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: 20 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: 5,269,639 0.57% 2,677,414 0.29%
           
(2) Cash-settled derivatives:
1,679,816 0.18% 3,958,284 0.43%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 251,700 0.02% 279,200 0.03%
           
(4)
TOTAL: 7,201,155 0.77% 6,914,898 0.75%

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 22 172.6200 USD
5p ordinary Purchase 57 44.0006 GBP
5p ordinary Purchase 74 44.0740 GBP
ADR Purchase 100 172.1600 USD
ADR Purchase 100 172.7600 USD
ADR Purchase 100 171.2200 USD
5p ordinary Purchase 105 44.0249 GBP
ADR Purchase 105 171.3113 USD
ADR Purchase 139 171.4900 USD
5p ordinary Purchase 146 43.7825 GBP
ADR Purchase 300 171.3033 USD
ADR Purchase 341 171.2993 USD
ADR Purchase 400 172.1875 USD
ADR Purchase 400 171.8825 USD
ADR Purchase 400 171.5237 USD
ADR Purchase 500 171.4630 USD
5p ordinary Purchase 591 43.8250 GBP
5p ordinary Purchase 668 44.0149 GBP
ADR Purchase 700 171.3928 USD
ADR Purchase 707 172.0428 USD
5p ordinary Purchase 772 44.2047 GBP
ADR Purchase 1,374 171.2606 USD
5p ordinary Purchase 1,497 43.8178 GBP
5p ordinary Purchase 1,632 43.9000 GBP
5p ordinary Purchase 1,722 43.9470 GBP
5p ordinary Purchase 1,899 44.1389 GBP
ADR Purchase 1,923 171.2500 USD
5p ordinary Purchase 2,073 44.0632 GBP
ADR Purchase 2,391 172.0596 USD
ADR Purchase 3,242 171.3185 USD
5p ordinary Purchase 3,690 44.1336 GBP
ADR Purchase 3,729 171.8524 USD
5p ordinary Purchase 4,135 43.9405 GBP
5p ordinary Purchase 6,465 43.8155 GBP
5p ordinary Purchase 7,621 44.0361 GBP
ADR Purchase 9,364 172.2259 USD
5p ordinary Purchase 17,993 43.8230 GBP
5p ordinary Purchase 18,368 43.8999 GBP
5p ordinary Purchase 34,343 44.0344 GBP
5p ordinary Purchase 39,291 43.8308 GBP
5p ordinary Purchase 94,612 44.0716 GBP
ADR Sale 11 171.5900 USD
ADR Sale 30 171.3400 USD
ADR Sale 100 172.4200 USD
ADR Sale 100 172.2500 USD
ADR Sale 100 171.2800 USD
ADR Sale 100 171.2600 USD
5p ordinary Sale 122 44.1247 GBP
5p ordinary Sale 140 43.8050 GBP
5p ordinary Sale 168 44.1683 GBP
ADR Sale 200 171.4900 USD
ADR Sale 200 171.2355 USD
ADR Sale 202 171.2200 USD
ADR Sale 210 171.2733 USD
5p ordinary Sale 220 44.2000 GBP
ADR Sale 240 171.4541 USD
5p ordinary Sale 258 44.1350 GBP
5p ordinary Sale 272 44.1546 GBP
ADR Sale 400 171.5996 USD
ADR Sale 460 172.6200 USD
5p ordinary Sale 466 43.9947 GBP
5p ordinary Sale 486 43.8250 GBP
5p ordinary Sale 496 44.1329 GBP
5p ordinary Sale 567 44.0986 GBP
ADR Sale 600 172.3416 USD
5p ordinary Sale 736 44.0522 GBP
5p ordinary Sale 744 44.0532 GBP
5p ordinary Sale 772 44.2047 GBP
ADR Sale 800 171.6537 USD
ADR Sale 800 171.5237 USD
5p ordinary Sale 810 43.8269 GBP
5p ordinary Sale 918 44.1337 GBP
ADR Sale 989 172.2899 USD
ADR Sale 1,200 171.5408 USD
ADR Sale 1,200 172.0075 USD
5p ordinary Sale 1,556 43.7585 GBP
5p ordinary Sale 1,661 43.9624 GBP
5p ordinary Sale 1,981 44.0465 GBP
ADR Sale 2,263 171.2500 USD
5p ordinary Sale 3,234 43.8261 GBP
5p ordinary Sale 6,289 43.9240 GBP
ADR Sale 11,862 172.1960 USD
5p ordinary Sale 11,925 44.0091 GBP
5p ordinary Sale 13,978 44.0425 GBP
5p ordinary Sale 20,000 43.9262 GBP
5p ordinary Sale 20,772 43.8435 GBP
5p ordinary Sale 51,917 44.2027 GBP
5p ordinary Sale 89,937 43.9251 GBP
5p ordinary Sale 193,143 44.1600 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 147 43.7751 GBP
5p ordinary CFD Long 168 44.1683 GBP
5p ordinary SWAP Long 486 43.7812 GBP
5p ordinary CFD Long 1,556 43.7585 GBP
5p ordinary SWAP Long 1,750 43.8656 GBP
5p ordinary CFD Long 3,234 43.8261 GBP
5p ordinary CFD Long 5,202 43.8283 GBP
5p ordinary SWAP Long 7,168 44.1776 GBP
5p ordinary SWAP Long 9,345 44.1177 GBP
5p ordinary SWAP Long 12,289 44.0471 GBP
5p ordinary SWAP Long 15,620 44.1089 GBP
5p ordinary CFD Long 18,642 43.8210 GBP
5p ordinary SWAP Long 51,917 44.2027 GBP
5p ordinary CFD Long 193,143 44.1600 GBP
5p ordinary SWAP Short 44 44.0550 GBP
5p ordinary CFD Short 112 43.7584 GBP
5p ordinary SWAP Short 394 44.2764 GBP
5p ordinary SWAP Short 500 43.8250 GBP
5p ordinary SWAP Short 574 44.0451 GBP
5p ordinary CFD Short 737 44.2109 GBP
5p ordinary CFD Short 2,178 43.7939 GBP
5p ordinary CFD Short 4,135 43.9405 GBP
5p ordinary CFD Short 4,175 43.8283 GBP
5p ordinary CFD Short 7,621 44.0361 GBP
5p ordinary SWAP Short 10,383 43.9800 GBP
5p ordinary SWAP Short 11,869 44.0926 GBP
5p ordinary CFD Short 94,612 44.0716 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 2,800 170 USD American 20 Jul 2018 1.8782 USD
ADR Call Options Purchasing 4,500 173 USD American 20 Jul 2018 0.0884 USD
ADR Call Options Selling 4,500 170 USD American 20 Jul 2018 1.3042 USD
ADR Call Options Selling 2,300 173 USD American 20 Jul 2018 0.1800 USD
ADR Put Options Selling 200 100 USD American 18 Jan 2019 0.4000 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: 23 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 10,300 173.0000 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 -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 500 125.0000 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 200 100.0000 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 7,800 165.0000 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 700 195.0000 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 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 -11,200 170.0000 American 20 Jul 2018
ADR Call Options Purchased 7,300 160.0000 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 Call Options Purchased 100 105.0000 American 18 Jan 2019
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 -200 175.0000 American 17 Aug 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: 652039
Time of Receipt (offset from UTC): 20180723T133652+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC