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: 14 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: 8,500,303 0.93% 3,620,021 0.40%
           
(2) Cash-settled derivatives:
162,571 0.02% 4,681,703 0.51%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 424,500 0.05% 574,400 0.06%
           
(4)
TOTAL: 9,087,374 0.99% 8,876,124 0.97%

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 31 162.4400 USD
5p ordinary Purchase 33 40.7950 GBP
5p ordinary Purchase 33 40.1939 GBP
ADR Purchase 38 162.6797 USD
ADR Purchase 72 162.7300 USD
ADR Purchase 100 162.7000 USD
ADR Purchase 100 162.4700 USD
ADR Purchase 100 162.6100 USD
ADR Purchase 122 162.6996 USD
5p ordinary Purchase 150 40.6931 GBP
ADR Purchase 200 162.5400 USD
ADR Purchase 200 162.6000 USD
5p ordinary Purchase 210 40.3075 GBP
5p ordinary Purchase 298 40.5875 GBP
ADR Purchase 300 162.7233 USD
ADR Purchase 300 162.2400 USD
ADR Purchase 350 162.3328 USD
ADR Purchase 400 162.9325 USD
ADR Purchase 400 162.2650 USD
ADR Purchase 400 162.6875 USD
ADR Purchase 600 162.5341 USD
5p ordinary Purchase 828 40.7070 GBP
ADR Purchase 862 162.7160 USD
ADR Purchase 940 162.5944 USD
ADR Purchase 1,000 162.5635 USD
ADR Purchase 1,000 162.6355 USD
5p ordinary Purchase 1,006 40.4667 GBP
ADR Purchase 1,018 162.7700 USD
5p ordinary Purchase 1,175 40.7157 GBP
5p ordinary Purchase 1,295 40.6950 GBP
ADR Purchase 1,300 162.5934 USD
5p ordinary Purchase 1,395 40.6759 GBP
5p ordinary Purchase 1,533 40.7072 GBP
5p ordinary Purchase 1,741 40.2102 GBP
ADR Purchase 1,949 162.5641 USD
5p ordinary Purchase 2,173 40.5383 GBP
ADR Purchase 2,300 162.6647 USD
5p ordinary Purchase 2,364 40.7983 GBP
ADR Purchase 2,400 162.6231 USD
5p ordinary Purchase 4,436 40.6314 GBP
5p ordinary Purchase 5,988 40.5427 GBP
5p ordinary Purchase 12,291 40.6852 GBP
5p ordinary Purchase 12,480 40.2691 GBP
5p ordinary Purchase 12,560 40.5435 GBP
5p ordinary Purchase 16,557 40.6934 GBP
ADR Purchase 16,560 162.7085 USD
5p ordinary Purchase 101,776 40.6755 GBP
ADR Sale 31 162.4400 USD
ADR Sale 72 162.7300 USD
ADR Sale 100 162.8950 USD
ADR Sale 100 162.8450 USD
ADR Sale 100 162.6700 USD
ADR Sale 122 162.6996 USD
5p ordinary Sale 219 40.3650 GBP
ADR Sale 300 162.3700 USD
ADR Sale 300 162.3933 USD
ADR Sale 300 163.1400 USD
5p ordinary Sale 335 40.2410 GBP
ADR Sale 438 162.5818 USD
ADR Sale 481 162.7138 USD
ADR Sale 500 162.4840 USD
5p ordinary Sale 520 40.4378 GBP
5p ordinary Sale 636 40.7075 GBP
ADR Sale 700 162.7029 USD
ADR Sale 900 162.6511 USD
5p ordinary Sale 986 40.2756 GBP
ADR Sale 1,123 162.7700 USD
ADR Sale 1,200 162.5154 USD
ADR Sale 1,300 162.5934 USD
5p ordinary Sale 1,500 40.7771 GBP
5p ordinary Sale 2,085 40.5332 GBP
5p ordinary Sale 2,474 40.6821 GBP
5p ordinary Sale 2,730 40.4964 GBP
5p ordinary Sale 4,146 40.6369 GBP
5p ordinary Sale 4,300 40.2483 GBP
5p ordinary Sale 5,264 40.6772 GBP
5p ordinary Sale 7,644 40.2526 GBP
5p ordinary Sale 10,514 40.3325 GBP
5p ordinary Sale 11,626 40.7090 GBP
5p ordinary Sale 15,226 40.6968 GBP
5p ordinary Sale 20,003 40.6950 GBP
ADR Sale 24,980 162.6704 USD
5p ordinary Sale 26,920 40.4553 GBP
5p ordinary Sale 34,480 40.7428 GBP
5p ordinary Sale 40,167 40.4953 GBP
5p ordinary Sale 41,376 40.2591 GBP
5p ordinary Sale 57,547 40.3837 GBP
5p ordinary Sale 68,753 40.5583 GBP
5p ordinary Sale 68,960 40.1400 GBP
5p ordinary Sale 287,251 40.3538 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 16 40.6643 GBP
5p ordinary SWAP Long 57 40.2008 GBP
5p ordinary SWAP Long 73 40.7200 GBP
5p ordinary CFD Long 247 40.8389 GBP
5p ordinary CFD Long 300 40.5766 GBP
5p ordinary CFD Long 335 40.2409 GBP
5p ordinary SWAP Long 861 40.2994 GBP
5p ordinary SWAP Long 1,101 40.6896 GBP
5p ordinary CFD Long 1,500 40.7771 GBP
5p ordinary SWAP Long 2,056 40.3302 GBP
5p ordinary CFD Long 2,346 40.6917 GBP
5p ordinary CFD Long 2,614 40.2912 GBP
5p ordinary SWAP Long 2,913 40.3279 GBP
5p ordinary CFD Long 4,783 40.2012 GBP
5p ordinary SWAP Long 15,544 40.6950 GBP
5p ordinary SWAP Long 34,480 40.7428 GBP
5p ordinary SWAP Long 41,253 40.4538 GBP
5p ordinary SWAP Long 68,753 40.5583 GBP
5p ordinary SWAP Long 68,960 40.1400 GBP
5p ordinary CFD Short 33 40.1939 GBP
5p ordinary SWAP Short 33 40.7951 GBP
5p ordinary SWAP Short 92 40.4238 GBP
5p ordinary SWAP Short 258 40.3957 GBP
5p ordinary CFD Short 300 40.2841 GBP
5p ordinary SWAP Short 411 40.5952 GBP
5p ordinary CFD Short 828 40.7070 GBP
5p ordinary CFD Short 1,006 40.4667 GBP
5p ordinary SWAP Short 1,263 40.6584 GBP
5p ordinary CFD Short 2,364 40.7983 GBP
5p ordinary CFD Short 4,436 40.6314 GBP
5p ordinary SWAP Short 4,653 40.6795 GBP
5p ordinary CFD Short 5,004 40.7693 GBP
5p ordinary CFD Short 8,756 40.6977 GBP
5p ordinary SWAP Short 36,804 40.6950 GBP
5p ordinary SWAP Short 59,926 40.6613 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 200 165 USD American 20 Jul 2018 3.0000 USD
ADR Call Options Selling 1,100 210 USD American 19 Oct 2018 0.2200 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: 15 Jun 2018
Contact name: Femi Badmos
Telephone number: 020 3555 1125

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
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 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 -2,600 160.0000 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 22,700 155.0000 American 20 Jul 2018
ADR Call Options Purchased 14,900 168.0000 American 29 Jun 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 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 6,000 165.0000 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 -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 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 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 -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 -154,500 165.0000 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 -2,000 163.0000 American 15 Jun 2018
ADR Put Options Purchased -2,300 85.0000 American 18 Jan 2019
ADR Call Options Written -3,800 170.0000 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 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 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 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 Call Options Written -1,100 210.0000 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
5p ordinary Put Options Written 125,000 3600.0000 American 21 Dec 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: 649541
Time of Receipt (offset from UTC): 20180615T152257+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC