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: 11 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: 9,968,002 1.09% 3,884,912 0.42%
           
(2) Cash-settled derivatives:
267,575 0.03% 5,184,515 0.57%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 409,400 0.05% 579,200 0.06%
           
 
TOTAL: 10,644,977 1.17% 9,648,627 1.05%

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 28 160.6100 USD
5p ordinary Purchase 73 40.3425 GBP
ADR Purchase 100 161.2200 USD
ADR Purchase 100 161.2800 USD
ADR Purchase 100 160.7300 USD
5p ordinary Purchase 150 40.4750 GBP
ADR Purchase 200 160.6600 USD
ADR Purchase 200 160.4950 USD
5p ordinary Purchase 240 40.4669 GBP
5p ordinary Purchase 278 40.1503 GBP
5p ordinary Purchase 282 40.2700 GBP
ADR Purchase 300 160.7233 USD
5p ordinary Purchase 310 40.2663 GBP
5p ordinary Purchase 375 40.2720 GBP
5p ordinary Purchase 487 40.2019 GBP
5p ordinary Purchase 741 40.2059 GBP
5p ordinary Purchase 748 40.1493 GBP
ADR Purchase 800 160.5700 USD
ADR Purchase 1,020 160.9535 USD
5p ordinary Purchase 1,023 40.1051 GBP
ADR Purchase 1,100 160.7041 USD
5p ordinary Purchase 1,141 40.1970 GBP
ADR Purchase 1,600 160.6465 USD
ADR Purchase 1,613 160.9733 USD
ADR Purchase 1,800 160.6297 USD
5p ordinary Purchase 2,031 40.1337 GBP
5p ordinary Purchase 2,185 40.2730 GBP
ADR Purchase 2,506 160.4800 USD
5p ordinary Purchase 2,551 40.2563 GBP
ADR Purchase 2,679 160.5787 USD
ADR Purchase 2,780 160.6957 USD
5p ordinary Purchase 2,834 40.1956 GBP
5p ordinary Purchase 2,954 40.2727 GBP
5p ordinary Purchase 3,000 40.3276 GBP
5p ordinary Purchase 3,785 39.9429 GBP
ADR Purchase 3,814 160.5724 USD
5p ordinary Purchase 6,065 40.0329 GBP
5p ordinary Purchase 7,581 40.2641 GBP
5p ordinary Purchase 7,711 40.0213 GBP
ADR Purchase 14,252 160.7926 USD
5p ordinary Purchase 16,664 39.9382 GBP
5p ordinary Purchase 17,240 40.0370 GBP
ADR Purchase 17,437 160.7968 USD
5p ordinary Purchase 27,584 40.1601 GBP
5p ordinary Purchase 34,480 40.0304 GBP
5p ordinary Purchase 37,511 40.2638 GBP
5p ordinary Purchase 40,790 39.9400 GBP
ADR Purchase 59,163 160.5054 USD
5p ordinary Purchase 68,960 40.0256 GBP
5p ordinary Purchase 197,269 40.0845 GBP
5p ordinary Sale 26 40.2692 GBP
ADR Sale 28 160.6100 USD
5p ordinary Sale 48 39.9500 GBP
5p ordinary Sale 73 40.4500 GBP
5p ordinary Sale 73 40.2850 GBP
5p ordinary Sale 75 40.4750 GBP
ADR Sale 100 161.1500 USD
ADR Sale 100 160.5100 USD
ADR Sale 200 160.7350 USD
ADR Sale 200 161.2500 USD
ADR Sale 200 160.8750 USD
5p ordinary Sale 268 40.5002 GBP
5p ordinary Sale 407 40.1441 GBP
ADR Sale 500 161.0300 USD
5p ordinary Sale 511 40.3500 GBP
5p ordinary Sale 520 40.1261 GBP
5p ordinary Sale 665 40.2474 GBP
5p ordinary Sale 748 40.1493 GBP
ADR Sale 813 160.9753 USD
5p ordinary Sale 944 40.4350 GBP
ADR Sale 1,020 160.9535 USD
ADR Sale 1,100 160.7172 USD
ADR Sale 1,247 160.5485 USD
5p ordinary Sale 1,386 40.2282 GBP
5p ordinary Sale 1,461 40.4357 GBP
ADR Sale 1,500 160.6123 USD
5p ordinary Sale 1,551 40.4801 GBP
ADR Sale 1,600 160.5990 USD
5p ordinary Sale 1,764 40.2733 GBP
5p ordinary Sale 1,800 40.2600 GBP
5p ordinary Sale 2,113 39.9417 GBP
5p ordinary Sale 2,223 40.3092 GBP
ADR Sale 2,406 160.4800 USD
5p ordinary Sale 2,798 40.1538 GBP
5p ordinary Sale 3,700 40.4358 GBP
5p ordinary Sale 3,895 40.4363 GBP
5p ordinary Sale 3,953 40.1802 GBP
5p ordinary Sale 5,301 40.1906 GBP
5p ordinary Sale 6,359 40.0456 GBP
5p ordinary Sale 6,504 40.2498 GBP
5p ordinary Sale 9,982 40.4340 GBP
5p ordinary Sale 10,275 40.1591 GBP
5p ordinary Sale 11,400 40.1487 GBP
ADR Sale 17,737 160.7966 USD
5p ordinary Sale 24,135 40.1638 GBP
ADR Sale 24,625 160.7141 USD
5p ordinary Sale 31,084 40.0000 GBP
5p ordinary Sale 41,706 39.9400 GBP
5p ordinary Sale 77,325 40.1126 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 26 40.2688 GBP
5p ordinary SWAP Long 278 40.0652 GBP
5p ordinary SWAP Long 497 40.3207 GBP
5p ordinary CFD Long 520 40.1261 GBP
5p ordinary CFD Long 1,386 40.2282 GBP
5p ordinary SWAP Long 1,551 40.4801 GBP
5p ordinary CFD Long 2,139 39.9804 GBP
5p ordinary CFD Long 2,223 40.3092 GBP
5p ordinary CFD Long 3,785 40.3620 GBP
5p ordinary SWAP Long 5,278 40.1843 GBP
5p ordinary CFD Long 6,197 40.4781 GBP
5p ordinary CFD Long 6,359 40.0456 GBP
5p ordinary SWAP Long 6,800 39.9360 GBP
5p ordinary SWAP Long 8,267 40.2051 GBP
5p ordinary CFD Short 12 40.1500 GBP
5p ordinary CFD Short 49 40.1504 GBP
5p ordinary SWAP Short 55 40.1443 GBP
5p ordinary CFD Short 217 40.1503 GBP
5p ordinary SWAP Short 283 40.2654 GBP
5p ordinary CFD Short 900 39.9436 GBP
5p ordinary SWAP Short 1,280 40.0510 GBP
5p ordinary SWAP Short 2,115 40.0319 GBP
5p ordinary CFD Short 2,796 40.3003 GBP
5p ordinary CFD Short 3,785 39.9429 GBP
5p ordinary SWAP Short 5,460 39.9400 GBP
5p ordinary CFD Short 7,711 40.0213 GBP
5p ordinary CFD Short 12,912 40.3612 GBP
5p ordinary SWAP Short 32,476 40.3073 GBP
5p ordinary CFD Short 36,400 39.9431 GBP
5p ordinary SWAP Short 43,957 40.0353 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 Purchasing 100 170 USD American 20 Jul 2018 1.2000 USD
ORD Put Options Purchasing 2,600 160 USD American 20 Jul 2018 4.2000 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: 12 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
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 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 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 1,000 168.0000 American 15 Jun 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 -2,600 160.0000 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 Call Options Written -100 125.0000 American 20 Jul 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 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 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 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 Purchased 5,800 165.0000 American 20 Jul 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 Written -1,500 148.0000 American 22 Jun 2018
ADR Call Options Purchased 200 120.0000 American 17 Jan 2020
ADR Call Options Purchased 100 173.0000 American 15 Jun 2018
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 500 195.0000 American 18 Jan 2019
ADR Put Options Written 500 125.0000 American 20 Jul 2018
ADR Call Options Purchased 400 165.0000 American 18 Jan 2019
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 200 160.0000 American 17 Jan 2020
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 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 -4,200 170.0000 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 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 37,200 160.0000 American 15 Jun 2018
ADR Call Options Purchased 7,500 160.0000 American 20 Jul 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 600 165.0000 American 22 Jun 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 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 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 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: 649212
Time of Receipt (offset from UTC): 20180612T133500+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC