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: 31 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: 5,935,456 0.65% 2,995,159 0.32%
           
(2) Cash-settled derivatives:
1,458,873 0.16% 4,451,578 0.49%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 168,000 0.01% 259,300 0.02%
           
(4)
TOTAL: 7,562,329 0.82% 7,706,037 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  
ADR Purchase 30 170.0633 USD
ADR Purchase 30 170.4793 USD
5p ordinary Purchase 56 43.4104 GBP
5p ordinary Purchase 57 43.4150 GBP
5p ordinary Purchase 82 43.4200 GBP
5p ordinary Purchase 88 43.4842 GBP
ADR Purchase 100 170.2700 USD
ADR Purchase 100 170.4700 USD
ADR Purchase 100 170.5500 USD
ADR Purchase 100 170.3100 USD
ADR Purchase 100 170.3300 USD
5p ordinary Purchase 150 43.3350 GBP
5p ordinary Purchase 161 43.6250 GBP
ADR Purchase 163 170.4568 USD
ADR Purchase 178 170.5600 USD
ADR Purchase 200 170.6550 USD
ADR Purchase 200 170.8450 USD
ADR Purchase 200 170.4650 USD
5p ordinary Purchase 206 43.4730 GBP
ADR Purchase 400 170.5475 USD
5p ordinary Purchase 463 43.3414 GBP
5p ordinary Purchase 478 43.5128 GBP
ADR Purchase 500 170.4720 USD
ADR Purchase 500 170.4039 USD
5p ordinary Purchase 504 43.4337 GBP
ADR Purchase 600 170.3750 USD
5p ordinary Purchase 600 43.6171 GBP
ADR Purchase 700 170.3696 USD
ADR Purchase 737 170.4722 USD
5p ordinary Purchase 765 43.4220 GBP
ADR Purchase 800 170.4025 USD
ADR Purchase 900 170.9011 USD
ADR Purchase 900 171.8133 USD
ADR Purchase 1,100 170.0804 USD
ADR Purchase 1,300 170.0169 USD
5p ordinary Purchase 1,402 43.4613 GBP
5p ordinary Purchase 2,029 43.4050 GBP
5p ordinary Purchase 2,143 43.5224 GBP
5p ordinary Purchase 2,441 43.4778 GBP
ADR Purchase 2,600 170.0195 USD
5p ordinary Purchase 2,696 43.5591 GBP
ADR Purchase 2,700 170.5279 USD
5p ordinary Purchase 3,182 43.4897 GBP
5p ordinary Purchase 3,670 43.4510 GBP
5p ordinary Purchase 4,458 43.6035 GBP
5p ordinary Purchase 4,487 43.3937 GBP
5p ordinary Purchase 4,618 43.5241 GBP
ADR Purchase 5,080 170.6100 USD
ADR Purchase 5,100 170.2671 USD
5p ordinary Purchase 5,100 43.5876 GBP
ADR Purchase 6,169 170.8140 USD
5p ordinary Purchase 6,926 43.4417 GBP
ADR Purchase 8,580 171.0137 USD
5p ordinary Purchase 11,283 43.4380 GBP
5p ordinary Purchase 12,678 43.4851 GBP
5p ordinary Purchase 18,688 43.5100 GBP
ADR Purchase 29,365 172.7137 USD
ADR Purchase 33,600 170.6046 USD
5p ordinary Purchase 34,611 43.5133 GBP
5p ordinary Purchase 37,310 43.4717 GBP
5p ordinary Purchase 60,469 43.5068 GBP
5p ordinary Purchase 202,030 43.4957 GBP
ADR Sale 10 170.2700 USD
ADR Sale 23 170.4700 USD
ADR Sale 46 169.9600 USD
5p ordinary Sale 57 43.4150 GBP
5p ordinary Sale 82 43.4200 GBP
ADR Sale 100 170.8500 USD
ADR Sale 100 170.4950 USD
ADR Sale 100 170.5300 USD
ADR Sale 117 170.5600 USD
ADR Sale 207 170.5100 USD
ADR Sale 300 170.4658 USD
ADR Sale 400 170.7975 USD
ADR Sale 400 170.5375 USD
5p ordinary Sale 491 43.3428 GBP
5p ordinary Sale 522 43.4418 GBP
5p ordinary Sale 595 43.5103 GBP
ADR Sale 600 170.0433 USD
ADR Sale 600 170.2091 USD
5p ordinary Sale 760 43.4486 GBP
ADR Sale 900 171.8133 USD
ADR Sale 1,100 170.0804 USD
ADR Sale 1,100 170.8422 USD
5p ordinary Sale 1,700 43.5100 GBP
ADR Sale 2,100 170.0275 USD
ADR Sale 2,100 170.3209 USD
ADR Sale 2,300 170.5778 USD
ADR Sale 2,300 170.4990 USD
5p ordinary Sale 3,001 43.4852 GBP
5p ordinary Sale 3,159 43.3374 GBP
5p ordinary Sale 3,221 43.4813 GBP
5p ordinary Sale 4,184 43.5288 GBP
ADR Sale 4,743 170.8775 USD
ADR Sale 4,940 170.7698 USD
ADR Sale 4,980 170.6100 USD
ADR Sale 5,240 171.1736 USD
5p ordinary Sale 8,622 43.4294 GBP
5p ordinary Sale 8,759 43.4903 GBP
5p ordinary Sale 11,631 43.4304 GBP
ADR Sale 14,865 172.7137 USD
5p ordinary Sale 16,596 43.4878 GBP
ADR Sale 18,465 172.4227 USD
5p ordinary Sale 19,822 43.4740 GBP
5p ordinary Sale 21,341 43.4185 GBP
ADR Sale 30,200 170.5269 USD
5p ordinary Sale 34,873 43.5119 GBP
5p ordinary Sale 51,214 43.4529 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 139 43.4179 GBP
5p ordinary CFD Long 491 43.3428 GBP
5p ordinary CFD Long 595 43.5103 GBP
5p ordinary SWAP Long 1,700 43.5100 GBP
5p ordinary CFD Long 1,704 43.4541 GBP
5p ordinary SWAP Long 2,121 43.5109 GBP
5p ordinary SWAP Long 7,658 43.4206 GBP
5p ordinary SWAP Long 9,399 43.4843 GBP
5p ordinary CFD Long 9,927 43.4263 GBP
5p ordinary CFD Long 10,288 43.3964 GBP
5p ordinary CFD Long 11,995 43.4587 GBP
5p ordinary CFD Long 21,341 43.4185 GBP
5p ordinary SWAP Long 28,121 43.4348 GBP
5p ordinary CFD Short 12 43.4850 GBP
5p ordinary CFD Short 33 43.4842 GBP
5p ordinary CFD Short 50 43.4852 GBP
5p ordinary CFD Short 55 43.4841 GBP
5p ordinary SWAP Short 56 43.4104 GBP
5p ordinary CFD Short 478 43.5128 GBP
5p ordinary CFD Short 600 43.6172 GBP
5p ordinary CFD Short 614 43.3565 GBP
5p ordinary SWAP Short 814 43.3936 GBP
5p ordinary CFD Short 900 43.5903 GBP
5p ordinary SWAP Short 3,611 43.5247 GBP
5p ordinary CFD Short 3,873 43.3996 GBP
5p ordinary CFD Short 11,283 43.4381 GBP
5p ordinary CFD Short 12,616 43.4851 GBP
5p ordinary SWAP Short 28,108 43.4073 GBP
5p ordinary SWAP Short 34,361 43.5031 GBP
5p ordinary SWAP Short 34,611 43.5133 GBP
5p ordinary SWAP Short 57,839 43.5112 GBP
5p ordinary SWAP Short 61,127 43.4975 GBP
5p ordinary SWAP Short 84,109 43.5100 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 5,000 195 USD American 19 Oct 2018 0.3640 USD
ADR Call Options Selling 400 145 USD American 18 Jan 2019 30.7100 USD
ADR Call Options Selling 5,000 180 USD American 19 Oct 2018 2.9670 USD
ADR Put Options Selling 100 125 USD American 18 Jan 2019 0.9500 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: 1 Aug 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 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 300 125.0000 American 18 Jan 2019
ADR Put Options Written 200 200.0000 American 17 Jan 2020
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 Put Options Purchased -100 160.0000 American 3 Aug 2018
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 -2,000 145.0000 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 Call Options Purchased 5,000 195.0000 American 19 Oct 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 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
ADR Call Options Written -5,000 180.0000 American 19 Oct 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: 652610
Time of Receipt (offset from UTC): 20180801T121952+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC