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: 06 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: 5,637,264 0.62% 5,310,979 0.58%
           
(2) Cash-settled derivatives:
1,785,289 0.20% 4,926,445 0.54%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 242,100 0.03% 266,900 0.03%
           
 
TOTAL: 7,664,653 0.84% 10,504,324 1.15%

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  
5p ordinary Purchase 73 42.7500 GBP
5p ordinary Purchase 126 42.7783 GBP
ADR Purchase 149 170.7534 USD
ADR Purchase 150 170.2500 USD
5p ordinary Purchase 173 42.8450 GBP
ADR Purchase 200 170.9450 USD
5p ordinary Purchase 264 42.8155 GBP
ADR Purchase 300 170.9933 USD
ADR Purchase 300 170.8866 USD
ADR Purchase 300 170.6083 USD
5p ordinary Purchase 400 42.7450 GBP
ADR Purchase 400 170.6599 USD
ADR Purchase 500 170.6225 USD
ADR Purchase 500 170.5740 USD
ADR Purchase 500 170.4800 USD
5p ordinary Purchase 516 42.8675 GBP
ADR Purchase 921 170.6670 USD
ADR Purchase 1,023 170.5477 USD
ADR Purchase 1,100 170.7852 USD
ADR Purchase 1,125 170.4300 USD
ADR Purchase 1,200 170.3675 USD
ADR Purchase 1,400 170.7389 USD
5p ordinary Purchase 2,000 42.8656 GBP
5p ordinary Purchase 2,461 42.7687 GBP
5p ordinary Purchase 2,647 42.7860 GBP
5p ordinary Purchase 2,873 42.8085 GBP
5p ordinary Purchase 2,949 42.7727 GBP
ADR Purchase 3,179 170.4700 USD
5p ordinary Purchase 5,855 42.8600 GBP
ADR Purchase 7,070 170.5409 USD
5p ordinary Purchase 7,955 42.8401 GBP
5p ordinary Purchase 9,723 42.8586 GBP
5p ordinary Purchase 12,062 42.8201 GBP
5p ordinary Purchase 13,119 42.8580 GBP
5p ordinary Purchase 13,325 42.8234 GBP
5p ordinary Purchase 14,237 42.8393 GBP
5p ordinary Purchase 14,788 42.8388 GBP
5p ordinary Purchase 58,762 42.8274 GBP
5p ordinary Purchase 312,683 42.8418 GBP
ADR Sale 27 170.6566 USD
5p ordinary Sale 29 42.7450 GBP
5p ordinary Sale 39 42.8491 GBP
5p ordinary Sale 91 42.7700 GBP
ADR Sale 100 171.0100 USD
ADR Sale 100 171.0300 USD
ADR Sale 112 170.5300 USD
ADR Sale 150 170.2500 USD
ADR Sale 153 170.5554 USD
ADR Sale 200 170.4200 USD
ADR Sale 200 170.7000 USD
ADR Sale 250 170.7220 USD
ADR Sale 257 170.7686 USD
ADR Sale 300 170.3601 USD
ADR Sale 300 170.8933 USD
ADR Sale 300 170.2200 USD
5p ordinary Sale 331 42.8265 GBP
5p ordinary Sale 380 42.7379 GBP
ADR Sale 500 170.7855 USD
5p ordinary Sale 516 42.8675 GBP
ADR Sale 527 170.4624 USD
ADR Sale 800 170.7234 USD
ADR Sale 900 170.3700 USD
ADR Sale 1,100 170.7111 USD
ADR Sale 1,125 170.4300 USD
ADR Sale 1,200 170.6112 USD
ADR Sale 1,300 170.7634 USD
5p ordinary Sale 1,524 42.8237 GBP
5p ordinary Sale 1,890 42.8619 GBP
5p ordinary Sale 1,981 42.7726 GBP
ADR Sale 2,921 170.6903 USD
5p ordinary Sale 3,781 42.8697 GBP
ADR Sale 3,803 170.4700 USD
5p ordinary Sale 3,977 42.8213 GBP
ADR Sale 6,019 170.5201 USD
5p ordinary Sale 7,116 42.8600 GBP
5p ordinary Sale 7,244 42.8440 GBP
5p ordinary Sale 13,278 42.8236 GBP
ADR Sale 25,000 170.8200 USD
5p ordinary Sale 25,589 42.8487 GBP
5p ordinary Sale 40,028 42.8508 GBP
5p ordinary Sale 54,645 42.8293 GBP
5p ordinary Sale 219,103 42.8370 GBP
5p ordinary Sale 1,346,000 42.7200 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 37 42.8545 GBP
5p ordinary SWAP Long 191 42.8246 GBP
5p ordinary SWAP Long 192 42.8166 GBP
5p ordinary CFD Long 380 42.7379 GBP
5p ordinary SWAP Long 1,071 42.8604 GBP
5p ordinary SWAP Long 1,847 42.8268 GBP
5p ordinary CFD Long 3,053 42.7249 GBP
5p ordinary CFD Long 3,781 42.8697 GBP
5p ordinary SWAP Long 22,509 42.8600 GBP
5p ordinary SWAP Expires 08/08/2018 Long 1,346,000 42.7200 GBP
5p ordinary SWAP Short 42 42.7961 GBP
5p ordinary SWAP Short 100 42.8643 GBP
5p ordinary CFD Short 264 42.8156 GBP
5p ordinary SWAP Short 725 42.8283 GBP
ADR CFD Long 25,000 170.8200 USD
5p ordinary SWAP Short 1,149 42.8056 GBP
5p ordinary CFD Short 2,461 42.7687 GBP
5p ordinary CFD Short 2,647 42.7860 GBP
5p ordinary CFD Short 2,873 42.8085 GBP
5p ordinary SWAP Short 2,949 42.7727 GBP
5p ordinary SWAP Short 11,536 42.8249 GBP
5p ordinary CFD Short 12,062 42.8201 GBP
5p ordinary SWAP Short 16,265 42.8604 GBP
5p ordinary SWAP Short 24,465 42.8416 GBP
5p ordinary CFD Short 44,998 42.8634 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 100 125 USD American 18 Jan 2019 1.1000 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
Date of disclosure: 9 Jul 2018
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213

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 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 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 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 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 Call Options Purchased 1,600 170.0000 American 19 Oct 2018
ADR Call Options Written -100 125.0000 American 20 Jul 2018
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 18 Jan 2019
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 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 1,300 165.0000 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 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 Written -100 140.0000 American 17 Jan 2020
ADR Call Options Purchased 200 155.0000 American 17 Jan 2020
ADR Call Options Purchased 200 130.0000 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 Put Options Purchased -5,000 170.0000 American 19 Oct 2018
ADR Put Options Purchased -200 170.0000 American 18 Jan 2019
ADR Call Options Written -400 115.0000 American 20 Jul 2018
ADR Put Options Purchased -800 150.0000 American 17 Jan 2020
ADR Call Options Written -900 175.0000 American 19 Oct 2018
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 2,300 185.0000 American 18 Jan 2019
ADR Call Options Purchased 500 195.0000 American 18 Jan 2019
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 Purchased -200 115.0000 American 19 Oct 2018
ADR Put Options Purchased -700 115.0000 American 20 Jul 2018
ADR Call Options Purchased 500 130.0000 American 19 Oct 2018
ADR Call Options Purchased 300 170.0000 American 13 Jul 2018
ADR Put Options Written 300 130.0000 American 20 Jul 2018
ADR Call Options Purchased 200 160.0000 American 17 Jan 2020
ADR Put Options Written 3,800 150.0000 American 20 Jul 2018
ADR Call Options Purchased 2,000 170.0000 American 17 Aug 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 Put Options Purchased -1,100 150.0000 American 19 Oct 2018
ADR Call Options Written -1,300 170.0000 American 20 Jul 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 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 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 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 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 Put Options Purchased -4,800 165.0000 American 20 Jul 2018
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 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 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
ADR Put Options Purchased -500 145.0000 American 18 Jan 2019
ADR Put Options Purchased -1,000 170.0000 American 17 Jan 2020
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: 651107
Time of Receipt (offset from UTC): 20180709T144954+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC