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: 15 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: 8,083,715 0.89% 4,180,825 0.46%
           
(2) Cash-settled derivatives:
161,609 0.02% 4,654,528 0.51%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 313,500 0.03% 435,500 0.04%
           
(4)
TOTAL: 8,558,824 0.94% 9,270,853 1.01%

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 16 161.6200 USD
5p ordinary Purchase 32 40.6917 GBP
5p ordinary Purchase 90 40.5950 GBP
ADR Purchase 100 161.8400 USD
ADR Purchase 100 161.6600 USD
ADR Purchase 100 161.3350 USD
ADR Purchase 100 161.4900 USD
ADR Purchase 100 161.8500 USD
ADR Purchase 100 161.5000 USD
5p ordinary Purchase 191 40.6332 GBP
5p ordinary Purchase 230 40.5500 GBP
5p ordinary Purchase 245 40.8350 GBP
ADR Purchase 356 161.6223 USD
ADR Purchase 400 161.5600 USD
5p ordinary Purchase 427 40.6483 GBP
5p ordinary Purchase 453 40.3731 GBP
ADR Purchase 500 161.3480 USD
5p ordinary Purchase 539 40.5638 GBP
ADR Purchase 800 161.2696 USD
ADR Purchase 847 161.5081 USD
5p ordinary Purchase 935 40.6154 GBP
ADR Purchase 1,002 161.4245 USD
ADR Purchase 1,200 161.5947 USD
ADR Purchase 1,300 161.7683 USD
ADR Purchase 1,530 161.6494 USD
5p ordinary Purchase 1,646 40.6301 GBP
5p ordinary Purchase 1,802 40.5658 GBP
5p ordinary Purchase 1,808 40.8719 GBP
ADR Purchase 2,100 161.4664 USD
ADR Purchase 2,100 161.4889 USD
ADR Purchase 2,300 161.6903 USD
5p ordinary Purchase 2,309 40.8629 GBP
5p ordinary Purchase 4,969 40.5146 GBP
ADR Purchase 5,159 161.7500 USD
5p ordinary Purchase 6,295 40.8989 GBP
ADR Purchase 7,300 161.6941 USD
ADR Purchase 8,838 161.5563 USD
5p ordinary Purchase 11,679 40.8770 GBP
5p ordinary Purchase 12,032 40.3750 GBP
ADR Purchase 16,438 161.5599 USD
5p ordinary Purchase 19,176 40.3973 GBP
5p ordinary Purchase 27,401 40.8483 GBP
5p ordinary Purchase 43,858 40.3709 GBP
5p ordinary Purchase 250,612 40.5784 GBP
ADR Sale 16 161.6200 USD
5p ordinary Sale 36 40.5800 GBP
5p ordinary Sale 60 40.5870 GBP
ADR Sale 100 161.6000 USD
ADR Sale 100 161.6900 USD
ADR Sale 100 162.0000 USD
ADR Sale 200 161.6600 USD
ADR Sale 200 161.4550 USD
ADR Sale 200 161.4350 USD
ADR Sale 200 161.6650 USD
ADR Sale 210 161.3195 USD
ADR Sale 221 161.8100 USD
ADR Sale 250 161.6540 USD
ADR Sale 300 161.6233 USD
ADR Sale 400 161.4175 USD
ADR Sale 400 161.6637 USD
ADR Sale 447 161.5892 USD
ADR Sale 568 161.6232 USD
ADR Sale 600 161.4533 USD
5p ordinary Sale 773 40.5184 GBP
ADR Sale 798 161.7157 USD
5p ordinary Sale 843 40.5935 GBP
5p ordinary Sale 920 40.6090 GBP
ADR Sale 1,000 161.6170 USD
ADR Sale 1,000 161.3312 USD
ADR Sale 1,100 161.5893 USD
5p ordinary Sale 1,102 40.5348 GBP
ADR Sale 1,210 161.5198 USD
ADR Sale 1,300 161.6665 USD
5p ordinary Sale 1,623 40.5666 GBP
5p ordinary Sale 1,886 40.4986 GBP
ADR Sale 2,300 161.6903 USD
5p ordinary Sale 2,360 40.8555 GBP
ADR Sale 2,400 161.3189 USD
ADR Sale 3,100 161.6567 USD
5p ordinary Sale 3,197 40.7561 GBP
5p ordinary Sale 4,129 40.5717 GBP
5p ordinary Sale 5,306 40.5669 GBP
ADR Sale 5,320 161.5561 USD
5p ordinary Sale 7,806 40.7788 GBP
ADR Sale 8,650 161.7055 USD
ADR Sale 8,670 161.7500 USD
5p ordinary Sale 15,877 40.3818 GBP
5p ordinary Sale 16,797 40.3750 GBP
5p ordinary Sale 19,204 40.7940 GBP
ADR Sale 21,226 161.5525 USD
5p ordinary Sale 26,835 40.4996 GBP
5p ordinary Sale 48,187 40.7365 GBP
5p ordinary Sale 57,438 40.5978 GBP
5p ordinary Sale 60,589 40.3837 GBP
5p ordinary Sale 61,335 40.9623 GBP
5p ordinary Sale 68,700 40.6878 GBP
5p ordinary Sale 101,838 40.3779 GBP
5p ordinary Sale 345,662 40.6390 GBP
5p ordinary Sale 579,113 40.8000 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 51 40.5758 GBP
5p ordinary CFD Long 588 40.5832 GBP
5p ordinary SWAP Long 709 40.8971 GBP
5p ordinary SWAP Long 909 40.6984 GBP
5p ordinary SWAP Long 1,311 40.6164 GBP
5p ordinary CFD Long 5,000 40.4792 GBP
5p ordinary CFD Long 7,806 40.7788 GBP
5p ordinary SWAP Long 7,979 40.3991 GBP
5p ordinary SWAP Long 10,216 40.6412 GBP
5p ordinary SWAP Long 12,844 40.3750 GBP
5p ordinary SWAP Long 23,687 40.6791 GBP
5p ordinary CFD Long 57,438 40.5978 GBP
5p ordinary SWAP Long 57,438 40.5978 GBP
5p ordinary SWAP Long 61,335 40.9623 GBP
5p ordinary SWAP Short 65 40.8106 GBP
5p ordinary SWAP Short 124 40.5875 GBP
5p ordinary CFD Short 191 40.6331 GBP
5p ordinary SWAP Short 583 40.8457 GBP
5p ordinary SWAP Short 1,496 40.7781 GBP
5p ordinary SWAP Short 1,549 40.3750 GBP
5p ordinary CFD Short 1,802 40.5658 GBP
5p ordinary CFD Short 4,969 40.5146 GBP
5p ordinary SWAP Short 10,898 40.9673 GBP
5p ordinary CFD Short 13,509 40.4162 GBP
5p ordinary SWAP Short 19,538 40.4293 GBP
5p ordinary SWAP Short 35,619 40.8398 GBP
5p ordinary SWAP Short 73,142 40.7661 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 Put Options Purchasing 1,000 155 USD American 20 Jul 2018 1.6000 USD
ADR Put Options Purchasing 100 158 USD American 22 Jun 2018 0.5000 USD
ADR Put Options Purchasing 1,000 163 USD American 15 Jun 2018 0.7000 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: 18 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 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 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 Put Options Purchased -100 158.0000 American 22 Jun 2018
ADR Call Options Written -100 125.0000 American 20 Jul 2018
ADR Put Options Written 21,700 155.0000 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 -2,300 85.0000 American 18 Jan 2019
ADR Put Options Purchased -3,000 163.0000 American 15 Jun 2018
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

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: 649641
Time of Receipt (offset from UTC): 20180618T133200+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC