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: 28 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: 9,294,751 1.02% 4,285,925 0.47%
           
(2) Cash-settled derivatives:
252,240 0.03% 5,047,849 0.55%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 249,700 0.03% 253,100 0.03%
           
(4)
TOTAL: 9,796,691 1.07% 9,586,874 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 10 163.6600 USD
ADR Purchase 27 163.8200 USD
5p ordinary Purchase 39 41.8579 GBP
5p ordinary Purchase 40 41.8745 GBP
ADR Purchase 45 166.0100 USD
ADR Purchase 76 167.0800 USD
ADR Purchase 100 167.0000 USD
ADR Purchase 100 165.5400 USD
ADR Purchase 100 168.8300 USD
ADR Purchase 100 164.8299 USD
ADR Purchase 100 166.3450 USD
5p ordinary Purchase 118 41.9025 GBP
5p ordinary Purchase 166 41.8198 GBP
5p ordinary Purchase 195 41.7894 GBP
ADR Purchase 200 165.2600 USD
ADR Purchase 200 164.6400 USD
ADR Purchase 200 165.1850 USD
ADR Purchase 300 167.1433 USD
ADR Purchase 300 166.1500 USD
ADR Purchase 300 166.2666 USD
5p ordinary Purchase 316 41.7150 GBP
5p ordinary Purchase 355 41.8150 GBP
5p ordinary Purchase 359 42.2500 GBP
ADR Purchase 400 166.7599 USD
ADR Purchase 408 168.2236 USD
ADR Purchase 458 168.5100 USD
5p ordinary Purchase 500 41.8570 GBP
ADR Purchase 500 167.9575 USD
ADR Purchase 610 165.5811 USD
5p ordinary Purchase 671 41.8622 GBP
5p ordinary Purchase 757 41.8686 GBP
ADR Purchase 800 167.4493 USD
5p ordinary Purchase 1,024 41.8101 GBP
ADR Purchase 1,200 166.5716 USD
ADR Purchase 1,200 168.3741 USD
ADR Purchase 1,296 168.3563 USD
ADR Purchase 1,410 166.4782 USD
5p ordinary Purchase 1,480 41.9317 GBP
5p ordinary Purchase 1,481 41.8332 GBP
5p ordinary Purchase 1,548 42.0203 GBP
ADR Purchase 1,993 168.4100 USD
ADR Purchase 2,235 166.6295 USD
ADR Purchase 2,328 164.6839 USD
ADR Purchase 2,500 167.8150 USD
5p ordinary Purchase 2,710 41.9491 GBP
5p ordinary Purchase 3,000 41.9094 GBP
5p ordinary Purchase 3,706 41.8170 GBP
ADR Purchase 4,100 165.7154 USD
ADR Purchase 4,835 168.2592 USD
5p ordinary Purchase 5,365 41.7995 GBP
ORD Purchase 5,731 42.1357 GBP
ADR Purchase 6,139 165.6703 USD
ADR Purchase 7,500 165.9022 USD
ADR Purchase 7,803 165.7756 USD
ADR Purchase 9,100 165.6147 USD
ADR Purchase 11,100 165.7613 USD
5p ordinary Purchase 16,800 41.8471 GBP
ADR Purchase 17,571 165.5900 USD
5p ordinary Purchase 19,455 41.8575 GBP
5p ordinary Purchase 23,390 42.1836 GBP
5p ordinary Purchase 32,070 41.6915 GBP
5p ordinary Purchase 42,968 41.9249 GBP
5p ordinary Purchase 53,362 42.0715 GBP
5p ordinary Purchase 81,934 42.0441 GBP
ADR Sale 10 163.6600 USD
5p ordinary Sale 15 41.8095 GBP
5p ordinary Sale 26 41.8008 GBP
ADR Sale 27 163.8200 USD
ADR Sale 38 168.1200 USD
ADR Sale 45 166.0100 USD
ADR Sale 50 168.2800 USD
ADR Sale 66 164.7000 USD
5p ordinary Sale 73 41.8550 GBP
ADR Sale 100 168.2900 USD
ADR Sale 100 168.4200 USD
5p ordinary Sale 110 41.9050 GBP
5p ordinary Sale 113 41.7377 GBP
ADR Sale 115 168.1821 USD
ADR Sale 135 168.3400 USD
ADR Sale 139 168.9300 USD
ADR Sale 152 168.4778 USD
ADR Sale 156 168.2442 USD
ADR Sale 200 166.2250 USD
5p ordinary Sale 200 41.7824 GBP
5p ordinary Sale 239 41.8051 GBP
ADR Sale 300 168.2641 USD
ADR Sale 300 168.4800 USD
ADR Sale 400 168.4850 USD
ADR Sale 400 164.6850 USD
ADR Sale 400 166.5987 USD
ADR Sale 400 167.5925 USD
ADR Sale 500 168.2700 USD
ADR Sale 500 167.7306 USD
5p ordinary Sale 559 41.8317 GBP
ADR Sale 600 168.4300 USD
ADR Sale 600 165.6900 USD
ADR Sale 600 165.9024 USD
5p ordinary Sale 726 41.8605 GBP
ADR Sale 787 168.5100 USD
5p ordinary Sale 789 41.8460 GBP
5p ordinary Sale 933 41.9221 GBP
ADR Sale 961 168.2966 USD
ADR Sale 987 168.4034 USD
ADR Sale 1,000 165.2320 USD
5p ordinary Sale 1,194 42.0276 GBP
5p ordinary Sale 1,378 41.7346 GBP
5p ordinary Sale 1,380 41.9347 GBP
5p ordinary Sale 1,402 41.8655 GBP
ADR Sale 1,500 166.3431 USD
ADR Sale 1,700 168.2617 USD
ADR Sale 2,200 168.2493 USD
ADR Sale 2,415 165.4487 USD
ADR Sale 2,628 165.9836 USD
ADR Sale 3,193 168.4100 USD
5p ordinary Sale 3,514 41.9447 GBP
ADR Sale 4,347 166.4139 USD
5p ordinary Sale 4,356 41.9095 GBP
ADR Sale 4,721 165.5698 USD
5p ordinary Sale 5,962 42.1261 GBP
ADR Sale 6,900 165.6823 USD
5p ordinary Sale 7,443 41.9015 GBP
5p ordinary Sale 7,668 41.8287 GBP
5p ordinary Sale 7,920 41.7371 GBP
5p ordinary Sale 7,979 42.1367 GBP
5p ordinary Sale 8,221 41.8993 GBP
5p ordinary Sale 9,833 41.8202 GBP
ADR Sale 10,100 165.7837 USD
5p ordinary Sale 10,812 41.8927 GBP
5p ordinary Sale 11,258 41.8377 GBP
5p ordinary Sale 11,728 41.9038 GBP
5p ordinary Sale 11,930 41.8175 GBP
ADR Sale 16,400 166.0224 USD
5p ordinary Sale 16,941 41.8320 GBP
ADR Sale 22,183 165.4949 USD
5p ordinary Sale 24,026 42.0308 GBP
5p ordinary Sale 28,010 41.6582 GBP
5p ordinary Sale 29,037 41.8480 GBP
5p ordinary Sale 41,016 42.1256 GBP
5p ordinary Sale 48,052 42.2150 GBP
5p ordinary Sale 56,469 42.0617 GBP
5p ordinary Sale 110,771 41.9388 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 15 41.8095 GBP
5p ordinary SWAP Long 26 41.8008 GBP
5p ordinary SWAP Long 113 41.7377 GBP
5p ordinary SWAP Long 200 41.7824 GBP
5p ordinary SWAP Long 221 42.1474 GBP
5p ordinary SWAP Long 559 41.8317 GBP
5p ordinary SWAP Long 789 41.8460 GBP
5p ordinary CFD Long 1,378 41.7346 GBP
5p ordinary SWAP Long 1,685 42.1236 GBP
5p ordinary SWAP Long 3,002 41.8416 GBP
5p ordinary CFD Long 3,164 42.0786 GBP
5p ordinary CFD Long 3,185 41.8429 GBP
5p ordinary CFD Long 3,185 41.8821 GBP
5p ordinary CFD Long 4,442 41.9360 GBP
5p ordinary SWAP Long 5,887 41.9732 GBP
5p ordinary CFD Long 5,962 42.1261 GBP
5p ordinary CFD Long 7,668 41.8287 GBP
5p ordinary CFD Long 7,979 42.1367 GBP
5p ordinary CFD Long 8,814 41.8442 GBP
5p ordinary CFD Long 11,930 41.8175 GBP
5p ordinary SWAP Long 18,300 42.0431 GBP
5p ordinary SWAP Long 19,055 41.8152 GBP
5p ordinary SWAP Long 33,689 42.0242 GBP
5p ordinary SWAP Long 41,942 42.2150 GBP
5p ordinary SWAP Long 42,827 41.9633 GBP
5p ordinary CFD Long 60,818 41.8164 GBP
5p ordinary SWAP Short 39 41.8579 GBP
5p ordinary SWAP Short 40 41.8745 GBP
5p ordinary SWAP Short 118 41.9025 GBP
5p ordinary SWAP Short 166 41.8198 GBP
5p ordinary SWAP Short 170 41.9201 GBP
5p ordinary SWAP Short 355 41.8150 GBP
5p ordinary CFD Short 359 42.2500 GBP
5p ordinary SWAP Short 572 41.9009 GBP
5p ordinary SWAP Short 1,024 41.8101 GBP
5p ordinary CFD Short 1,668 41.8973 GBP
5p ordinary SWAP Short 2,026 41.8864 GBP
5p ordinary SWAP Short 2,998 41.8557 GBP
5p ordinary CFD Short 3,288 42.2187 GBP
5p ordinary SWAP Short 14,319 41.8640 GBP
5p ordinary SWAP Short 15,565 41.8766 GBP
5p ordinary SWAP Short 16,800 41.8471 GBP
5p ordinary SWAP Short 22,508 42.2150 GBP
5p ordinary SWAP Short 27,617 42.0902 GBP
5p ordinary CFD Short 42,968 41.9249 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 500 130 USD American 19 Oct 2018 36.1000 USD
ADR Call Options Purchasing 100 160 USD American 20 Jul 2018 7.4000 USD
ADR Call Options Purchasing 2,200 165 USD American 20 Jul 2018 3.4181 USD
ADR Call Options Purchasing 1,000 165 USD American 19 Oct 2018 8.3000 USD
ADR Call Options Purchasing 700 170 USD American 20 Jul 2018 1.4857 USD
ADR Call Options Purchasing 200 210 USD American 18 Jan 2019 0.4000 USD
ADR Call Options Selling 1,000 170 USD American 20 Jul 2018 1.9000 USD
ADR Put Options Purchasing 1,100 150 USD American 19 Oct 2018 3.0000 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: 29 Jun 2018
Contact name: Femi Badmos
Telephone number: 020 3555 1125

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
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 -2,800 135.0000 American 17 Aug 2018
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 Call Options Purchased 1,000 165.0000 American 19 Oct 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 6,800 165.0000 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 Call Options Purchased 200 210.0000 American 18 Jan 2019
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 Call Options Purchased 500 130.0000 American 19 Oct 2018
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 Put Options Purchased -1,000 80.0000 American 17 Jan 2020
ADR Call Options Written -1,000 170.0000 American 20 Jul 2018
ADR Put Options Purchased -1,100 150.0000 American 19 Oct 2018
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 8,600 160.0000 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
5p ordinary Put Options Written 125,000 3600.0000 American 21 Dec 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: 650552
Time of Receipt (offset from UTC): 20180629T125301+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC