Form 8.3 - SHIRE PLC - AMENDMENT

LONDON--()--

FORM 8.3 Amendment to Sale and Purchase

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: 11 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: 7,105,313 0.78% 3,512,943 0.38%
           
(2) Cash-settled derivatives:
1,692,288 0.19% 4,396,417 0.48%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 249,800 0.03% 277,400 0.03%
           
 
TOTAL: 9,047,401 0.99% 8,186,760 0.90%

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 66 43.1400 GBP
ADR Purchase 100 172.0000 USD
5p ordinary Purchase 100 42.8850 GBP
5p ordinary Purchase 160 42.9050 GBP
ADR Purchase 200 171.9337 USD
ADR Purchase 200 171.9100 USD
ADR Purchase 200 172.0350 USD
ADR Purchase 237 172.1100 USD
5p ordinary Purchase 538 42.8975 GBP
ADR Purchase 600 171.5933 USD
ADR Purchase 1,000 171.4709 USD
ADR Purchase 1,200 171.9839 USD
ADR Purchase 1,280 171.8863 USD
ADR Purchase 1,400 171.6700 USD
ADR Purchase 3,746 171.2900 USD
5p ordinary Purchase 3,992 42.8991 GBP
5p ordinary Purchase 4,296 43.1352 GBP
5p ordinary Purchase 6,218 42.9104 GBP
5p ordinary Purchase 10,008 43.0964 GBP
ADR Purchase 10,700 171.7756 USD
ADR Purchase 10,969 171.7845 USD
ADR Purchase 11,500 171.7709 USD
5p ordinary Purchase 16,920 43.0428 GBP
5p ordinary Purchase 17,704 42.9073 GBP
5p ordinary Purchase 18,056 42.9218 GBP
5p ordinary Purchase 22,590 43.0698 GBP
5p ordinary Purchase 23,596 42.9416 GBP
5p ordinary Purchase 36,828 43.0236 GBP
5p ordinary Purchase 38,488 43.1790 GBP
5p ordinary Purchase 70,284 42.9539 GBP
5p ordinary Purchase 99,490 43.1900 GBP
5p ordinary Purchase 111,358 43.0032 GBP
5p ordinary Purchase 352,398 42.9936 GBP
5p ordinary Purchase 1,675,550 42.8000 GBP
ADR Sale 80 171.6800 USD
ADR Sale 100 171.2000 USD
ADR Sale 100 172.0400 USD
ADR Sale 100 171.5900 USD
ADR Sale 100 171.3800 USD
5p ordinary Sale 152 42.8800 GBP
ADR Sale 200 171.7100 USD
ADR Sale 200 171.4000 USD
ADR Sale 237 172.1100 USD
ADR Sale 272 171.2179 USD
ADR Sale 400 172.1175 USD
5p ordinary Sale 500 42.8420 GBP
ADR Sale 500 171.2080 USD
ADR Sale 990 171.2848 USD
ADR Sale 1,100 171.9063 USD
ADR Sale 2,000 171.8071 USD
ADR Sale 2,584 171.3770 USD
ADR Sale 2,812 171.7401 USD
5p ordinary Sale 5,172 42.8915 GBP
5p ordinary Sale 8,616 42.9909 GBP
ADR Sale 9,300 171.7644 USD
ADR Sale 10,057 171.7906 USD
ADR Sale 11,100 171.7584 USD
5p ordinary Sale 11,402 42.9272 GBP
5p ordinary Sale 14,652 42.9604 GBP
5p ordinary Sale 16,882 42.9870 GBP
5p ordinary Sale 17,608 42.9056 GBP
5p ordinary Sale 18,940 43.1923 GBP
5p ordinary Sale 19,486 42.9331 GBP
5p ordinary Sale 20,206 43.1859 GBP
5p ordinary Sale 24,566 43.0417 GBP
5p ordinary Sale 36,396 43.1900 GBP
5p ordinary Sale 45,656 42.9185 GBP
5p ordinary Sale 68,988 42.9546 GBP
5p ordinary Sale 80,198 42.9922 GBP
5p ordinary Sale 82,706 43.2567 GBP
5p ordinary Sale 103,104 42.9515 GBP
5p ordinary Sale 173,924 43.1149 GBP
5p ordinary Sale 280,132 42.9713 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 92 42.8995 GBP
5p ordinary SWAP Long 1,094 42.9891 GBP
5p ordinary SWAP Long 3,786 42.9692 GBP
5p ordinary SWAP Long 3,888 43.1500 GBP
5p ordinary CFD Long 7,326 42.9604 GBP
5p ordinary CFD Long 9,470 43.1923 GBP
5p ordinary SWAP Long 14,108 43.1900 GBP
5p ordinary CFD Long 29,521 42.9211 GBP
5p ordinary SWAP Long 35,346 42.9391 GBP
5p ordinary SWAP Long 65,974 42.9468 GBP
5p ordinary SWAP Long 96,002 42.9905 GBP
5p ordinary SWAP Short 320 42.9556 GBP
5p ordinary CFD Short 600 43.0555 GBP
5p ordinary CFD Short 1,996 42.8991 GBP
5p ordinary CFD Short 3,109 42.9104 GBP
5p ordinary SWAP Short 3,802 42.9151 GBP
5p ordinary SWAP Short 4,880 42.9789 GBP
5p ordinary CFD Short 5,004 43.0964 GBP
5p ordinary CFD Short 9,028 42.9218 GBP
5p ordinary CFD Short 11,295 43.0698 GBP
5p ordinary SWAP Short 15,236 43.1718 GBP
5p ordinary SWAP Short 16,920 43.0428 GBP
5p ordinary SWAP Short 21,038 42.9341 GBP
5p ordinary SWAP Short 41,910 43.0420 GBP
5p ordinary SWAP Expires 15/01/2019 Short 238,361 43.1900 GBP
5p ordinary SWAP Short 238,361 43.1900 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 7,200 173 USD American 20 Jul 2018 1.7466 USD
ADR Call Options Selling 7,200 170 USD American 20 Jul 2018 3.1325 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: 13 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
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 Call Options Purchased 8,200 173.0000 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 1,300 165.0000 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 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 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 Put Options Purchased -800 150.0000 American 17 Jan 2020
ADR Call Options Written -900 175.0000 American 19 Oct 2018
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 -10,200 180.0000 American 18 Jan 2019
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 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 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 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 Written -9,500 170.0000 American 20 Jul 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 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 Put Options Purchased -4,800 165.0000 American 20 Jul 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 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: 651466
Time of Receipt (offset from UTC): 20180713T181650+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC