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

Full name of discloser:   Barclays PLC.
   
Owner or controller of interest and short
positions disclosed, if different from 1(a):  
Name of offeror/offeree in relation to whose SHIRE PLC
relevant securities this form relates:  
If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
offeror/offeree:  
Date position held/dealing undertaken: 26 June 2018
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: 9,392,163 1.02% 4,483,301 0.50%
           
(2) Cash-settled derivatives:
184,268 0.02% 5,397,289 0.59%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 245,700 0.02% 248,900 0.02%
           
 
TOTAL: 9,822,131 1.06% 10,129,490 1.11%

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 100 162.3150 USD
ADR Purchase 100 161.7300 USD
ADR Purchase 100 162.0500 USD
5p ordinary Purchase 109 40.5600 GBP
5p ordinary Purchase 115 40.3600 GBP
5p ordinary Purchase 117 40.4700 GBP
ADR Purchase 120 161.8458 USD
5p ordinary Purchase 146 40.5311 GBP
5p ordinary Purchase 147 40.4155 GBP
5p ordinary Purchase 150 40.3400 GBP
ADR Purchase 200 161.7400 USD
ADR Purchase 200 161.9500 USD
5p ordinary Purchase 218 40.4325 GBP
5p ordinary Purchase 231 40.6199 GBP
5p ordinary Purchase 235 40.4343 GBP
5p ordinary Purchase 266 40.4996 GBP
ADR Purchase 300 162.0833 USD
ADR Purchase 300 161.7366 USD
5p ordinary Purchase 305 40.5000 GBP
ADR Purchase 400 161.7237 USD
ADR Purchase 600 161.8950 USD
ADR Purchase 600 162.0400 USD
ADR Purchase 600 161.9958 USD
ADR Purchase 900 161.6988 USD
ADR Purchase 1,100 161.9800 USD
5p ordinary Purchase 1,379 40.5776 GBP
ADR Purchase 1,719 161.7000 USD
ADR Purchase 1,900 161.8330 USD
ADR Purchase 2,600 161.8911 USD
ADR Purchase 2,800 161.7633 USD
ADR Purchase 2,851 161.6452 USD
5p ordinary Purchase 2,982 40.5331 GBP
5p ordinary Purchase 3,651 40.5376 GBP
5p ordinary Purchase 4,242 40.4575 GBP
5p ordinary Purchase 5,611 40.5350 GBP
5p ordinary Purchase 7,284 40.2915 GBP
5p ordinary Purchase 11,295 40.5294 GBP
ADR Purchase 14,634 161.8214 USD
5p ordinary Purchase 18,804 40.2362 GBP
ADR Purchase 19,933 161.5712 USD
5p ordinary Purchase 21,913 40.5020 GBP
5p ordinary Purchase 31,969 40.4718 GBP
5p ordinary Purchase 249,388 40.4819 GBP
ADR Sale 10 161.9000 USD
ADR Sale 10 160.9900 USD
5p ordinary Sale 15 40.4513 GBP
5p ordinary Sale 81 40.6150 GBP
5p ordinary Sale 98 40.5584 GBP
ADR Sale 100 160.9300 USD
ADR Sale 100 161.7300 USD
ADR Sale 100 161.4300 USD
ADR Sale 110 161.9236 USD
5p ordinary Sale 156 40.2433 GBP
5p ordinary Sale 167 40.4700 GBP
ADR Sale 182 162.0500 USD
ADR Sale 198 161.7297 USD
ADR Sale 200 161.4050 USD
ADR Sale 200 161.6500 USD
5p ordinary Sale 290 40.3150 GBP
5p ordinary Sale 311 40.4604 GBP
ADR Sale 313 161.7222 USD
5p ordinary Sale 440 40.5069 GBP
5p ordinary Sale 544 40.3335 GBP
ADR Sale 600 161.9966 USD
ADR Sale 731 161.6348 USD
5p ordinary Sale 774 40.2464 GBP
5p ordinary Sale 775 40.1951 GBP
5p ordinary Sale 900 40.5313 GBP
ADR Sale 1,100 161.5109 USD
ADR Sale 1,200 161.5937 USD
ADR Sale 1,351 161.7431 USD
ADR Sale 1,400 161.7973 USD
ADR Sale 1,410 161.7895 USD
ADR Sale 1,547 161.7000 USD
ADR Sale 1,807 161.4888 USD
5p ordinary Sale 2,333 40.2147 GBP
ADR Sale 2,700 161.7756 USD
5p ordinary Sale 2,706 40.3363 GBP
5p ordinary Sale 2,985 40.5422 GBP
5p ordinary Sale 4,004 40.5236 GBP
ADR Sale 4,216 161.5586 USD
5p ordinary Sale 4,255 40.6438 GBP
5p ordinary Sale 4,400 40.4157 GBP
5p ordinary Sale 4,458 40.5802 GBP
5p ordinary Sale 10,312 40.5368 GBP
ADR Sale 14,274 161.5548 USD
5p ordinary Sale 15,139 40.2458 GBP
ADR Sale 17,918 161.9170 USD
5p ordinary Sale 18,406 40.4264 GBP
5p ordinary Sale 19,037 40.4990 GBP
5p ordinary Sale 21,805 40.5350 GBP
5p ordinary Sale 24,859 40.4548 GBP
5p ordinary Sale 47,459 40.4288 GBP
5p ordinary Sale 145,991 40.4480 GBP
5p ordinary Sale 436,518 40.3500 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 15 40.4513 GBP
5p ordinary CFD Long 156 40.2433 GBP
5p ordinary SWAP Long 288 40.5551 GBP
5p ordinary SWAP Long 400 40.5309 GBP
5p ordinary CFD Long 700 40.5132 GBP
5p ordinary SWAP Long 900 40.5313 GBP
5p ordinary CFD Long 1,470 40.2198 GBP
5p ordinary SWAP Long 2,347 40.4202 GBP
5p ordinary CFD Long 2,706 40.3362 GBP
5p ordinary SWAP Long 3,857 40.4837 GBP
5p ordinary CFD Long 4,255 40.6438 GBP
5p ordinary CFD Long 4,458 40.5802 GBP
5p ordinary SWAP Long 6,469 40.3537 GBP
5p ordinary CFD Long 13,942 40.5317 GBP
5p ordinary SWAP Long 15,865 40.3588 GBP
5p ordinary SWAP Long 20,851 40.5350 GBP
5p ordinary SWAP Long 25,944 40.4290 GBP
5p ordinary SWAP Short 1 40.4600 GBP
5p ordinary SWAP Short 33 40.4000 GBP
5p ordinary SWAP Short 146 40.5312 GBP
5p ordinary SWAP Short 147 40.4155 GBP
5p ordinary SWAP Short 254 40.3503 GBP
5p ordinary SWAP Short 659 40.5434 GBP
5p ordinary CFD Short 1,379 40.5776 GBP
5p ordinary SWAP Short 2,349 40.3520 GBP
5p ordinary CFD Short 3,001 40.3418 GBP
5p ordinary CFD Short 4,242 40.4575 GBP
5p ordinary CFD Short 4,283 40.2562 GBP
5p ordinary CFD Short 11,469 40.5386 GBP
5p ordinary CFD Short 16,720 40.5389 GBP
5p ordinary SWAP Short 28,009 40.5307 GBP
5p ordinary SWAP Short 55,657 40.5350 GBP
ADR SWAP Expires 30/12/2019 Long 2,500 161.6867 USD

(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 100 180 USD American 18 Jan 2019 3.8300 USD
ADR Call Options Purchasing 100 185 USD American 18 Jan 2019 2.4200 USD
ADR Call Options Selling 100 170 USD American 18 Jan 2019 8.2500 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: 27 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.

143221.01

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 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 2,300 185.0000 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 -7,900 180.0000 American 18 Jan 2019
ADR Call Options Purchased 1,500 140.0000 American 20 Jul 2018
ADR Call Options Purchased 1,000 170.0000 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: 650369
Time of Receipt (offset from UTC): 20180627T105822+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC