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: 31 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: 9,403,988 1.03% 3,213,743 0.36%
           
(2) Cash-settled derivatives:
389,712 0.04% 4,759,650 0.52%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 362,800 0.04% 577,300 0.06%
           
(4)
TOTAL: 10,156,500 1.11% 8,550,693 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 1 41.4350 GBP
5p ordinary Purchase 16 41.1550 GBP
5p ordinary Purchase 25 41.1000 GBP
5p ordinary Purchase 82 41.4250 GBP
ADR Purchase 93 164.0600 USD
ADR Purchase 100 164.2050 USD
ADR Purchase 105 164.3800 USD
5p ordinary Purchase 145 41.5044 GBP
ADR Purchase 200 164.0500 USD
ADR Purchase 200 164.1200 USD
5p ordinary Purchase 222 41.2311 GBP
5p ordinary Purchase 229 41.1381 GBP
ADR Purchase 238 164.3736 USD
5p ordinary Purchase 240 41.3075 GBP
ADR Purchase 300 164.4363 USD
5p ordinary Purchase 316 40.7878 GBP
ADR Purchase 400 164.2003 USD
ADR Purchase 417 163.2231 USD
5p ordinary Purchase 444 40.9785 GBP
5p ordinary Purchase 571 40.9101 GBP
5p ordinary Purchase 572 41.1661 GBP
5p ordinary Purchase 600 41.0961 GBP
5p ordinary Purchase 696 40.8921 GBP
ADR Purchase 713 164.2796 USD
ADR Purchase 790 164.2400 USD
5p ordinary Purchase 827 41.0946 GBP
5p ordinary Purchase 847 40.9795 GBP
5p ordinary Purchase 1,019 40.8825 GBP
5p ordinary Purchase 1,166 41.4286 GBP
ADR Purchase 1,352 163.4676 USD
5p ordinary Purchase 1,492 41.1582 GBP
5p ordinary Purchase 1,519 41.4340 GBP
5p ordinary Purchase 1,911 41.2787 GBP
5p ordinary Purchase 1,929 41.0000 GBP
ADR Purchase 2,300 163.9734 USD
ADR Purchase 2,800 163.7821 USD
5p ordinary Purchase 3,877 41.2446 GBP
ADR Purchase 4,300 164.0168 USD
5p ordinary Purchase 4,448 41.0544 GBP
ADR Purchase 5,151 163.7511 USD
5p ordinary Purchase 5,360 41.1846 GBP
ADR Purchase 7,600 164.1009 USD
5p ordinary Purchase 7,618 41.3762 GBP
5p ordinary Purchase 10,055 41.1597 GBP
5p ordinary Purchase 13,351 41.3106 GBP
ADR Purchase 15,120 164.0143 USD
5p ordinary Purchase 23,810 41.0001 GBP
5p ordinary Purchase 43,267 41.1704 GBP
5p ordinary Purchase 74,412 40.9959 GBP
5p ordinary Purchase 104,238 41.1435 GBP
ADR Sale 5 164.3800 USD
5p ordinary Sale 5 41.1650 GBP
ADR Sale 100 165.1100 USD
ADR Sale 100 165.1400 USD
ADR Sale 100 164.3900 USD
5p ordinary Sale 222 41.2311 GBP
ADR Sale 230 164.1921 USD
5p ordinary Sale 248 41.4005 GBP
ADR Sale 329 164.3756 USD
ADR Sale 400 164.4375 USD
ADR Sale 400 163.6925 USD
5p ordinary Sale 548 41.3906 GBP
5p ordinary Sale 571 40.9101 GBP
5p ordinary Sale 669 40.8746 GBP
5p ordinary Sale 734 41.0623 GBP
ADR Sale 790 164.2400 USD
ADR Sale 900 164.2000 USD
ADR Sale 1,200 164.6783 USD
ADR Sale 1,200 164.0604 USD
5p ordinary Sale 1,233 40.9814 GBP
5p ordinary Sale 1,282 41.4000 GBP
ADR Sale 1,300 164.1853 USD
ADR Sale 1,300 163.7107 USD
5p ordinary Sale 1,337 40.9967 GBP
ADR Sale 1,406 164.2099 USD
5p ordinary Sale 2,004 41.0418 GBP
ADR Sale 2,100 164.1219 USD
ADR Sale 2,300 164.1697 USD
5p ordinary Sale 2,314 40.9440 GBP
5p ordinary Sale 2,439 41.1429 GBP
5p ordinary Sale 2,922 41.3994 GBP
ADR Sale 4,100 164.0741 USD
ADR Sale 4,500 163.9456 USD
5p ordinary Sale 4,666 41.2891 GBP
5p ordinary Sale 5,531 40.9615 GBP
ADR Sale 5,600 163.9955 USD
5p ordinary Sale 6,631 40.9959 GBP
5p ordinary Sale 7,265 41.0000 GBP
ADR Sale 7,520 163.7140 USD
ADR Sale 7,590 163.8377 USD
5p ordinary Sale 7,839 41.1450 GBP
5p ordinary Sale 9,202 41.2083 GBP
5p ordinary Sale 10,843 41.4076 GBP
5p ordinary Sale 23,561 41.0018 GBP
5p ordinary Sale 35,619 41.1687 GBP
5p ordinary Sale 52,339 41.2153 GBP
5p ordinary Sale 84,888 41.0064 GBP
5p ordinary Sale 137,385 41.0304 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 73 41.2150 GBP
5p ordinary SWAP Long 183 41.2006 GBP
5p ordinary SWAP Long 438 41.1353 GBP
5p ordinary SWAP Long 452 41.1152 GBP
5p ordinary SWAP Long 1,105 41.2793 GBP
5p ordinary CFD Long 1,285 41.4305 GBP
5p ordinary SWAP Long 1,376 41.1020 GBP
5p ordinary CFD Long 2,314 40.9440 GBP
5p ordinary SWAP Long 4,234 41.0000 GBP
5p ordinary CFD Long 4,666 41.2891 GBP
5p ordinary SWAP Long 9,192 40.9843 GBP
5p ordinary SWAP Long 11,794 41.1589 GBP
5p ordinary SWAP Long 15,982 41.0108 GBP
5p ordinary SWAP Long 19,442 40.9999 GBP
5p ordinary CFD Long 34,879 40.9967 GBP
5p ordinary SWAP Long 56,825 41.0586 GBP
5p ordinary CFD Short 1 41.4400 GBP
5p ordinary SWAP Short 65 41.0769 GBP
5p ordinary SWAP Short 200 41.0041 GBP
5p ordinary CFD Short 572 41.1661 GBP
5p ordinary SWAP Short 600 41.0961 GBP
5p ordinary CFD Short 827 41.0946 GBP
5p ordinary SWAP Short 954 41.2265 GBP
5p ordinary SWAP Short 1,100 41.2404 GBP
5p ordinary SWAP Short 2,297 41.2087 GBP
5p ordinary CFD Short 3,877 41.2446 GBP
5p ordinary CFD Short 4,448 41.0544 GBP
5p ordinary SWAP Short 6,902 41.0000 GBP
5p ordinary CFD Short 7,618 41.3762 GBP
5p ordinary CFD Short 10,314 41.0036 GBP
5p ordinary CFD Short 13,014 41.2309 GBP
5p ordinary SWAP Short 30,103 41.0758 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 3,800 165 USD American 20 Jul 2018 4.7500 USD
ADR Call Options Purchasing 1,800 170 USD American 15 Jun 2018 1.0000 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: 1 Jun 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)

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 Call Options Purchased 20,700 175.0000 American 20 Jul 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 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 Call Options Purchased 13,500 170.0000 American 15 Jun 2018
ADR Call Options Purchased 1,100 125.0000 American 18 Jan 2019
ADR Put Options Written 1,000 90.0000 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 Written 22,700 155.0000 American 20 Jul 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 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 5,800 165.0000 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 Purchased 4,500 200.0000 American 18 Jan 2019
ADR Call Options Written -100 163.0000 American 15 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 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 Call Options Purchased 100 173.0000 American 15 Jun 2018
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 Purchased -100 150.0000 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 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 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 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 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 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 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: 648609
Time of Receipt (offset from UTC): 20180601T113453+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC