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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

SHIRE PLC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

 

3 July 2018

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

 

YES 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: 9,153,908 1.00% 4,457,685 0.48%
           
(2) Cash-settled derivatives:
434,873 0.05% 4,954,278 0.54%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 239,300 0.02% 263,800 0.03%
           
(4)
TOTAL: 9,828,081 1.07% 9,675,763 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 5 168.1800 USD
5p ordinary Purchase 22 42.4025 GBP
ADR Purchase 30 168.0500 USD
5p ordinary Purchase 35 42.5000 GBP
5p ordinary Purchase 73 42.4625 GBP
5p ordinary Purchase 74 42.4450 GBP
5p ordinary Purchase 89 42.4250 GBP
5p ordinary Purchase 90 42.4850 GBP
ADR Purchase 100 168.0400 USD
ADR Purchase 100 167.8100 USD
ADR Purchase 100 168.4100 USD
ADR Purchase 200 168.8500 USD
ADR Purchase 210 168.5309 USD
ADR Purchase 300 168.2000 USD
5p ordinary Purchase 300 42.5326 GBP
5p ordinary Purchase 383 42.5770 GBP
ADR Purchase 400 168.4375 USD
ADR Purchase 400 168.3756 USD
5p ordinary Purchase 448 42.4494 GBP
5p ordinary Purchase 500 42.4092 GBP
ADR Purchase 500 168.6400 USD
5p ordinary Purchase 665 42.6600 GBP
5p ordinary Purchase 684 42.3611 GBP
ADR Purchase 702 168.1873 USD
5p ordinary Purchase 854 42.7240 GBP
ADR Purchase 1,100 168.3609 USD
5p ordinary Purchase 1,271 42.5305 GBP
ADR Purchase 1,484 168.0300 USD
5p ordinary Purchase 1,524 42.3403 GBP
5p ordinary Purchase 1,621 42.4296 GBP
ADR Purchase 2,500 168.2513 USD
5p ordinary Purchase 2,709 42.6996 GBP
ADR Purchase 2,800 168.2637 USD
5p ordinary Purchase 3,106 42.4766 GBP
5p ordinary Purchase 3,343 42.4004 GBP
5p ordinary Purchase 5,140 42.5750 GBP
5p ordinary Purchase 5,730 42.4733 GBP
ADR Purchase 6,332 168.4534 USD
5p ordinary Purchase 9,077 42.4291 GBP
5p ordinary Purchase 12,381 42.4552 GBP
5p ordinary Purchase 14,426 42.5985 GBP
5p ordinary Purchase 14,846 42.6000 GBP
ADR Purchase 19,625 168.6154 USD
5p ordinary Purchase 65,318 42.5603 GBP
5p ordinary Purchase 71,128 42.4577 GBP
5p ordinary Purchase 264,567 42.4820 GBP
ADR Sale 5 168.1800 USD
ADR Sale 21 168.7000 USD
5p ordinary Sale 22 42.4025 GBP
ADR Sale 30 168.0500 USD
5p ordinary Sale 73 42.4625 GBP
5p ordinary Sale 74 42.4450 GBP
5p ordinary Sale 89 42.4250 GBP
5p ordinary Sale 90 42.4850 GBP
5p ordinary Sale 98 42.6600 GBP
ADR Sale 100 167.7500 USD
ADR Sale 100 168.4000 USD
ADR Sale 100 168.4400 USD
ADR Sale 100 168.5043 USD
ADR Sale 100 168.6000 USD
ADR Sale 100 168.9800 USD
ADR Sale 100 169.1000 USD
5p ordinary Sale 118 42.4160 GBP
5p ordinary Sale 177 42.6994 GBP
ADR Sale 200 167.7400 USD
ADR Sale 229 168.0400 USD
ADR Sale 252 168.2883 USD
ADR Sale 300 168.3700 USD
ADR Sale 300 168.3675 USD
ADR Sale 310 167.8012 USD
ADR Sale 400 168.8150 USD
ADR Sale 500 168.4600 USD
ADR Sale 500 168.0620 USD
5p ordinary Sale 556 42.6036 GBP
5p ordinary Sale 571 42.6630 GBP
ADR Sale 660 168.6400 USD
ADR Sale 800 168.5306 USD
ADR Sale 1,000 168.7100 USD
5p ordinary Sale 1,189 42.5070 GBP
ADR Sale 1,484 168.0300 USD
ADR Sale 1,700 168.1198 USD
5p ordinary Sale 1,853 42.5484 GBP
ADR Sale 2,201 168.5612 USD
ADR Sale 2,400 168.1718 USD
5p ordinary Sale 3,310 42.6417 GBP
ADR Sale 4,442 168.6871 USD
5p ordinary Sale 5,146 42.4265 GBP
ADR Sale 5,531 168.3722 USD
5p ordinary Sale 5,592 42.4722 GBP
5p ordinary Sale 10,950 42.4708 GBP
5p ordinary Sale 12,381 42.4552 GBP
ADR Sale 13,423 168.6315 USD
5p ordinary Sale 16,538 42.5705 GBP
5p ordinary Sale 25,398 42.6000 GBP
5p ordinary Sale 31,580 42.5546 GBP
5p ordinary Sale 37,472 42.6039 GBP
5p ordinary Sale 51,101 42.4387 GBP
5p ordinary Sale 91,139 42.5615 GBP
5p ordinary Sale 182,885 42.4310 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 118 42.4161 GBP
5p ordinary SWAP Long 420 42.5035 GBP
5p ordinary CFD Long 709 42.6429 GBP
5p ordinary SWAP Long 2,306 42.5435 GBP
5p ordinary CFD Long 3,310 42.6417 GBP
5p ordinary SWAP Long 17,320 42.3971 GBP
5p ordinary SWAP Long 35,340 42.5761 GBP
5p ordinary CFD Long 37,472 42.6039 GBP
5p ordinary SWAP Long 41,556 42.6000 GBP
5p ordinary SWAP Short 100 42.6043 GBP
5p ordinary SWAP Short 300 42.5326 GBP
5p ordinary SWAP Short 436 42.4503 GBP
5p ordinary SWAP Short 752 42.5153 GBP
5p ordinary SWAP Short 927 42.4842 GBP
5p ordinary CFD Short 1,271 42.5305 GBP
5p ordinary CFD Short 1,524 42.3403 GBP
5p ordinary CFD Short 2,587 42.6618 GBP
5p ordinary CFD Short 2,709 42.6996 GBP
5p ordinary CFD Short 3,343 42.4004 GBP
5p ordinary SWAP Short 7,700 42.6004 GBP
5p ordinary SWAP Short 20,736 42.4889 GBP
5p ordinary SWAP Short 42,371 42.5485 GBP
5p ordinary CFD Short 47,826 42.6038 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 Put Options Selling 1,000 115 USD American 20 Jul 2018 0.1000 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/NO
Date of disclosure:  

4 JULY 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 and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. 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

Full name of person making disclosure:  

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

SHIRE PLC

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 -700 115.0000 American 20 Jul 2018
ADR Put Options Purchased -1,000 105.0000 American 18 Jan 2019
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 0 Jan 1900

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: 650906
Time of Receipt (offset from UTC): 20180704T131235+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC