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: 29 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: 9,345,733 1.02% 4,444,866 0.49%
           
(2) Cash-settled derivatives:
325,015 0.03% 5,042,959 0.55%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 254,100 0.01% 262,400 0.03%
           
(4)
TOTAL: 9,924,848 1.07% 9,750,225 1.07%

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 1 168.7100 USD
5p ordinary Purchase 33 42.7275 GBP
5p ordinary Purchase 37 42.9991 GBP
5p ordinary Purchase 40 42.7250 GBP
5p ordinary Purchase 49 42.8673 GBP
5p ordinary Purchase 70 42.6650 GBP
5p ordinary Purchase 73 42.6975 GBP
5p ordinary Purchase 73 42.7000 GBP
5p ordinary Purchase 73 42.7525 GBP
5p ordinary Purchase 73 42.7400 GBP
5p ordinary Purchase 73 42.6950 GBP
5p ordinary Purchase 73 42.6875 GBP
5p ordinary Purchase 73 42.6800 GBP
5p ordinary Purchase 73 42.6675 GBP
5p ordinary Purchase 73 42.6425 GBP
5p ordinary Purchase 73 42.7725 GBP
5p ordinary Purchase 73 42.8050 GBP
5p ordinary Purchase 78 42.7306 GBP
5p ordinary Purchase 88 43.1987 GBP
5p ordinary Purchase 93 42.7450 GBP
ADR Purchase 100 168.9100 USD
ADR Purchase 100 169.2900 USD
ADR Purchase 100 169.3550 USD
5p ordinary Purchase 107 43.1256 GBP
5p ordinary Purchase 135 43.0289 GBP
5p ordinary Purchase 146 42.7150 GBP
5p ordinary Purchase 146 42.6825 GBP
ADR Purchase 181 168.4702 USD
5p ordinary Purchase 192 42.7226 GBP
5p ordinary Purchase 218 43.0158 GBP
ADR Purchase 300 169.1400 USD
ADR Purchase 314 168.6527 USD
ADR Purchase 400 168.5925 USD
5p ordinary Purchase 445 42.7775 GBP
5p ordinary Purchase 516 42.7554 GBP
ADR Purchase 608 168.7252 USD
5p ordinary Purchase 623 42.7266 GBP
ADR Purchase 630 168.7150 USD
ADR Purchase 700 168.6735 USD
5p ordinary Purchase 753 42.7179 GBP
ADR Purchase 881 168.5509 USD
ADR Purchase 900 168.3875 USD
ADR Purchase 1,424 168.5585 USD
5p ordinary Purchase 1,533 42.8357 GBP
5p ordinary Purchase 1,537 42.8593 GBP
ADR Purchase 1,669 168.8000 USD
5p ordinary Purchase 1,750 42.7280 GBP
ADR Purchase 2,333 168.7172 USD
5p ordinary Purchase 2,800 42.7049 GBP
5p ordinary Purchase 3,333 42.7350 GBP
5p ordinary Purchase 4,477 42.7265 GBP
ADR Purchase 5,200 168.7672 USD
5p ordinary Purchase 8,058 42.6480 GBP
ADR Purchase 8,800 168.8399 USD
5p ordinary Purchase 9,060 42.6665 GBP
ADR Purchase 9,300 168.8178 USD
5p ordinary Purchase 9,470 42.7817 GBP
5p ordinary Purchase 10,175 42.7146 GBP
5p ordinary Purchase 13,184 42.7033 GBP
ADR Purchase 17,463 168.9983 USD
ADR Purchase 20,965 168.7782 USD
5p ordinary Purchase 41,924 42.7829 GBP
5p ordinary Purchase 49,022 42.6500 GBP
5p ordinary Purchase 282,623 42.6955 GBP
ADR Sale 1 168.7100 USD
5p ordinary Sale 40 42.7250 GBP
5p ordinary Sale 44 42.6794 GBP
5p ordinary Sale 73 42.6425 GBP
5p ordinary Sale 73 42.6675 GBP
5p ordinary Sale 73 42.6800 GBP
5p ordinary Sale 73 42.6875 GBP
5p ordinary Sale 73 42.6975 GBP
5p ordinary Sale 73 42.7400 GBP
5p ordinary Sale 73 42.7525 GBP
5p ordinary Sale 73 42.7725 GBP
5p ordinary Sale 73 42.8050 GBP
ADR Sale 100 169.0100 USD
ADR Sale 100 168.4200 USD
ADR Sale 100 168.6500 USD
5p ordinary Sale 146 42.7150 GBP
5p ordinary Sale 146 42.6825 GBP
5p ordinary Sale 148 42.7000 GBP
5p ordinary Sale 173 42.7576 GBP
ADR Sale 200 169.0000 USD
ADR Sale 200 168.6775 USD
ADR Sale 200 168.6850 USD
ADR Sale 200 168.5675 USD
ADR Sale 200 168.7375 USD
ADR Sale 250 169.0200 USD
5p ordinary Sale 297 42.7397 GBP
ADR Sale 300 169.1400 USD
ADR Sale 300 168.6539 USD
ADR Sale 300 169.3416 USD
ADR Sale 330 168.8242 USD
5p ordinary Sale 346 42.6894 GBP
ADR Sale 400 168.6825 USD
5p ordinary Sale 470 42.7163 GBP
ADR Sale 500 168.9400 USD
5p ordinary Sale 516 42.6950 GBP
5p ordinary Sale 580 42.7472 GBP
ADR Sale 600 168.6690 USD
5p ordinary Sale 657 42.7455 GBP
5p ordinary Sale 657 42.6990 GBP
ADR Sale 700 169.0628 USD
5p ordinary Sale 788 42.9482 GBP
ADR Sale 867 168.6770 USD
5p ordinary Sale 886 42.7081 GBP
ADR Sale 900 168.3875 USD
ADR Sale 962 168.7218 USD
5p ordinary Sale 1,000 42.6958 GBP
ADR Sale 1,066 168.7633 USD
5p ordinary Sale 1,230 42.7118 GBP
5p ordinary Sale 1,452 42.7209 GBP
5p ordinary Sale 1,638 42.6979 GBP
ADR Sale 1,669 168.8000 USD
ADR Sale 2,900 168.9260 USD
5p ordinary Sale 3,268 42.6835 GBP
ADR Sale 3,500 168.7647 USD
ADR Sale 3,808 169.0347 USD
5p ordinary Sale 4,275 42.7427 GBP
5p ordinary Sale 4,477 42.7265 GBP
5p ordinary Sale 4,942 42.7320 GBP
ADR Sale 5,000 168.7445 USD
ADR Sale 5,515 168.6790 USD
5p ordinary Sale 5,630 42.6956 GBP
ADR Sale 6,300 168.7845 USD
ADR Sale 8,700 168.8137 USD
5p ordinary Sale 9,470 42.7817 GBP
5p ordinary Sale 11,806 42.7259 GBP
ADR Sale 12,043 168.9905 USD
5p ordinary Sale 18,684 42.6500 GBP
ADR Sale 18,958 168.7760 USD
5p ordinary Sale 19,543 42.7211 GBP
5p ordinary Sale 20,367 42.8328 GBP
5p ordinary Sale 48,848 42.6580 GBP
5p ordinary Sale 53,712 42.7872 GBP
5p ordinary Sale 55,008 42.7065 GBP
5p ordinary Sale 63,693 42.7491 GBP
5p ordinary Sale 78,157 42.7998 GBP
5p ordinary Sale 122,483 42.7729 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 44 42.6794 GBP
5p ordinary SWAP Long 76 42.6700 GBP
5p ordinary SWAP Long 346 42.6894 GBP
5p ordinary CFD Long 886 42.7081 GBP
5p ordinary CFD Long 1,452 42.7209 GBP
5p ordinary SWAP Long 1,472 42.7429 GBP
5p ordinary CFD Long 2,000 42.6611 GBP
5p ordinary SWAP Long 3,613 42.6755 GBP
5p ordinary SWAP Long 4,528 42.7696 GBP
5p ordinary CFD Long 13,267 42.7321 GBP
5p ordinary SWAP Long 16,421 42.7926 GBP
5p ordinary SWAP Long 38,326 42.8923 GBP
5p ordinary SWAP Long 41,546 42.8294 GBP
5p ordinary CFD Long 44,998 42.6465 GBP
5p ordinary CFD Long 63,693 42.7491 GBP
5p ordinary SWAP Long 70,796 42.7207 GBP
5p ordinary SWAP Short 22 42.7150 GBP
5p ordinary SWAP Short 37 42.9993 GBP
5p ordinary SWAP Short 135 43.0289 GBP
5p ordinary SWAP Short 153 42.7156 GBP
5p ordinary SWAP Short 218 43.0158 GBP
5p ordinary SWAP Short 804 42.7161 GBP
5p ordinary CFD Short 1,537 42.8593 GBP
5p ordinary SWAP Short 2,047 42.7732 GBP
5p ordinary CFD Short 3,333 42.7350 GBP
5p ordinary SWAP Short 4,530 42.7363 GBP
5p ordinary CFD Short 13,184 42.7033 GBP
5p ordinary CFD Short 37,518 42.6557 GBP
5p ordinary SWAP Short 65,318 42.6580 GBP
5p ordinary SWAP Short 96,963 42.6500 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 200 170 USD American 29 Jun 2018 0.0500 USD
ADR Call Options Purchasing 200 180 USD American 20 Jul 2018 0.1500 USD
ADR Put Options Purchasing 4,600 165 USD American 19 Oct 2018 5.6000 USD
ADR Put Options Purchasing 5,000 170 USD American 19 Oct 2018 7.6460 USD
ADR Put Options Selling 4,100 150 USD American 20 Jul 2018 0.2500 USD
ADR Put Options Selling 200 165 USD American 29 Jun 2018 0.1500 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: 2 Jul 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 -2,800 135.0000 American 17 Aug 2018
ADR Put Options Purchased -4,600 165.0000 American 19 Oct 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 Put Options Written 200 165.0000 American 29 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 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 Put Options Purchased -5,000 170.0000 American 19 Oct 2018
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 Call Options Purchased 200 170.0000 American 29 Jun 2018
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 Put Options Written 3,800 150.0000 American 20 Jul 2018
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 -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 4,400 180.0000 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: 650633
Time of Receipt (offset from UTC): 20180702T110408+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC