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

Full name of discloser:   Barclays PLC.
   
Owner or controller of interest and short
positions disclosed, if different from 1(a):  
Name of offeror/offeree in relation to whose SHIRE PLC
relevant securities this form relates:  
If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
offeror/offeree:  
Date position held/dealing undertaken: 13 July 2018
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: 5,555,683 0.60% 3,487,696 0.38%
           
(2) Cash-settled derivatives:
1,672,027 0.18% 4,355,055 0.48%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 249,800 0.02% 277,400 0.03%
           
(4)
TOTAL: 7,477,510 0.80% 8,120,151 0.89%

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 13 172.5400 USD
ADR Purchase 27 173.0800 USD
ADR Purchase 38 172.5300 USD
5p ordinary Purchase 64 43.6200 GBP
5p ordinary Purchase 65 43.6050 GBP
5p ordinary Purchase 65 43.6400 GBP
5p ordinary Purchase 65 43.7150 GBP
5p ordinary Purchase 69 43.5600 GBP
5p ordinary Purchase 79 43.6250 GBP
ADR Purchase 100 172.2301 USD
ADR Purchase 121 172.2109 USD
ADR Purchase 200 172.0400 USD
5p ordinary Purchase 202 43.4043 GBP
5p ordinary Purchase 215 43.6434 GBP
ADR Purchase 225 172.3250 USD
ADR Purchase 300 172.5900 USD
ADR Purchase 300 172.6100 USD
ADR Purchase 300 172.7533 USD
5p ordinary Purchase 305 43.5895 GBP
ADR Purchase 308 172.4074 USD
ADR Purchase 400 172.5006 USD
ADR Purchase 600 172.4800 USD
ADR Purchase 600 172.4570 USD
ADR Purchase 670 172.4816 USD
5p ordinary Purchase 927 43.6105 GBP
5p ordinary Purchase 1,039 43.6714 GBP
5p ordinary Purchase 1,367 43.6042 GBP
5p ordinary Purchase 1,840 43.6514 GBP
5p ordinary Purchase 2,046 43.5567 GBP
ADR Purchase 2,390 172.8800 USD
5p ordinary Purchase 2,434 43.5300 GBP
5p ordinary Purchase 4,211 43.5688 GBP
ADR Purchase 6,318 172.3422 USD
5p ordinary Purchase 13,661 43.4317 GBP
5p ordinary Purchase 16,646 43.5942 GBP
5p ordinary Purchase 24,449 43.4000 GBP
5p ordinary Purchase 93,380 43.4770 GBP
5p ordinary Sale 2 43.6350 GBP
ADR Sale 27 173.0800 USD
ADR Sale 38 172.5300 USD
ADR Sale 60 172.9100 USD
5p ordinary Sale 64 43.6200 GBP
5p ordinary Sale 65 43.7150 GBP
5p ordinary Sale 65 43.6400 GBP
5p ordinary Sale 65 43.6050 GBP
5p ordinary Sale 79 43.6250 GBP
ADR Sale 100 173.0300 USD
ADR Sale 100 172.2301 USD
ADR Sale 121 173.0100 USD
ADR Sale 200 172.1550 USD
ADR Sale 200 172.0400 USD
ADR Sale 200 172.8900 USD
5p ordinary Sale 246 43.6287 GBP
5p ordinary Sale 288 43.4442 GBP
5p ordinary Sale 348 43.5455 GBP
ADR Sale 400 172.6081 USD
ADR Sale 400 172.5006 USD
5p ordinary Sale 496 43.5558 GBP
ADR Sale 510 172.3237 USD
5p ordinary Sale 559 43.5639 GBP
5p ordinary Sale 650 43.4492 GBP
ADR Sale 850 172.6035 USD
5p ordinary Sale 1,138 43.5872 GBP
ADR Sale 1,446 172.4637 USD
5p ordinary Sale 2,149 43.5846 GBP
5p ordinary Sale 2,212 43.5112 GBP
5p ordinary Sale 2,224 43.4000 GBP
ADR Sale 2,269 172.8800 USD
5p ordinary Sale 3,478 43.4981 GBP
5p ordinary Sale 3,564 43.5934 GBP
5p ordinary Sale 3,984 43.6349 GBP
ADR Sale 6,189 172.3367 USD
5p ordinary Sale 7,616 43.5407 GBP
5p ordinary Sale 8,399 43.5811 GBP
5p ordinary Sale 22,366 43.4447 GBP
5p ordinary Sale 38,967 43.4327 GBP
5p ordinary Sale 41,150 43.6130 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 14 43.5457 GBP
5p ordinary SWAP Long 79 43.4646 GBP
5p ordinary SWAP Long 100 43.3957 GBP
5p ordinary CFD Long 246 43.6287 GBP
5p ordinary CFD Long 334 43.5455 GBP
5p ordinary SWAP Long 700 43.4746 GBP
5p ordinary CFD Long 2,290 43.4710 GBP
5p ordinary CFD Long 2,621 43.4415 GBP
5p ordinary SWAP Long 3,329 43.5001 GBP
5p ordinary CFD Long 3,984 43.6349 GBP
5p ordinary SWAP Long 10,885 43.6209 GBP
5p ordinary SWAP Long 20,053 43.4434 GBP
5p ordinary CFD Long 41,150 43.6130 GBP
5p ordinary CFD Short 202 43.4043 GBP
5p ordinary SWAP Short 259 43.6450 GBP
5p ordinary SWAP Short 308 43.4758 GBP
5p ordinary SWAP Short 704 43.6641 GBP
5p ordinary CFD Short 927 43.6105 GBP
5p ordinary CFD Short 1,039 43.6714 GBP
5p ordinary SWAP Short 1,465 43.6339 GBP
5p ordinary SWAP Short 2,046 43.5567 GBP
5p ordinary CFD Short 5,494 43.7127 GBP
5p ordinary SWAP Short 13,426 43.4433 GBP
5p ordinary SWAP Short 14,118 43.6216 GBP
5p ordinary SWAP Short 18,465 43.5620 GBP
5p ordinary SWAP Short 48,676 43.4000 GBP

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(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: 16 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
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 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

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: 651517
Time of Receipt (offset from UTC): 20180716T125507+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC