Form 8.3 - Shire - Amendment

LONDON--()--

FORM 8.3 Amendment to sale

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:   03 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: 9,147,908 1.00% 4,457,685 0.49%
                     
(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 0.03% 263,800 0.03%
                     
(4)
TOTAL: 9,822,081 1.08% 9,675,763 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   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   28,398   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”

 

(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”

 

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?   YES
Date of disclosure:   5 Jul 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   -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   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: 650987
Time of Receipt (offset from UTC): 20180705T191406+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC