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: 02 July 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: 9,188,928 1.00% 4,486,734 0.49%
           
(2) Cash-settled derivatives:
456,776 0.05% 4,982,150 0.55%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 239,300 0.02% 264,800 0.03%
           
 
TOTAL: 9,885,004 1.07% 9,733,684 1.06%

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 24 169.1100 USD
5p ordinary Purchase 30 42.3750 GBP
5p ordinary Purchase 73 42.3975 GBP
ADR Purchase 100 166.8800 USD
5p ordinary Purchase 200 42.3350 GBP
ADR Purchase 200 167.2100 USD
ADR Purchase 300 166.9433 USD
5p ordinary Purchase 335 42.3135 GBP
5p ordinary Purchase 342 42.2030 GBP
ADR Purchase 400 166.9000 USD
5p ordinary Purchase 406 42.2115 GBP
5p ordinary Purchase 436 42.1816 GBP
ADR Purchase 500 167.7140 USD
ADR Purchase 500 166.6330 USD
ADR Purchase 500 167.0440 USD
5p ordinary Purchase 567 42.2214 GBP
5p ordinary Purchase 600 42.3000 GBP
ADR Purchase 700 167.3885 USD
5p ordinary Purchase 755 42.2000 GBP
5p ordinary Purchase 883 42.2419 GBP
ADR Purchase 891 166.3381 USD
5p ordinary Purchase 1,281 42.3246 GBP
ADR Purchase 1,325 166.4332 USD
5p ordinary Purchase 1,707 42.2757 GBP
ADR Purchase 2,033 168.5274 USD
5p ordinary Purchase 2,772 42.1956 GBP
ADR Purchase 3,400 168.3957 USD
ADR Purchase 3,700 168.2390 USD
5p ordinary Purchase 3,893 42.2572 GBP
5p ordinary Purchase 4,120 42.2121 GBP
5p ordinary Purchase 4,631 42.1500 GBP
5p ordinary Purchase 8,156 42.2909 GBP
ADR Purchase 9,782 166.6491 USD
ADR Purchase 12,445 166.6096 USD
5p ordinary Purchase 25,105 42.1481 GBP
5p ordinary Purchase 31,397 42.2800 GBP
5p ordinary Purchase 125,656 42.2267 GBP
5p ordinary Sale 10 42.3900 GBP
5p ordinary Sale 52 42.2400 GBP
5p ordinary Sale 72 42.2193 GBP
5p ordinary Sale 73 42.3975 GBP
ADR Sale 100 166.2400 USD
ADR Sale 100 166.2401 USD
ADR Sale 100 168.8400 USD
ADR Sale 100 169.0000 USD
ADR Sale 100 169.0200 USD
ADR Sale 100 169.0800 USD
ADR Sale 100 169.2400 USD
5p ordinary Sale 121 42.2350 GBP
ADR Sale 124 169.1100 USD
ADR Sale 300 169.0600 USD
ADR Sale 300 167.1833 USD
ADR Sale 300 166.0033 USD
ADR Sale 501 168.3576 USD
ADR Sale 591 168.5493 USD
5p ordinary Sale 659 42.1518 GBP
ADR Sale 691 166.3664 USD
5p ordinary Sale 788 42.2748 GBP
ADR Sale 900 168.9700 USD
5p ordinary Sale 1,067 42.3460 GBP
ADR Sale 1,200 168.6316 USD
ADR Sale 1,242 168.4344 USD
ADR Sale 1,447 166.1871 USD
5p ordinary Sale 1,456 42.1750 GBP
ADR Sale 1,600 167.7715 USD
5p ordinary Sale 2,405 42.2706 GBP
ADR Sale 2,500 168.5132 USD
ADR Sale 2,520 167.0946 USD
ADR Sale 3,600 168.2112 USD
ADR Sale 6,434 166.2201 USD
5p ordinary Sale 7,278 42.2732 GBP
5p ordinary Sale 7,336 42.2584 GBP
5p ordinary Sale 7,806 42.2950 GBP
5p ordinary Sale 10,183 42.2377 GBP
ADR Sale 12,850 166.5754 USD
5p ordinary Sale 15,762 42.2390 GBP
5p ordinary Sale 15,885 42.2362 GBP
5p ordinary Sale 25,577 42.2647 GBP
5p ordinary Sale 28,083 42.2787 GBP
5p ordinary Sale 54,964 42.1500 GBP
5p ordinary Sale 57,056 42.2182 GBP
5p ordinary Sale 58,355 42.2990 GBP
5p ordinary Sale 59,895 42.2594 GBP
5p ordinary Sale 90,032 42.3650 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 25 42.1872 GBP
5p ordinary CFD Long 72 42.2193 GBP
5p ordinary SWAP Long 173 42.1943 GBP
5p ordinary SWAP Long 778 42.3557 GBP
5p ordinary CFD Long 2,405 42.2706 GBP
5p ordinary SWAP Long 6,099 42.3497 GBP
5p ordinary SWAP Long 6,773 42.2961 GBP
5p ordinary CFD Long 15,885 42.2362 GBP
5p ordinary CFD Long 25,577 42.2647 GBP
5p ordinary SWAP Long 31,470 42.2587 GBP
5p ordinary CFD Long 44,220 42.2194 GBP
5p ordinary SWAP Long 47,871 42.2760 GBP
5p ordinary SWAP Long 90,032 42.3650 GBP
5p ordinary SWAP Short 196 42.2487 GBP
5p ordinary SWAP Short 764 42.2280 GBP
5p ordinary CFD Short 1,557 42.2482 GBP
5p ordinary CFD Short 1,580 42.1874 GBP
5p ordinary CFD Short 1,707 42.2757 GBP
5p ordinary CFD Short 4,120 42.2121 GBP
5p ordinary SWAP Short 6,546 42.3080 GBP
5p ordinary CFD Short 22,465 42.1667 GBP
5p ordinary SWAP Short 22,465 42.1667 GBP
5p ordinary SWAP Short 39,875 42.1500 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 500 168 USD American 6 Jul 2018 1.1000 USD
ADR Put Options Purchasing 100 163 USD American 13 Jul 2018 1.0000 USD
ADR Put Options Purchasing 2,300 165 USD American 20 Jul 2018 2.0000 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: 3 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 -100 163.0000 American 13 Jul 2018
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 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 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 500 168.0000 American 6 Jul 2018
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 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 -2,300 165.0000 American 20 Jul 2018
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: 650800
Time of Receipt (offset from UTC): 20180703T113342+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC