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: 29 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: 9,553,974 1.05% 3,188,408 0.35%
           
(2) Cash-settled derivatives:
373,106 0.04% 4,893,168 0.54%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 356,300 0.04% 586,100 0.06%
           
(4)
TOTAL: 10,283,380 1.13% 8,667,676 0.95%

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 44 164.3895 USD
ADR Purchase 45 163.4000 USD
ADR Purchase 75 162.8104 USD
ADR Purchase 100 164.1500 USD
ADR Purchase 100 164.2200 USD
ADR Purchase 100 162.5700 USD
ADR Purchase 100 162.8000 USD
ADR Purchase 100 162.7800 USD
5p ordinary Purchase 104 40.8150 GBP
ADR Purchase 115 163.8299 USD
5p ordinary Purchase 128 40.8734 GBP
ADR Purchase 137 164.3008 USD
5p ordinary Purchase 180 40.8800 GBP
ADR Purchase 200 162.8950 USD
5p ordinary Purchase 209 40.8127 GBP
ADR Purchase 300 163.6300 USD
5p ordinary Purchase 313 40.8117 GBP
5p ordinary Purchase 372 40.8100 GBP
5p ordinary Purchase 433 40.9619 GBP
5p ordinary Purchase 550 41.0431 GBP
ADR Purchase 600 162.8500 USD
5p ordinary Purchase 628 40.9636 GBP
5p ordinary Purchase 655 40.8950 GBP
ADR Purchase 700 163.6557 USD
ADR Purchase 903 162.6000 USD
5p ordinary Purchase 920 40.8756 GBP
5p ordinary Purchase 966 40.9109 GBP
ADR Purchase 1,102 162.9602 USD
ADR Purchase 1,247 162.5500 USD
5p ordinary Purchase 1,470 40.9634 GBP
5p ordinary Purchase 1,600 40.9276 GBP
ADR Purchase 1,637 164.2000 USD
5p ordinary Purchase 2,783 40.9521 GBP
ADR Purchase 3,600 163.1487 USD
5p ordinary Purchase 3,624 40.8829 GBP
ADR Purchase 3,650 163.6271 USD
ADR Purchase 3,700 163.1409 USD
ADR Purchase 3,936 162.7784 USD
ADR Purchase 3,936 162.7785 USD
ADR Purchase 3,963 162.8916 USD
5p ordinary Purchase 4,049 40.9837 GBP
5p ordinary Purchase 4,915 40.8722 GBP
5p ordinary Purchase 5,294 40.9319 GBP
5p ordinary Purchase 5,469 40.8561 GBP
5p ordinary Purchase 6,886 40.8893 GBP
5p ordinary Purchase 6,903 40.8553 GBP
5p ordinary Purchase 7,469 40.9644 GBP
ADR Purchase 12,777 163.1380 USD
ADR Purchase 15,237 162.9200 USD
5p ordinary Purchase 16,900 40.8635 GBP
5p ordinary Purchase 22,321 40.9131 GBP
5p ordinary Purchase 95,745 40.8770 GBP
5p ordinary Purchase 183,699 40.8977 GBP
ADR Sale 44 164.3895 USD
ADR Sale 45 163.4000 USD
ADR Sale 100 162.7900 USD
ADR Sale 100 162.8900 USD
ADR Sale 100 163.0900 USD
5p ordinary Sale 107 40.8850 GBP
ADR Sale 115 163.8299 USD
ADR Sale 175 162.7930 USD
5p ordinary Sale 180 40.8800 GBP
ADR Sale 200 162.8150 USD
ADR Sale 233 162.7814 USD
ADR Sale 300 162.7833 USD
5p ordinary Sale 349 40.8553 GBP
ADR Sale 400 163.3025 USD
ADR Sale 400 163.4546 USD
ADR Sale 600 163.7550 USD
5p ordinary Sale 635 40.7632 GBP
5p ordinary Sale 770 40.9259 GBP
5p ordinary Sale 844 40.8816 GBP
ADR Sale 1,001 162.8779 USD
ADR Sale 1,245 162.8514 USD
5p ordinary Sale 1,328 40.9100 GBP
ADR Sale 1,503 162.7827 USD
5p ordinary Sale 1,617 40.7498 GBP
ADR Sale 1,800 162.7730 USD
ADR Sale 1,800 163.5126 USD
ADR Sale 1,900 162.7735 USD
ADR Sale 1,924 162.9928 USD
ADR Sale 1,974 164.2000 USD
ADR Sale 2,150 162.5710 USD
5p ordinary Sale 2,224 40.9108 GBP
5p ordinary Sale 2,289 40.8650 GBP
5p ordinary Sale 2,422 40.8904 GBP
5p ordinary Sale 3,091 40.8205 GBP
ADR Sale 3,100 163.0220 USD
5p ordinary Sale 3,423 40.8778 GBP
5p ordinary Sale 3,513 40.8879 GBP
ADR Sale 3,936 162.7784 USD
ADR Sale 4,195 162.7822 USD
5p ordinary Sale 4,340 40.8735 GBP
5p ordinary Sale 4,907 40.8720 GBP
ADR Sale 5,972 162.9901 USD
5p ordinary Sale 7,000 40.8805 GBP
5p ordinary Sale 8,033 40.8675 GBP
5p ordinary Sale 13,153 40.9392 GBP
5p ordinary Sale 16,475 40.8791 GBP
ADR Sale 22,392 163.1540 USD
5p ordinary Sale 34,095 40.8944 GBP
5p ordinary Sale 37,582 40.9119 GBP
5p ordinary Sale 77,444 40.8550 GBP
5p ordinary Sale 113,669 40.9027 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 122 40.8913 GBP
5p ordinary SWAP Long 219 40.8750 GBP
5p ordinary CFD Long 635 40.7632 GBP
5p ordinary CFD Long 844 40.8816 GBP
5p ordinary CFD Long 1,109 40.8533 GBP
5p ordinary CFD Long 2,115 40.8804 GBP
5p ordinary SWAP Long 2,488 40.8703 GBP
5p ordinary CFD Long 3,513 40.8879 GBP
5p ordinary CFD Long 5,000 40.9376 GBP
5p ordinary CFD Long 5,757 40.7379 GBP
5p ordinary SWAP Long 10,625 40.8515 GBP
5p ordinary CFD Long 13,153 40.9392 GBP
5p ordinary SWAP Long 15,866 40.9012 GBP
5p ordinary CFD Long 18,381 40.9067 GBP
5p ordinary SWAP Short 27 40.8796 GBP
5p ordinary CFD Short 266 40.7632 GBP
5p ordinary CFD Short 447 40.9131 GBP
5p ordinary SWAP Short 532 40.9013 GBP
5p ordinary SWAP Short 886 40.8939 GBP
5p ordinary CFD Short 2,783 40.9521 GBP
5p ordinary SWAP Short 3,562 40.8367 GBP
5p ordinary CFD Short 3,783 40.9992 GBP
5p ordinary CFD Short 5,294 40.9319 GBP
5p ordinary CFD Short 8,730 40.9124 GBP
5p ordinary SWAP Short 10,554 40.9310 GBP
5p ordinary CFD Short 16,031 40.9399 GBP
5p ordinary SWAP Short 20,707 40.9100 GBP
5p ordinary SWAP Short 30,920 40.8627 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        
ORD Call Options Selling 100 170 USD American 20 Jul 2018 3.5000 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: 30 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 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 -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 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 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 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 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 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 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 Written -1,500 148.0000 American 22 Jun 2018
ADR Call Options Purchased 2,200 185.0000 American 18 Jan 2019
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 -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 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 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 -4,300 170.0000 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 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 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 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: 648450
Time of Receipt (offset from UTC): 20180530T141026+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC