP
5p ordinary Sale 163 41.1725 GBP
5p ordinary Sale 163 41.1750 GBP
5p ordinary Sale 163 41.1450 GBP
ADR Sale 200 165.0450 USD
5p ordinary Sale 230 41.1425 GBP
ADR Sale 300 164.8933 USD
ADR Sale 400 165.1125 USD
ADR Sale 400 164.8600 USD
ADR Sale 400 164.8025 USD
ADR Sale 500 164.9480 USD
5p ordinary Sale 615 41.2752 GBP
5p ordinary Sale 646 41.2787 GBP
5p ordinary Sale 654 41.3350 GBP
ADR Sale 690 164.8039 USD
ADR Sale 700 164.9042 USD
ADR Sale 700 164.8650 USD
5p ordinary Sale 725 41.1457 GBP
ADR Sale 842 164.6934 USD
ADR Sale 1,000 164.9790 USD
5p ordinary Sale 1,062 41.2458 GBP
ADR Sale 1,200 165.0225 USD
ADR Sale 1,400 164.8453 USD
ADR Sale 1,646 165.2300 USD
5p ordinary Sale 1,792 41.2724 GBP
ADR Sale 1,900 165.0973 USD
5p ordinary Sale 1,947 41.2715 GBP
ADR Sale 2,095 165.0387 USD
ADR Sale 2,300 165.0695 USD
5p ordinary Sale 2,621 41.1535 GBP
5p ordinary Sale 2,680 41.2886 GBP
5p ordinary Sale 2,734 41.1859 GBP
ADR Sale 3,302 164.8814 USD
5p ordinary Sale 4,032 41.2203 GBP
ADR Sale 4,200 165.0773 USD
5p ordinary Sale 5,457 41.2811 GBP
ADR Sale 5,685 165.0731 USD
5p ordinary Sale 6,051 41.2209 GBP
5p ordinary Sale 9,051 41.2393 GBP
5p ordinary Sale 10,108 41.2283 GBP
ADR Sale 11,063 164.8481 USD
ADR Sale 13,236 165.0413 USD
ADR Sale 17,500 164.8529 USD
ADR Sale 20,800 165.0000 USD
5p ordinary Sale 27,710 41.2614 GBP
5p ordinary Sale 31,108 41.2660 GBP
5p ordinary Sale 48,757 41.3368 GBP
5p ordinary Sale 65,831 41.2978 GBP
5p ordinary Sale 69,020 41.2230 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 663 41.1358 GBP
5p ordinary SWAP Long 703 41.2691 GBP
5p ordinary SWAP Long 783 41.3050 GBP
5p ordinary SWAP Long 1,726 41.2505 GBP
5p ordinary SWAP Long 1,726 41.3350 GBP
5p ordinary CFD Long 2,734 41.1859 GBP
5p ordinary CFD Long 9,051 41.2393 GBP
5p ordinary CFD Long 16,755 41.3093 GBP
5p ordinary SWAP Long 17,060 41.2287 GBP
5p ordinary CFD Long 22,638 41.3316 GBP
5p ordinary SWAP Long 34,812 41.2454 GBP
5p ordinary SWAP Long 69,020 41.2230 GBP
5p ordinary SWAP Short 34 41.2408 GBP
5p ordinary SWAP Short 78 41.2250 GBP
5p ordinary CFD Short 282 41.1597 GBP
5p ordinary SWAP Short 452 41.1975 GBP
5p ordinary SWAP Short 706 41.1782 GBP
5p ordinary CFD Short 1,003 41.2634 GBP
5p ordinary CFD Short 4,000 41.3153 GBP
5p ordinary SWAP Short 5,650 41.2031 GBP
5p ordinary SWAP Short 13,804 41.3350 GBP
5p ordinary CFD Short 15,994 41.2821 GBP
5p ordinary CFD Short 17,188 41.2843 GBP
5p ordinary CFD Short 21,014 41.3301 GBP
5p ordinary SWAP Short 53,026 41.2222 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: 29 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.

143221.01

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 Call Options Purchased 20,700 175.0000 American 20 Jul 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 -1,500 165.0000 American 18 Jan 2019
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 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 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 Put Options Written 22,700 155.0000 American 20 Jul 2018
ADR Call Options Purchased 11,700 170.0000 American 15 Jun 2018
ADR Call Options Purchased 3,600 185.0000 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 -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 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 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 -1,500 148.0000 American 22 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 Put Options Purchased -600 165.0000 American 1 Jun 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 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 -1,200 115.0000 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 Put Options Purchased -1,000 105.0000 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 Put Options Purchased -2,300 85.0000 American 18 Jan 2019
ADR Call Options Written -4,200 170.0000 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 Put Options Purchased -500 140.0000 American 17 Jan 2020
ADR Put Options Purchased -1,000 80.0000 American 17 Jan 2020
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 -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 Purchased -1,100 140.0000 American 18 Jan 2019
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 Put Options Written 500 160.0000 American 1 Jun 2018
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 -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
ADR Put Options Purchased -500 145.0000 American 18 Jan 2019
ADR Put Options Purchased -1,000 170.0000 American 17 Jan 2020

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: 648335
Time of Receipt (offset from UTC): 20180529T092901+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC