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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

SHIRE PLC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

 

24 JULY 2018

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

 

YES: 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: 5,359,224 0.59% 3,128,174 0.34%
           
(2) Cash-settled derivatives:
1,651,587 0.18% 3,973,206 0.43%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 161,400 0.01% 252,000 0.02%
           
(4)
TOTAL: 7,172,211 0.78% 7,353,380 0.79%

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 20 172.3800 USD
5p ordinary Purchase 33 43.7500 GBP
5p ordinary Purchase 46 43.3650 GBP
ADR Purchase 47 172.5300 USD
ADR Purchase 53 172.4900 USD
5p ordinary Purchase 66 43.3750 GBP
5p ordinary Purchase 75 43.5950 GBP
ADR Purchase 100 172.3300 USD
ADR Purchase 100 172.7700 USD
ADR Purchase 100 171.9200 USD
5p ordinary Purchase 147 43.7469 GBP
ADR Purchase 163 172.0477 USD
ADR Purchase 182 172.3997 USD
5p ordinary Purchase 190 43.6932 GBP
5p ordinary Purchase 192 43.7702 GBP
ADR Purchase 200 172.5350 USD
ADR Purchase 200 172.5249 USD
ADR Purchase 200 172.4275 USD
5p ordinary Purchase 250 43.3500 GBP
ADR Purchase 287 172.3154 USD
ADR Purchase 301 172.6511 USD
5p ordinary Purchase 328 43.7366 GBP
ADR Purchase 357 172.6443 USD
ADR Purchase 382 172.6200 USD
5p ordinary Purchase 437 43.4437 GBP
ADR Purchase 500 172.0640 USD
5p ordinary Purchase 543 43.4390 GBP
5p ordinary Purchase 826 43.7458 GBP
5p ordinary Purchase 841 43.6903 GBP
ADR Purchase 1,500 172.1367 USD
ADR Purchase 1,900 172.8021 USD
ADR Purchase 2,012 172.7300 USD
5p ordinary Purchase 2,025 43.7002 GBP
5p ordinary Purchase 2,169 43.3398 GBP
ADR Purchase 2,400 172.7539 USD
5p ordinary Purchase 3,229 43.5553 GBP
ADR Purchase 3,317 172.4740 USD
5p ordinary Purchase 3,420 43.7261 GBP
ADR Purchase 3,870 172.3814 USD
ADR Purchase 4,522 172.5720 USD
5p ordinary Purchase 9,011 43.7789 GBP
5p ordinary Purchase 11,533 43.4892 GBP
5p ordinary Purchase 30,639 43.8450 GBP
5p ordinary Purchase 37,675 43.7686 GBP
5p ordinary Purchase 65,881 43.7968 GBP
5p ordinary Sale 1 43.3950 GBP
5p ordinary Sale 3 43.4150 GBP
5p ordinary Sale 46 43.3650 GBP
5p ordinary Sale 66 43.3750 GBP
ADR Sale 100 172.4800 USD
ADR Sale 100 172.5900 USD
5p ordinary Sale 104 43.4700 GBP
ADR Sale 126 172.5800 USD
5p ordinary Sale 180 43.3355 GBP
ADR Sale 182 172.3997 USD
ADR Sale 200 172.7075 USD
ADR Sale 200 172.7700 USD
ADR Sale 200 172.5200 USD
ADR Sale 200 172.5500 USD
5p ordinary Sale 252 43.3600 GBP
ADR Sale 254 171.8606 USD
ADR Sale 300 172.7133 USD
ADR Sale 337 172.7072 USD
ADR Sale 345 172.2028 USD
5p ordinary Sale 350 43.5554 GBP
5p ordinary Sale 439 43.4316 GBP
ADR Sale 458 172.1113 USD
5p ordinary Sale 583 43.3429 GBP
5p ordinary Sale 585 43.6089 GBP
ADR Sale 600 172.7066 USD
5p ordinary Sale 668 43.4041 GBP
ADR Sale 699 172.4669 USD
5p ordinary Sale 749 43.5226 GBP
5p ordinary Sale 948 43.3675 GBP
ADR Sale 1,035 172.7300 USD
ADR Sale 1,170 172.1392 USD
5p ordinary Sale 1,173 43.3752 GBP
5p ordinary Sale 1,195 43.6919 GBP
ADR Sale 1,300 172.0777 USD
ADR Sale 1,300 172.8673 USD
ADR Sale 1,300 172.8165 USD
ADR Sale 1,482 172.6200 USD
5p ordinary Sale 1,576 43.6848 GBP
5p ordinary Sale 1,610 43.6273 GBP
ADR Sale 1,722 172.5108 USD
5p ordinary Sale 1,800 43.8450 GBP
ADR Sale 2,387 172.4618 USD
ADR Sale 2,400 172.6212 USD
5p ordinary Sale 2,663 43.6702 GBP
5p ordinary Sale 3,188 43.8408 GBP
ADR Sale 3,276 172.5103 USD
5p ordinary Sale 4,788 43.7202 GBP
5p ordinary Sale 19,589 43.6574 GBP
5p ordinary Sale 22,509 43.7776 GBP
5p ordinary Sale 84,798 43.7969 GBP
5p ordinary Sale 471,992 43.5900 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 54 43.3746 GBP
5p ordinary SWAP Long 222 43.6413 GBP
5p ordinary SWAP Long 230 43.6801 GBP
5p ordinary SWAP Long 1,576 43.6848 GBP
5p ordinary CFD Long 1,610 43.6273 GBP
5p ordinary SWAP Long 1,800 43.8450 GBP
5p ordinary CFD Long 2,663 43.6702 GBP
5p ordinary CFD Long 2,679 43.8414 GBP
5p ordinary CFD Long 4,788 43.7202 GBP
5p ordinary CFD Long 7,714 43.7373 GBP
5p ordinary SWAP Long 11,120 43.8135 GBP
5p ordinary CFD Long 22,509 43.7776 GBP
5p ordinary SWAP Long 84,190 43.7635 GBP
5p ordinary CFD Short 21 43.6933 GBP
5p ordinary SWAP Short 112 43.3708 GBP
5p ordinary CFD Short 169 43.6932 GBP
5p ordinary CFD Short 192 43.7702 GBP
5p ordinary SWAP Short 242 43.6354 GBP
5p ordinary SWAP Short 248 43.7693 GBP
5p ordinary SWAP Short 572 43.8005 GBP
5p ordinary SWAP Short 604 43.6954 GBP
5p ordinary CFD Short 841 43.6903 GBP
5p ordinary SWAP Short 1,515 43.7261 GBP
5p ordinary SWAP Short 1,880 43.6758 GBP
5p ordinary SWAP Short 2,637 43.5863 GBP
5p ordinary CFD Short 9,011 43.7789 GBP
5p ordinary SWAP Short 11,268 43.6640 GBP
5p ordinary CFD Short 11,533 43.4892 GBP
5p ordinary SWAP Short 30,128 43.7937 GBP
5p ordinary SWAP Short 31,216 43.8440 GBP
5p ordinary SWAP Short 32,814 43.7656 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:  

25 JULY 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 and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. 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

Full name of person making disclosure:  

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

SHIRE PLC

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 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 -2,700 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 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 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 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 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 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 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 -1,000 105.0000 American 18 Jan 2019
ADR Call Options Written -10,000 180.0000 American 18 Jan 2019
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 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 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 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 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 0 Jan 1900

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: 652192
Time of Receipt (offset from UTC): 20180725T115630+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC