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: 25 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: 9,375,070 1.03% 4,043,387 0.44%
           
(2) Cash-settled derivatives:
180,468 0.02% 5,372,263 0.59%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 245,700 0.02% 249,000 0.02%
           
(4)
TOTAL: 9,801,238 1.07% 9,664,650 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 6 161.7400 USD
5p ordinary Purchase 50 40.9850 GBP
ADR Purchase 100 162.8800 USD
ADR Purchase 200 161.2725 USD
ADR Purchase 228 161.7303 USD
ADR Purchase 306 161.8443 USD
5p ordinary Purchase 369 41.0371 GBP
ADR Purchase 480 161.9825 USD
ADR Purchase 568 161.7332 USD
5p ordinary Purchase 746 40.8004 GBP
5p ordinary Purchase 763 41.0341 GBP
5p ordinary Purchase 832 40.8708 GBP
ADR Purchase 1,060 161.6741 USD
ADR Purchase 1,100 162.1372 USD
ADR Purchase 1,100 161.4968 USD
5p ordinary Purchase 1,440 41.0374 GBP
5p ordinary Purchase 1,556 40.7639 GBP
5p ordinary Purchase 1,636 41.0355 GBP
5p ordinary Purchase 1,996 40.7015 GBP
ADR Purchase 2,200 162.7450 USD
5p ordinary Purchase 2,479 40.8907 GBP
5p ordinary Purchase 3,013 40.9173 GBP
5p ordinary Purchase 3,413 40.6707 GBP
5p ordinary Purchase 4,875 40.7478 GBP
ADR Purchase 5,000 162.6007 USD
ADR Purchase 5,247 162.0278 USD
5p ordinary Purchase 5,499 40.9828 GBP
5p ordinary Purchase 5,646 40.9485 GBP
5p ordinary Purchase 6,677 40.9817 GBP
ADR Purchase 6,900 161.8080 USD
ADR Purchase 8,510 162.1233 USD
5p ordinary Purchase 8,933 40.7167 GBP
ADR Purchase 9,500 161.7775 USD
5p ordinary Purchase 10,545 40.8994 GBP
5p ordinary Purchase 15,182 40.6319 GBP
5p ordinary Purchase 15,883 40.9862 GBP
5p ordinary Purchase 17,368 40.8154 GBP
5p ordinary Purchase 17,740 40.4250 GBP
ADR Purchase 18,700 162.6099 USD
5p ordinary Purchase 27,626 41.0011 GBP
5p ordinary Purchase 47,578 40.7130 GBP
5p ordinary Purchase 49,573 40.5331 GBP
5p ordinary Purchase 54,471 40.6687 GBP
5p ordinary Purchase 144,185 40.8850 GBP
ADR Sale 2 162.7700 USD
5p ordinary Sale 5 40.9020 GBP
ADR Sale 6 161.7400 USD
ADR Sale 98 162.8000 USD
ADR Sale 100 161.2500 USD
ADR Sale 100 161.4800 USD
ADR Sale 100 161.7050 USD
ADR Sale 100 162.0350 USD
ADR Sale 100 162.6000 USD
ADR Sale 100 162.9400 USD
ADR Sale 100 162.9900 USD
ADR Sale 163 161.7500 USD
ADR Sale 200 162.8300 USD
ADR Sale 200 161.5800 USD
ADR Sale 271 162.1276 USD
5p ordinary Sale 279 40.8800 GBP
ADR Sale 306 161.8443 USD
ADR Sale 360 161.9694 USD
ADR Sale 480 161.9825 USD
ADR Sale 500 162.1480 USD
ADR Sale 600 161.1683 USD
ADR Sale 600 161.3425 USD
5p ordinary Sale 1,042 40.6615 GBP
5p ordinary Sale 1,512 40.7742 GBP
ADR Sale 1,526 162.6727 USD
5p ordinary Sale 1,563 40.7347 GBP
ADR Sale 1,900 161.8639 USD
ADR Sale 2,200 162.7450 USD
5p ordinary Sale 2,282 40.7053 GBP
ADR Sale 2,300 161.9677 USD
5p ordinary Sale 2,655 41.0169 GBP
ADR Sale 2,738 162.0689 USD
ADR Sale 3,177 161.9664 USD
5p ordinary Sale 3,212 40.6870 GBP
ADR Sale 3,316 162.7904 USD
5p ordinary Sale 4,065 41.0034 GBP
ADR Sale 4,284 162.0010 USD
5p ordinary Sale 4,735 40.9185 GBP
5p ordinary Sale 5,000 40.6571 GBP
ADR Sale 5,900 161.7890 USD
5p ordinary Sale 7,257 40.6719 GBP
5p ordinary Sale 9,344 40.9722 GBP
ADR Sale 10,500 162.0320 USD
5p ordinary Sale 13,836 40.8805 GBP
5p ordinary Sale 14,618 40.6294 GBP
5p ordinary Sale 15,000 41.0335 GBP
5p ordinary Sale 16,740 40.7596 GBP
5p ordinary Sale 18,684 40.4250 GBP
ADR Sale 19,800 162.5350 USD
5p ordinary Sale 19,883 40.9403 GBP
5p ordinary Sale 24,000 40.6239 GBP
5p ordinary Sale 32,945 40.5692 GBP
5p ordinary Sale 53,294 40.8959 GBP
5p ordinary Sale 165,615 40.8580 GBP

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
5p ordinary CFD Long 5 40.9020 GBP
5p ordinary CFD Long 300 40.9907 GBP
5p ordinary SWAP Long 665 40.8626 GBP
5p ordinary CFD Long 1,563 40.7347 GBP
5p ordinary SWAP Long 2,312 40.4930 GBP
5p ordinary CFD Long 2,655 41.0170 GBP
5p ordinary SWAP Long 3,339 40.8915 GBP
5p ordinary SWAP Long 4,065 41.0033 GBP
5p ordinary SWAP Long 4,134 41.0212 GBP
5p ordinary CFD Long 6,000 40.4965 GBP
5p ordinary SWAP Long 6,906 40.4250 GBP
5p ordinary CFD Long 7,257 40.6719 GBP
5p ordinary CFD Long 9,344 40.9722 GBP
5p ordinary SWAP Long 29,522 40.8758 GBP
5p ordinary SWAP Long 34,932 40.9872 GBP
5p ordinary CFD Long 49,273 40.8204 GBP
5p ordinary SWAP Long 73,037 40.8052 GBP
5p ordinary SWAP Short 50 40.9000 GBP
5p ordinary SWAP Short 73 40.6700 GBP
5p ordinary SWAP Short 73 40.8775 GBP
5p ordinary SWAP Short 100 40.4290 GBP
5p ordinary SWAP Short 196 40.4356 GBP
5p ordinary SWAP Short 590 40.9496 GBP
5p ordinary SWAP Short 669 40.9004 GBP
5p ordinary CFD Short 746 40.8004 GBP
5p ordinary SWAP Short 806 40.6680 GBP
5p ordinary CFD Short 908 40.4154 GBP
5p ordinary SWAP Short 1,097 40.8155 GBP
5p ordinary CFD Short 1,996 40.7014 GBP
5p ordinary CFD Short 2,261 40.8979 GBP
5p ordinary SWAP Short 3,575 40.4250 GBP
5p ordinary CFD Short 4,416 41.0246 GBP
5p ordinary CFD Short 8,933 40.7167 GBP
5p ordinary CFD Short 13,942 40.4282 GBP
5p ordinary SWAP Short 29,324 40.8259 GBP
5p ordinary SWAP Short 54,471 40.6686 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 100 155 USD American 20 Jul 2018 8.6000 USD
ADR Put Options Purchasing 500 115 USD American 20 Jul 2018 0.0800 USD
ADR Put Options Selling 500 120 USD American 20 Jul 2018 0.1300 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: 26 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      
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 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 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 Put Options Written 400 120.0000 American 20 Jul 2018
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 100 155.0000 American 20 Jul 2018
ADR Put Options Written 100 95.0000 American 18 Jan 2019
ADR Call Options Written -100 140.0000 American 17 Jan 2020
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 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 -1,700 115.0000 American 20 Jul 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 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: 650299
Time of Receipt (offset from UTC): 20180626T134857+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC