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: 26 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: 5,661,125 0.61% 3,066,461 0.33%
           
(2) Cash-settled derivatives:
1,574,343 0.17% 4,249,012 0.46%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 162,000 0.01% 252,800 0.02%
           
(4)
TOTAL: 7,397,468 0.79% 7,568,273 0.82%

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 21 43.4942 GBP
5p ordinary Purchase 71 43.4200 GBP
5p ordinary Purchase 73 43.4650 GBP
ADR Purchase 100 171.5150 USD
ADR Purchase 100 171.8100 USD
ADR Purchase 100 171.6400 USD
5p ordinary Purchase 163 43.6466 GBP
ADR Purchase 200 172.2900 USD
ADR Purchase 200 171.8150 USD
ADR Purchase 300 172.2000 USD
ADR Purchase 300 171.7083 USD
ADR Purchase 331 171.5704 USD
ADR Purchase 400 171.5200 USD
ADR Purchase 400 172.2375 USD
ADR Purchase 436 171.6017 USD
ADR Purchase 700 171.6357 USD
5p ordinary Purchase 702 43.4886 GBP
5p ordinary Purchase 940 43.5113 GBP
5p ordinary Purchase 1,098 43.4330 GBP
ADR Purchase 1,264 171.6109 USD
ADR Purchase 1,400 171.9664 USD
5p ordinary Purchase 1,554 43.4964 GBP
5p ordinary Purchase 1,595 43.4473 GBP
5p ordinary Purchase 1,791 43.6252 GBP
5p ordinary Purchase 1,796 43.5136 GBP
ADR Purchase 2,000 172.2650 USD
ADR Purchase 2,200 172.2672 USD
5p ordinary Purchase 2,472 43.6472 GBP
ADR Purchase 2,506 172.2400 USD
5p ordinary Purchase 3,905 43.6330 GBP
5p ordinary Purchase 4,096 43.6027 GBP
5p ordinary Purchase 4,224 43.4757 GBP
5p ordinary Purchase 5,300 43.4550 GBP
5p ordinary Purchase 6,757 43.5334 GBP
ADR Purchase 6,998 171.8644 USD
5p ordinary Purchase 7,215 43.4532 GBP
5p ordinary Purchase 7,421 43.4419 GBP
5p ordinary Purchase 11,362 43.6042 GBP
5p ordinary Purchase 13,385 43.5807 GBP
5p ordinary Purchase 20,448 43.5227 GBP
5p ordinary Purchase 29,637 43.5758 GBP
5p ordinary Purchase 34,612 43.6056 GBP
5p ordinary Purchase 42,735 43.5608 GBP
5p ordinary Sale 56 43.3250 GBP
5p ordinary Sale 73 43.4650 GBP
ADR Sale 100 171.5150 USD
5p ordinary Sale 119 43.3119 GBP
ADR Sale 200 172.2612 USD
ADR Sale 200 172.1900 USD
5p ordinary Sale 213 43.4579 GBP
ADR Sale 300 171.5300 USD
ADR Sale 370 172.1908 USD
ADR Sale 400 172.2387 USD
ADR Sale 564 171.6263 USD
ADR Sale 584 172.1947 USD
5p ordinary Sale 599 43.4692 GBP
ADR Sale 1,000 172.2747 USD
5p ordinary Sale 1,098 43.4330 GBP
ADR Sale 1,100 171.6409 USD
ADR Sale 1,200 172.2610 USD
ADR Sale 1,336 171.6196 USD
5p ordinary Sale 1,350 43.5043 GBP
ADR Sale 1,352 172.2400 USD
5p ordinary Sale 1,548 43.4582 GBP
5p ordinary Sale 1,599 43.4475 GBP
ADR Sale 1,600 172.2751 USD
ADR Sale 2,100 172.0709 USD
5p ordinary Sale 2,715 43.5176 GBP
5p ordinary Sale 4,563 43.4469 GBP
5p ordinary Sale 4,973 43.6350 GBP
ADR Sale 7,229 171.8300 USD
5p ordinary Sale 8,359 43.6320 GBP
5p ordinary Sale 8,397 43.5443 GBP
5p ordinary Sale 11,116 43.2886 GBP
5p ordinary Sale 13,858 43.4601 GBP
5p ordinary Sale 18,328 43.4568 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 473 43.3135 GBP
5p ordinary SWAP Long 700 43.6350 GBP
5p ordinary SWAP Long 950 43.5223 GBP
5p ordinary CFD Long 2,715 43.5176 GBP
5p ordinary SWAP Long 4,563 43.4469 GBP
5p ordinary SWAP Long 16,131 43.4684 GBP
5p ordinary CFD Short 21 43.4942 GBP
5p ordinary CFD Short 163 43.6466 GBP
5p ordinary CFD Short 940 43.5113 GBP
5p ordinary SWAP Short 948 43.4171 GBP
5p ordinary SWAP Short 1,038 43.4095 GBP
5p ordinary SWAP Short 1,301 43.6225 GBP
5p ordinary SWAP Short 1,899 43.4958 GBP
5p ordinary CFD Short 2,472 43.6472 GBP
5p ordinary CFD Short 4,224 43.4757 GBP
5p ordinary SWAP Short 7,207 43.3677 GBP
5p ordinary CFD Short 11,362 43.6041 GBP
5p ordinary SWAP Short 13,969 43.5412 GBP
5p ordinary SWAP Short 18,170 43.6350 GBP
5p ordinary CFD Short 18,601 43.6383 GBP
5p ordinary CFD Short 20,448 43.5227 GBP
5p ordinary SWAP Short 34,691 43.5518 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 Selling 100 145 USD American 19 Oct 2018 29.0000 USD
ADR Put Options Selling 600 165 USD American 17 Aug 2018 1.5000 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: 27 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 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 Written -100 145.0000 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 Put Options Written 600 165.0000 American 17 Aug 2018
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 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: 652347
Time of Receipt (offset from UTC): 20180727T124354+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC