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: 06 June 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: 9,565,026 1.04% 3,043,693 0.34%
           
(2) Cash-settled derivatives:
267,412 0.03% 5,094,943 0.56%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 401,700 0.05% 576,700 0.06%
           
 
TOTAL: 10,234,138 1.12% 8,715,336 0.96%

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 40 160.3400 USD
5p ordinary Purchase 82 39.7937 GBP
ADR Purchase 100 160.0500 USD
ADR Purchase 100 159.4100 USD
ADR Purchase 100 159.3750 USD
5p ordinary Purchase 147 39.7027 GBP
ADR Purchase 200 159.2500 USD
ADR Purchase 200 160.2400 USD
5p ordinary Purchase 216 39.4400 GBP
5p ordinary Purchase 230 39.8200 GBP
5p ordinary Purchase 267 39.7800 GBP
ADR Purchase 291 159.3456 USD
ADR Purchase 300 159.8966 USD
5p ordinary Purchase 352 39.6582 GBP
ADR Purchase 400 159.2350 USD
ADR Purchase 466 160.3636 USD
ADR Purchase 500 159.5275 USD
ADR Purchase 585 160.1017 USD
ADR Purchase 690 159.9723 USD
5p ordinary Purchase 807 39.7079 GBP
5p ordinary Purchase 946 39.7187 GBP
ADR Purchase 1,000 160.0000 USD
ADR Purchase 1,000 160.0460 USD
ADR Purchase 1,100 159.7736 USD
5p ordinary Purchase 1,278 39.6242 GBP
5p ordinary Purchase 1,400 39.6718 GBP
5p ordinary Purchase 1,639 39.6594 GBP
5p ordinary Purchase 1,645 39.7699 GBP
5p ordinary Purchase 1,662 39.5453 GBP
ADR Purchase 1,700 160.1222 USD
ADR Purchase 2,040 160.1774 USD
5p ordinary Purchase 2,297 39.6868 GBP
5p ordinary Purchase 2,973 39.6460 GBP
ADR Purchase 3,352 159.8567 USD
ADR Purchase 3,600 159.3573 USD
ADR Purchase 3,621 160.1267 USD
ADR Purchase 4,000 159.4292 USD
5p ordinary Purchase 4,839 39.6475 GBP
5p ordinary Purchase 5,439 39.7165 GBP
5p ordinary Purchase 5,590 39.5575 GBP
ADR Purchase 6,242 159.9741 USD
ADR Purchase 11,891 159.7967 USD
5p ordinary Purchase 20,083 39.7206 GBP
5p ordinary Purchase 29,268 39.7590 GBP
ADR Purchase 30,011 160.2577 USD
5p ordinary Purchase 31,468 39.7351 GBP
5p ordinary Purchase 35,572 39.6971 GBP
5p ordinary Purchase 100,577 39.7404 GBP
5p ordinary Sale 10 39.7950 GBP
ADR Sale 40 160.3400 USD
5p ordinary Sale 52 39.8200 GBP
ADR Sale 100 160.6150 USD
ADR Sale 200 159.2250 USD
5p ordinary Sale 202 39.7417 GBP
5p ordinary Sale 261 39.7481 GBP
ADR Sale 352 160.2416 USD
ADR Sale 400 159.9275 USD
ADR Sale 400 159.2425 USD
ADR Sale 466 160.3636 USD
ADR Sale 491 159.3647 USD
5p ordinary Sale 602 39.8321 GBP
5p ordinary Sale 625 39.7815 GBP
ADR Sale 800 159.6687 USD
ADR Sale 900 160.5100 USD
5p ordinary Sale 1,008 39.7305 GBP
ADR Sale 1,100 159.9389 USD
5p ordinary Sale 1,500 39.8466 GBP
5p ordinary Sale 1,650 39.7710 GBP
ADR Sale 2,190 160.1054 USD
ADR Sale 2,200 159.7986 USD
5p ordinary Sale 2,454 39.5993 GBP
5p ordinary Sale 2,584 39.6739 GBP
5p ordinary Sale 3,180 39.6207 GBP
5p ordinary Sale 3,278 39.8482 GBP
ADR Sale 3,700 159.3328 USD
ADR Sale 3,721 160.0000 USD
ADR Sale 3,800 159.4400 USD
5p ordinary Sale 5,000 39.6616 GBP
5p ordinary Sale 5,868 39.7800 GBP
5p ordinary Sale 6,687 39.5477 GBP
5p ordinary Sale 7,030 39.7505 GBP
5p ordinary Sale 8,374 39.7998 GBP
5p ordinary Sale 17,036 39.7516 GBP
5p ordinary Sale 20,674 39.7817 GBP
ADR Sale 22,458 159.8893 USD
ADR Sale 30,011 160.2578 USD
5p ordinary Sale 47,841 39.7410 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 43 39.6637 GBP
5p ordinary SWAP Long 843 39.7085 GBP
5p ordinary CFD Long 2,100 39.7764 GBP
5p ordinary CFD Long 2,584 39.6739 GBP
5p ordinary CFD Long 3,278 39.8482 GBP
5p ordinary SWAP Long 3,770 39.6575 GBP
5p ordinary SWAP Long 3,974 39.5280 GBP
5p ordinary CFD Long 7,030 39.7505 GBP
5p ordinary SWAP Long 12,337 39.7800 GBP
5p ordinary SWAP Short 11 39.5654 GBP
5p ordinary SWAP Short 13 39.6646 GBP
5p ordinary SWAP Short 36 39.7280 GBP
5p ordinary SWAP Short 290 39.7625 GBP
5p ordinary SWAP Short 439 39.7168 GBP
5p ordinary CFD Short 946 39.7187 GBP
5p ordinary CFD Short 955 39.5575 GBP
5p ordinary CFD Short 1,278 39.6242 GBP
5p ordinary SWAP Short 3,962 39.7129 GBP
5p ordinary SWAP Short 4,331 39.6677 GBP
5p ordinary CFD Short 4,696 39.6032 GBP
5p ordinary CFD Short 4,839 39.6475 GBP
5p ordinary SWAP Short 10,353 39.7800 GBP
5p ordinary CFD Short 15,176 39.5624 GBP
5p ordinary CFD Short 20,083 39.7206 GBP
5p ordinary SWAP Short 35,735 39.7714 GBP
5p ordinary SWAP Short 44,335 39.7256 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: 7 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)

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 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 13,500 170.0000 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 Put Options Written 1,000 90.0000 American 18 Jan 2019
ADR Call Options Purchased 600 125.0000 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 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 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 Written -1,500 148.0000 American 22 Jun 2018
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 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 12,500 163.0000 American 15 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 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 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 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 Call Options Purchased 37,200 160.0000 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 1,000 160.0000 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 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 -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
ADR Put Options Purchased -1,200 135.0000 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: 648931
Time of Receipt (offset from UTC): 20180607T123437+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC