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: 23 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: 5,353,540 0.59% 2,673,670 0.29%
           
(2) Cash-settled derivatives:
1,682,074 0.18% 4,009,845 0.44%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 161,400 0.01% 252,700 0.02%
           
(4)
TOTAL: 7,197,014 0.79% 6,936,215 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  
5p ordinary Purchase 38 43.4040 GBP
5p ordinary Purchase 51 43.4650 GBP
ADR Purchase 100 170.6100 USD
ADR Purchase 109 170.6108 USD
ADR Purchase 177 171.3500 USD
ADR Purchase 200 170.6300 USD
ADR Purchase 200 171.1200 USD
ADR Purchase 200 170.9650 USD
5p ordinary Purchase 273 43.4990 GBP
ADR Purchase 300 170.8933 USD
5p ordinary Purchase 323 43.2350 GBP
ADR Purchase 341 171.2086 USD
ADR Purchase 400 170.7375 USD
5p ordinary Purchase 493 43.2875 GBP
5p ordinary Purchase 500 43.7150 GBP
5p ordinary Purchase 569 43.4304 GBP
ADR Purchase 586 170.5500 USD
5p ordinary Purchase 981 43.4277 GBP
ADR Purchase 1,705 171.1500 USD
5p ordinary Purchase 1,735 43.4159 GBP
ADR Purchase 1,800 171.0161 USD
5p ordinary Purchase 1,906 43.4023 GBP
5p ordinary Purchase 2,000 43.5663 GBP
ADR Purchase 2,700 170.9571 USD
ADR Purchase 3,100 170.9287 USD
5p ordinary Purchase 3,106 43.3132 GBP
5p ordinary Purchase 5,427 43.4915 GBP
5p ordinary Purchase 6,113 43.5014 GBP
ADR Purchase 7,187 170.9358 USD
ADR Purchase 8,388 170.8706 USD
5p ordinary Purchase 12,232 43.4072 GBP
5p ordinary Purchase 12,551 43.4249 GBP
5p ordinary Purchase 13,303 43.4436 GBP
5p ordinary Purchase 13,693 43.5080 GBP
5p ordinary Purchase 25,849 43.5165 GBP
5p ordinary Purchase 31,657 43.5151 GBP
5p ordinary Purchase 60,031 43.4479 GBP
5p ordinary Purchase 68,371 43.4377 GBP
5p ordinary Purchase 75,000 43.3872 GBP
5p ordinary Sale 2 43.4000 GBP
5p ordinary Sale 7 43.3328 GBP
5p ordinary Sale 11 43.4563 GBP
5p ordinary Sale 13 43.3394 GBP
5p ordinary Sale 21 43.4233 GBP
5p ordinary Sale 28 43.3877 GBP
5p ordinary Sale 45 43.6496 GBP
5p ordinary Sale 75 43.5350 GBP
5p ordinary Sale 101 43.4427 GBP
5p ordinary Sale 143 43.4052 GBP
5p ordinary Sale 161 43.3561 GBP
ADR Sale 177 171.3500 USD
ADR Sale 200 171.1200 USD
ADR Sale 200 171.0487 USD
5p ordinary Sale 261 43.3624 GBP
5p ordinary Sale 287 43.4683 GBP
ADR Sale 292 170.9195 USD
ADR Sale 300 171.2700 USD
ADR Sale 400 171.3300 USD
5p ordinary Sale 500 43.2618 GBP
5p ordinary Sale 583 43.4605 GBP
ADR Sale 620 171.0638 USD
ADR Sale 650 171.0334 USD
ADR Sale 730 171.0483 USD
ADR Sale 885 171.1500 USD
ADR Sale 900 170.9955 USD
5p ordinary Sale 1,079 43.4267 GBP
ADR Sale 1,300 171.2692 USD
ADR Sale 1,400 170.8925 USD
ADR Sale 1,700 170.9586 USD
ADR Sale 2,000 170.8867 USD
5p ordinary Sale 2,216 43.4480 GBP
5p ordinary Sale 2,525 43.4160 GBP
5p ordinary Sale 3,448 43.4138 GBP
5p ordinary Sale 3,623 43.4110 GBP
ADR Sale 4,165 170.7512 USD
ADR Sale 4,521 171.0429 USD
ADR Sale 4,753 170.6516 USD
5p ordinary Sale 5,496 43.5119 GBP
5p ordinary Sale 5,600 43.4910 GBP
5p ordinary Sale 13,123 43.5100 GBP
5p ordinary Sale 20,796 43.4623 GBP
5p ordinary Sale 35,391 43.4966 GBP
5p ordinary Sale 40,935 43.4180 GBP
5p ordinary Sale 52,044 43.5138 GBP
5p ordinary Sale 87,256 43.4447 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 2 43.4006 GBP
5p ordinary SWAP Long 7 43.3328 GBP
5p ordinary SWAP Long 11 43.4563 GBP
5p ordinary SWAP Long 13 43.3394 GBP
5p ordinary SWAP Long 21 43.4234 GBP
5p ordinary SWAP Long 28 43.3877 GBP
5p ordinary CFD Long 45 43.6495 GBP
5p ordinary SWAP Long 55 43.5645 GBP
5p ordinary SWAP Long 143 43.4052 GBP
5p ordinary SWAP Long 261 43.3625 GBP
5p ordinary CFD Long 287 43.4682 GBP
5p ordinary CFD Long 370 43.4891 GBP
5p ordinary SWAP Long 583 43.4605 GBP
5p ordinary SWAP Long 663 43.4821 GBP
5p ordinary SWAP Long 1,079 43.4267 GBP
5p ordinary SWAP Long 2,111 43.5100 GBP
5p ordinary SWAP Long 2,550 43.4919 GBP
5p ordinary SWAP Long 3,236 43.3656 GBP
5p ordinary SWAP Long 3,448 43.4138 GBP
5p ordinary SWAP Long 3,568 43.4086 GBP
5p ordinary CFD Long 5,400 43.5208 GBP
5p ordinary SWAP Long 8,767 43.5419 GBP
5p ordinary SWAP Long 10,398 43.4629 GBP
5p ordinary CFD Short 121 43.4573 GBP
5p ordinary CFD Short 156 43.4574 GBP
5p ordinary SWAP Short 522 43.4332 GBP
5p ordinary CFD Short 621 43.2399 GBP
5p ordinary SWAP Short 957 43.4606 GBP
5p ordinary SWAP Short 1,204 43.4214 GBP
5p ordinary CFD Short 1,735 43.4159 GBP
5p ordinary SWAP Short 3,230 43.2709 GBP
5p ordinary SWAP Short 3,461 43.5100 GBP
5p ordinary SWAP Short 3,879 43.3708 GBP
5p ordinary CFD Short 4,200 43.5139 GBP
5p ordinary CFD Short 12,232 43.4072 GBP
5p ordinary CFD Short 23,392 43.4578 GBP
5p ordinary CFD Short 36,639 43.4416 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 200 180 USD American 18 Jan 2019 6.1000 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: 24 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 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 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 -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 -2,700 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 Purchased 400 230.0000 American 18 Jan 2019
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 Call Options Purchased 100 220.0000 American 18 Jan 2019
ADR Put Options Written 100 95.0000 American 18 Jan 2019
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 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 500 125.0000 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 Put Options Purchased -2,500 120.0000 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 4,500 200.0000 American 18 Jan 2019
ADR Put Options Purchased -200 170.0000 American 18 Jan 2019
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 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 700 195.0000 American 18 Jan 2019
ADR Put Options Purchased -200 115.0000 American 19 Oct 2018
ADR Put Options Purchased -1,000 105.0000 American 18 Jan 2019
ADR Call Options Written -10,000 180.0000 American 18 Jan 2019
ADR Call Options Purchased 200 160.0000 American 17 Jan 2020
ADR Call Options Purchased 2,000 170.0000 American 17 Aug 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 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 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 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 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 Call Options Purchased 2,000 150.0000 American 17 Jan 2020
ADR Call Options Purchased 1,000 135.0000 American 18 Jan 2019
ADR Call Options Purchased 500 150.0000 American 18 Jan 2019
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

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: 652121
Time of Receipt (offset from UTC): 20180724T130146+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC