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: 27 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: 5,706,920 0.62% 3,047,205 0.33%
           
(2) Cash-settled derivatives:
1,544,560 0.17% 4,285,068 0.47%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 162,900 0.02% 253,800 0.03%
           
 
TOTAL: 7,414,380 0.81% 7,586,073 0.83%

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 6 43.8750 GBP
5p ordinary Purchase 6 43.8450 GBP
5p ordinary Purchase 6 43.8250 GBP
5p ordinary Purchase 12 43.8725 GBP
5p ordinary Purchase 24 43.8287 GBP
5p ordinary Purchase 44 43.7850 GBP
ADR Purchase 59 172.4200 USD
5p ordinary Purchase 65 43.8150 GBP
5p ordinary Purchase 65 43.5350 GBP
5p ordinary Purchase 73 43.5925 GBP
5p ordinary Purchase 73 43.8700 GBP
5p ordinary Purchase 90 43.8056 GBP
ADR Purchase 92 170.0400 USD
5p ordinary Purchase 95 43.6201 GBP
ADR Purchase 96 170.4137 USD
ADR Purchase 100 171.2000 USD
ADR Purchase 100 172.3800 USD
5p ordinary Purchase 102 43.8041 GBP
5p ordinary Purchase 117 43.4650 GBP
5p ordinary Purchase 139 43.5291 GBP
5p ordinary Purchase 150 43.8875 GBP
ADR Purchase 190 172.1289 USD
ADR Purchase 200 171.7500 USD
ADR Purchase 200 170.0900 USD
ADR Purchase 200 170.8305 USD
ADR Purchase 200 170.6975 USD
5p ordinary Purchase 286 43.8200 GBP
ADR Purchase 300 169.9728 USD
5p ordinary Purchase 300 43.8000 GBP
5p ordinary Purchase 311 43.5426 GBP
ADR Purchase 400 170.6950 USD
5p ordinary Purchase 436 43.6286 GBP
ADR Purchase 500 170.9060 USD
5p ordinary Purchase 560 43.6645 GBP
5p ordinary Purchase 568 43.6446 GBP
5p ordinary Purchase 590 43.6357 GBP
ADR Purchase 816 170.0700 USD
5p ordinary Purchase 841 43.6688 GBP
ADR Purchase 1,000 170.8260 USD
5p ordinary Purchase 1,034 43.7230 GBP
5p ordinary Purchase 1,264 43.5650 GBP
5p ordinary Purchase 1,626 43.5582 GBP
ADR Purchase 1,800 170.2993 USD
5p ordinary Purchase 1,879 43.5793 GBP
ADR Purchase 2,000 170.3386 USD
5p ordinary Purchase 2,040 43.6004 GBP
ADR Purchase 2,501 170.7306 USD
5p ordinary Purchase 2,636 43.6709 GBP
5p ordinary Purchase 2,751 43.6628 GBP
5p ordinary Purchase 2,950 43.5421 GBP
ADR Purchase 3,000 171.7200 USD
ADR Purchase 3,000 171.2823 USD
ADR Purchase 5,135 171.0152 USD
5p ordinary Purchase 7,107 43.6569 GBP
5p ordinary Purchase 13,766 43.6654 GBP
5p ordinary Purchase 14,125 43.5630 GBP
ADR Purchase 17,000 170.4109 USD
5p ordinary Purchase 20,127 43.8219 GBP
ADR Purchase 20,788 171.3808 USD
5p ordinary Purchase 36,463 43.6214 GBP
5p ordinary Purchase 47,351 43.6197 GBP
5p ordinary Purchase 55,778 43.6218 GBP
5p ordinary Sale 6 43.8450 GBP
5p ordinary Sale 6 43.8750 GBP
5p ordinary Sale 6 43.8250 GBP
5p ordinary Sale 44 43.7850 GBP
ADR Sale 45 170.2933 USD
ADR Sale 51 170.5200 USD
5p ordinary Sale 65 43.5350 GBP
5p ordinary Sale 65 43.8150 GBP
5p ordinary Sale 73 43.8700 GBP
5p ordinary Sale 73 43.5925 GBP
ADR Sale 100 171.7500 USD
ADR Sale 100 171.2200 USD
ADR Sale 100 170.7000 USD
ADR Sale 100 171.2100 USD
ADR Sale 100 171.2900 USD
5p ordinary Sale 111 43.5412 GBP
5p ordinary Sale 150 43.8875 GBP
ADR Sale 200 170.0000 USD
ADR Sale 200 171.5750 USD
5p ordinary Sale 219 43.6762 GBP
5p ordinary Sale 286 43.8200 GBP
ADR Sale 300 170.4133 USD
ADR Sale 300 171.5200 USD
ADR Sale 300 171.2666 USD
ADR Sale 313 171.5261 USD
ADR Sale 340 170.5641 USD
ADR Sale 349 172.2500 USD
ADR Sale 392 170.6713 USD
5p ordinary Sale 402 43.3150 GBP
ADR Sale 448 171.6043 USD
ADR Sale 500 170.9060 USD
ADR Sale 500 170.5570 USD
5p ordinary Sale 573 43.5348 GBP
ADR Sale 576 170.0700 USD
ADR Sale 650 171.4061 USD
ADR Sale 700 171.5342 USD
5p ordinary Sale 943 43.5915 GBP
ADR Sale 1,000 171.2830 USD
ADR Sale 1,100 171.1554 USD
5p ordinary Sale 1,118 43.6681 GBP
ADR Sale 1,200 171.0000 USD
5p ordinary Sale 1,466 43.5802 GBP
5p ordinary Sale 1,538 43.6615 GBP
ADR Sale 1,700 170.3166 USD
5p ordinary Sale 1,787 43.6208 GBP
ADR Sale 1,900 170.3196 USD
5p ordinary Sale 1,961 43.6021 GBP
5p ordinary Sale 2,009 43.7505 GBP
ADR Sale 2,901 170.4799 USD
5p ordinary Sale 2,914 43.5406 GBP
ADR Sale 3,000 171.7200 USD
5p ordinary Sale 3,052 43.5991 GBP
ADR Sale 3,135 171.1120 USD
5p ordinary Sale 3,688 43.7433 GBP
5p ordinary Sale 4,306 43.7644 GBP
ADR Sale 4,488 170.7867 USD
5p ordinary Sale 4,534 43.6429 GBP
5p ordinary Sale 4,962 43.6152 GBP
5p ordinary Sale 11,806 43.6626 GBP
ADR Sale 12,389 171.5809 USD
5p ordinary Sale 16,951 43.5766 GBP
5p ordinary Sale 17,306 43.6250 GBP
5p ordinary Sale 18,337 43.6253 GBP
ADR Sale 20,000 170.6073 USD
5p ordinary Sale 22,613 43.5650 GBP
5p ordinary Sale 29,961 43.6943 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 44 43.8745 GBP
5p ordinary SWAP Long 58 43.5594 GBP
5p ordinary SWAP Long 65 43.5350 GBP
5p ordinary SWAP Long 417 43.5650 GBP
5p ordinary SWAP Long 456 43.3150 GBP
5p ordinary SWAP Long 887 43.6876 GBP
5p ordinary CFD Long 1,118 43.6681 GBP
5p ordinary CFD Long 1,716 43.6182 GBP
5p ordinary CFD Long 1,787 43.6208 GBP
5p ordinary CFD Long 2,800 43.5510 GBP
5p ordinary CFD Long 3,052 43.5991 GBP
5p ordinary CFD Long 4,306 43.7644 GBP
5p ordinary SWAP Long 4,534 43.6429 GBP
5p ordinary CFD Long 9,121 43.5920 GBP
5p ordinary SWAP Long 10,462 43.5647 GBP
5p ordinary SWAP Long 17,306 43.6250 GBP
5p ordinary SWAP Short 74 43.4800 GBP
5p ordinary CFD Short 95 43.6201 GBP
5p ordinary CFD Short 215 43.5744 GBP
5p ordinary SWAP Short 223 43.8116 GBP
5p ordinary SWAP Short 340 43.5804 GBP
5p ordinary SWAP Short 483 43.6129 GBP
5p ordinary SWAP Short 639 43.7255 GBP
5p ordinary CFD Short 701 43.5715 GBP
5p ordinary SWAP Short 841 43.6688 GBP
5p ordinary SWAP Short 884 43.7421 GBP
5p ordinary CFD Short 1,019 43.6629 GBP
5p ordinary CFD Short 1,034 43.7230 GBP
5p ordinary CFD Short 1,411 43.5557 GBP
5p ordinary CFD Short 1,732 43.6628 GBP
5p ordinary CFD Short 1,879 43.5793 GBP
5p ordinary SWAP Short 1,919 43.6596 GBP
5p ordinary SWAP Short 2,378 43.6760 GBP
5p ordinary SWAP Short 2,970 43.5893 GBP
5p ordinary SWAP Short 6,368 43.6721 GBP
5p ordinary SWAP Short 12,785 43.6173 GBP
5p ordinary SWAP Short 30,200 43.6667 GBP
5p ordinary CFD Short 55,778 43.6218 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 1,000 160 USD American 10 Aug 2018 10.9500 USD
ADR Call Options Purchasing 100 165 USD American 18 Jan 2019 14.2500 USD
ADR Call Options Selling 1,000 158 USD American 10 Aug 2018 13.3000 USD
ADR Call Options Selling 200 195 USD American 18 Jan 2019 2.3750 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: 30 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.

143221.01

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
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
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 Written -1,000 158.0000 American 10 Aug 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 500 195.0000 American 18 Jan 2019
ADR Call Options Purchased 500 165.0000 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 1,000 160.0000 American 10 Aug 2018
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
5p ordinary Put Options Written 125,000 3600.0000 American 21 Dec 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: 652414
Time of Receipt (offset from UTC): 20180730T135423+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC