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: 18 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: 8,100,492 0.89% 4,114,953 0.45%
           
(2) Cash-settled derivatives:
161,600 0.02% 4,679,004 0.51%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 241,300 0.02% 252,100 0.02%
           
 
TOTAL: 8,503,392 0.93% 9,046,057 0.98%

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 4 158.9925 USD
5p ordinary Purchase 59 40.0625 GBP
ADR Purchase 79 159.1900 USD
ADR Purchase 100 159.0050 USD
ADR Purchase 100 160.3298 USD
ADR Purchase 100 159.1200 USD
ADR Purchase 100 159.9700 USD
ADR Purchase 100 158.7250 USD
ADR Purchase 100 158.9900 USD
ADR Purchase 100 159.0000 USD
5p ordinary Purchase 193 39.9970 GBP
ADR Purchase 200 159.1575 USD
5p ordinary Purchase 200 40.0100 GBP
ADR Purchase 214 160.1600 USD
ADR Purchase 401 158.9473 USD
5p ordinary Purchase 441 40.0020 GBP
5p ordinary Purchase 490 39.9550 GBP
ADR Purchase 570 159.9352 USD
ADR Purchase 613 160.0500 USD
5p ordinary Purchase 752 40.0827 GBP
ADR Purchase 800 159.9487 USD
ADR Purchase 807 160.0242 USD
ADR Purchase 1,028 159.1718 USD
ADR Purchase 1,100 159.1556 USD
ADR Purchase 1,200 160.1233 USD
ADR Purchase 1,500 159.2128 USD
5p ordinary Purchase 1,600 39.9190 GBP
ADR Purchase 1,695 158.9514 USD
ADR Purchase 2,800 159.6837 USD
5p ordinary Purchase 3,897 39.9921 GBP
ADR Purchase 5,280 159.0459 USD
5p ordinary Purchase 6,259 39.9982 GBP
5p ordinary Purchase 6,746 39.9566 GBP
5p ordinary Purchase 7,145 40.0383 GBP
5p ordinary Purchase 9,633 39.9597 GBP
ADR Purchase 11,414 159.6013 USD
5p ordinary Purchase 18,656 40.0000 GBP
5p ordinary Purchase 33,081 39.9987 GBP
5p ordinary Purchase 35,005 40.0050 GBP
5p ordinary Purchase 51,802 39.9950 GBP
5p ordinary Purchase 82,067 39.9901 GBP
ADR Sale 1 159.0000 USD
ADR Sale 3 158.9900 USD
5p ordinary Sale 50 39.9918 GBP
5p ordinary Sale 50 40.0350 GBP
ADR Sale 55 159.1000 USD
ADR Sale 100 158.9600 USD
ADR Sale 100 159.8600 USD
ADR Sale 100 159.7650 USD
ADR Sale 100 159.8100 USD
ADR Sale 100 159.8300 USD
ADR Sale 100 159.6800 USD
ADR Sale 107 160.1600 USD
ADR Sale 107 160.1200 USD
ADR Sale 200 158.9375 USD
ADR Sale 200 158.8350 USD
ADR Sale 200 158.7300 USD
ADR Sale 200 160.1800 USD
ADR Sale 200 159.0025 USD
ADR Sale 200 160.0475 USD
5p ordinary Sale 232 39.9725 GBP
ADR Sale 300 158.9766 USD
5p ordinary Sale 300 40.0883 GBP
ADR Sale 355 160.2722 USD
ADR Sale 400 159.3225 USD
ADR Sale 400 159.2725 USD
ADR Sale 500 159.6025 USD
ADR Sale 570 159.9352 USD
5p ordinary Sale 609 39.9750 GBP
ADR Sale 613 160.0500 USD
ADR Sale 645 160.0872 USD
ADR Sale 650 158.9646 USD
5p ordinary Sale 687 39.9225 GBP
ADR Sale 1,000 158.9910 USD
5p ordinary Sale 1,020 39.9193 GBP
ADR Sale 1,200 160.1233 USD
ADR Sale 1,200 159.1564 USD
ADR Sale 1,209 158.7771 USD
ADR Sale 1,600 159.4556 USD
ADR Sale 1,700 159.1967 USD
5p ordinary Sale 2,597 40.0000 GBP
5p ordinary Sale 2,641 39.9339 GBP
ADR Sale 2,800 159.6837 USD
ADR Sale 3,400 159.5304 USD
5p ordinary Sale 3,718 39.9959 GBP
5p ordinary Sale 4,421 39.9801 GBP
5p ordinary Sale 4,434 39.9912 GBP
ADR Sale 5,000 159.8804 USD
5p ordinary Sale 8,446 39.9900 GBP
5p ordinary Sale 9,633 39.9597 GBP
ADR Sale 13,138 159.4733 USD
5p ordinary Sale 13,768 39.9884 GBP
5p ordinary Sale 15,215 40.0034 GBP
5p ordinary Sale 31,710 40.0018 GBP
5p ordinary Sale 33,272 40.0037 GBP
5p ordinary Sale 48,379 39.9788 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 3 39.9966 GBP
5p ordinary CFD Long 50 39.9918 GBP
5p ordinary SWAP Long 80 39.8246 GBP
5p ordinary SWAP Long 175 40.2374 GBP
5p ordinary SWAP Long 297 40.0404 GBP
5p ordinary CFD Long 300 40.0884 GBP
5p ordinary SWAP Long 469 39.9797 GBP
5p ordinary SWAP Long 940 39.9273 GBP
5p ordinary SWAP Long 1,434 39.9895 GBP
5p ordinary CFD Long 4,434 39.9912 GBP
5p ordinary CFD Long 6,023 40.1011 GBP
5p ordinary SWAP Long 13,344 39.9821 GBP
5p ordinary SWAP Long 14,772 39.9446 GBP
5p ordinary CFD Short 8 39.9975 GBP
5p ordinary SWAP Short 179 39.9141 GBP
5p ordinary CFD Short 185 39.9970 GBP
5p ordinary SWAP Short 219 40.1254 GBP
5p ordinary SWAP Short 239 39.9875 GBP
5p ordinary SWAP Short 306 39.9831 GBP
5p ordinary SWAP Short 697 39.9725 GBP
5p ordinary CFD Short 752 40.0827 GBP
5p ordinary SWAP Short 885 39.9804 GBP
5p ordinary SWAP Short 1,780 40.1312 GBP
5p ordinary CFD Short 2,337 39.9657 GBP
5p ordinary CFD Short 3,777 40.0032 GBP
5p ordinary CFD Short 6,746 39.9566 GBP
5p ordinary CFD Short 7,145 40.0383 GBP
5p ordinary SWAP Short 18,002 40.0000 GBP
5p ordinary SWAP Short 23,549 40.0040 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 100 165 USD American 20 Jul 2018 2.1000 USD
ADR Call Options Purchasing 3,100 170 USD American 20 Jul 2018 0.6000 USD
ADR Call Options Selling 3,800 165 USD American 20 Jul 2018 1.6500 USD
ADR Call Options Selling 2,400 170 USD American 22 Jun 2018 0.0900 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: 19 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 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 -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 -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 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 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 2,300 165.0000 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 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 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 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 -2,400 170.0000 American 22 Jun 2018
ADR Call Options Written -8,000 180.0000 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 -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 Call Options Written -700 170.0000 American 20 Jul 2018
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 -6,000 135.0000 American 18 Jan 2019
ADR Put Options Purchased -7,500 155.0000 American 18 Jan 2019
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 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

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: 649773
Time of Receipt (offset from UTC): 20180619T151145+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC