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: 22 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: 9,497,173 1.04% 4,284,448 0.47%
           
(2) Cash-settled derivatives:
176,506 0.02% 5,479,384 0.60%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 249,100 0.02% 256,300 0.02%
           
 
TOTAL: 9,922,779 1.08% 10,020,132 1.09%

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 7 161.7200 USD
ADR Purchase 54 162.1700 USD
5p ordinary Purchase 83 40.6700 GBP
ADR Purchase 100 161.9700 USD
ADR Purchase 100 161.8600 USD
ADR Purchase 100 161.7000 USD
5p ordinary Purchase 100 40.6492 GBP
5p ordinary Purchase 132 40.6585 GBP
5p ordinary Purchase 186 40.6800 GBP
ADR Purchase 198 161.6400 USD
ADR Purchase 200 161.7500 USD
5p ordinary Purchase 232 40.6471 GBP
ADR Purchase 300 161.8391 USD
ADR Purchase 400 161.9250 USD
ADR Purchase 500 161.7620 USD
ADR Purchase 600 161.7516 USD
5p ordinary Purchase 630 40.6434 GBP
ADR Purchase 931 161.9049 USD
5p ordinary Purchase 1,166 40.6400 GBP
5p ordinary Purchase 1,285 40.6213 GBP
5p ordinary Purchase 1,530 40.6559 GBP
5p ordinary Purchase 1,963 40.6564 GBP
ADR Purchase 2,000 161.7672 USD
5p ordinary Purchase 2,385 40.9226 GBP
ADR Purchase 2,959 161.8103 USD
ADR Purchase 4,260 161.8135 USD
5p ordinary Purchase 4,453 40.6480 GBP
5p ordinary Purchase 4,639 40.6261 GBP
5p ordinary Purchase 4,710 40.6422 GBP
5p ordinary Purchase 7,402 40.6437 GBP
5p ordinary Purchase 7,639 40.6792 GBP
ADR Purchase 10,937 161.8500 USD
5p ordinary Purchase 11,290 40.6613 GBP
ADR Purchase 13,600 161.7196 USD
5p ordinary Purchase 15,122 40.6593 GBP
5p ordinary Purchase 20,177 40.6600 GBP
ADR Purchase 23,700 161.6962 USD
5p ordinary Purchase 26,355 40.6578 GBP
5p ordinary Purchase 163,353 40.6617 GBP
ADR Sale 7 161.7200 USD
ADR Sale 54 162.1700 USD
5p ordinary Sale 74 40.6450 GBP
ADR Sale 98 161.6401 USD
ADR Sale 100 161.5300 USD
ADR Sale 100 161.6800 USD
5p ordinary Sale 165 40.6600 GBP
ADR Sale 200 161.8800 USD
ADR Sale 200 161.7950 USD
ADR Sale 200 161.7836 USD
ADR Sale 200 161.7550 USD
ADR Sale 257 161.4120 USD
ADR Sale 300 161.6766 USD
ADR Sale 300 161.8266 USD
ADR Sale 300 162.0900 USD
ADR Sale 300 161.6900 USD
5p ordinary Sale 306 40.6866 GBP
ADR Sale 344 161.9319 USD
ADR Sale 400 161.7475 USD
5p ordinary Sale 434 40.6445 GBP
5p ordinary Sale 444 40.6275 GBP
ADR Sale 462 161.7065 USD
ADR Sale 487 161.9321 USD
5p ordinary Sale 502 41.0000 GBP
ADR Sale 547 161.7956 USD
5p ordinary Sale 563 40.6618 GBP
ADR Sale 600 161.8366 USD
ADR Sale 600 161.7516 USD
ADR Sale 602 161.4434 USD
5p ordinary Sale 649 40.6493 GBP
ADR Sale 796 161.7365 USD
5p ordinary Sale 805 40.6700 GBP
5p ordinary Sale 1,000 40.6422 GBP
ADR Sale 1,200 162.0550 USD
5p ordinary Sale 1,405 40.6733 GBP
ADR Sale 1,558 161.8060 USD
5p ordinary Sale 2,055 40.6239 GBP
ADR Sale 2,200 161.7687 USD
ADR Sale 2,300 161.7133 USD
5p ordinary Sale 2,370 40.6133 GBP
5p ordinary Sale 2,649 40.6479 GBP
ADR Sale 2,826 161.7624 USD
ADR Sale 2,834 161.8698 USD
ADR Sale 2,900 161.7380 USD
5p ordinary Sale 3,440 40.6492 GBP
5p ordinary Sale 3,501 40.5841 GBP
5p ordinary Sale 3,681 40.6138 GBP
5p ordinary Sale 4,261 40.6486 GBP
5p ordinary Sale 5,244 40.7687 GBP
ADR Sale 6,700 161.7077 USD
5p ordinary Sale 9,013 40.6304 GBP
ADR Sale 9,741 161.8500 USD
ADR Sale 11,033 161.7788 USD
ADR Sale 11,700 161.7109 USD
5p ordinary Sale 17,181 40.6520 GBP
5p ordinary Sale 17,503 40.6365 GBP
ADR Sale 27,700 161.7005 USD
5p ordinary Sale 35,582 40.6545 GBP
5p ordinary Sale 44,172 40.6607 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 76 40.6150 GBP
5p ordinary SWAP Long 554 40.6414 GBP
5p ordinary SWAP Long 690 40.6026 GBP
5p ordinary SWAP Long 1,338 40.6477 GBP
5p ordinary CFD Long 3,000 40.6413 GBP
5p ordinary CFD Long 3,501 40.5841 GBP
5p ordinary CFD Long 3,681 40.6138 GBP
5p ordinary SWAP Long 4,812 40.6713 GBP
5p ordinary CFD Long 9,013 40.6304 GBP
5p ordinary CFD Long 14,178 40.6152 GBP
5p ordinary SWAP Long 16,296 40.6439 GBP
5p ordinary SWAP Long 17,503 40.6365 GBP
5p ordinary SWAP Long 23,567 40.6774 GBP
5p ordinary SWAP Short 73 40.6700 GBP
5p ordinary SWAP Short 100 40.6493 GBP
5p ordinary SWAP Short 255 40.6323 GBP
5p ordinary SWAP Short 340 40.6363 GBP
5p ordinary SWAP Short 691 40.6526 GBP
5p ordinary CFD Short 848 40.6660 GBP
5p ordinary CFD Short 1,950 40.6636 GBP
5p ordinary CFD Short 4,639 40.6261 GBP
5p ordinary SWAP Short 5,995 40.6604 GBP
5p ordinary CFD Short 7,402 40.6437 GBP
5p ordinary SWAP Short 38,017 40.6600 GBP
5p ordinary SWAP Short 52,340 40.6632 GBP
5p ordinary SWAP Short 86,493 40.6609 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 500 165 USD American 20 Jul 2018 2.4600 USD
ADR Put Options Selling 300 130 USD American 20 Jul 2018 0.1000 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: 25 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 2,000 163.0000 American 22 Jun 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 Put Options Written 200 153.0000 American 22 Jun 2018
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 Call Options Purchased 100 160.0000 American 22 Jun 2018
ADR Call Options Written -100 125.0000 American 20 Jul 2018
ADR Put Options Purchased -900 158.0000 American 22 Jun 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 700 150.0000 American 20 Jul 2018
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 -1,000 85.0000 American 18 Jan 2019
ADR Call Options Written -1,600 145.0000 American 18 Jan 2019
ADR Call Options Written -1,900 145.0000 American 20 Jul 2018
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 4,600 165.0000 American 20 Jul 2018
ADR Call Options Purchased 4,500 200.0000 American 18 Jan 2019
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 -1,500 168.0000 American 22 Jun 2018
ADR Call Options Written -3,400 170.0000 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 Put Options Written 300 130.0000 American 20 Jul 2018
ADR Call Options Purchased 200 160.0000 American 17 Jan 2020
ADR Call Options Written -100 130.0000 American 18 Jan 2019
ADR Put Options Purchased -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 8,500 160.0000 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 1,600 165.0000 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 400 145.0000 American 20 Jul 2018
ADR Put Options Written 200 70.0000 American 19 Oct 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: 650205
Time of Receipt (offset from UTC): 20180625T121137+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC