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: 01 August 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: 5,939,583 0.65% 3,062,091 0.33%
           
(2) Cash-settled derivatives:
1,486,999 0.16% 4,306,552 0.47%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 168,100 0.02% 259,700 0.03%
           
 
TOTAL: 7,594,682 0.83% 7,628,343 0.84%

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 18 44.2975 GBP
5p ordinary Purchase 20 44.2900 GBP
5p ordinary Purchase 37 44.2675 GBP
ADR Purchase 44 173.4400 USD
5p ordinary Purchase 45 44.1000 GBP
5p ordinary Purchase 50 44.1703 GBP
5p ordinary Purchase 55 44.3000 GBP
ADR Purchase 63 175.4050 USD
5p ordinary Purchase 64 44.1150 GBP
ADR Purchase 67 175.7899 USD
5p ordinary Purchase 75 44.1375 GBP
5p ordinary Purchase 87 44.1200 GBP
ADR Purchase 100 175.2000 USD
ADR Purchase 100 174.2500 USD
5p ordinary Purchase 100 44.0400 GBP
5p ordinary Purchase 101 44.2450 GBP
5p ordinary Purchase 102 44.0000 GBP
5p ordinary Purchase 112 44.1157 GBP
5p ordinary Purchase 124 44.1205 GBP
5p ordinary Purchase 130 44.1250 GBP
ADR Purchase 160 175.6150 USD
5p ordinary Purchase 171 44.1700 GBP
ADR Purchase 263 173.8800 USD
5p ordinary Purchase 306 44.0776 GBP
ADR Purchase 333 173.5407 USD
ADR Purchase 400 173.9700 USD
ADR Purchase 400 175.6650 USD
5p ordinary Purchase 437 44.1050 GBP
ADR Purchase 500 175.5720 USD
ADR Purchase 500 173.6200 USD
ADR Purchase 597 174.5731 USD
ADR Purchase 600 173.9633 USD
5p ordinary Purchase 674 44.0569 GBP
ADR Purchase 700 175.1721 USD
5p ordinary Purchase 798 44.1585 GBP
ADR Purchase 800 174.9571 USD
ADR Purchase 823 174.0577 USD
5p ordinary Purchase 868 44.1350 GBP
ADR Purchase 898 173.6925 USD
ADR Purchase 1,000 174.7557 USD
ADR Purchase 1,300 175.0815 USD
ADR Purchase 1,517 175.4901 USD
5p ordinary Purchase 1,545 44.0093 GBP
ADR Purchase 1,700 173.9547 USD
5p ordinary Purchase 1,719 44.0283 GBP
5p ordinary Purchase 1,794 44.4224 GBP
5p ordinary Purchase 1,805 44.1108 GBP
5p ordinary Purchase 2,371 44.3119 GBP
5p ordinary Purchase 2,442 44.3803 GBP
5p ordinary Purchase 2,451 44.1179 GBP
ADR Purchase 2,464 173.9217 USD
5p ordinary Purchase 2,950 44.1080 GBP
ADR Purchase 4,412 175.2267 USD
5p ordinary Purchase 4,596 44.1963 GBP
ADR Purchase 4,597 173.9665 USD
ADR Purchase 4,668 174.9868 USD
5p ordinary Purchase 4,708 44.1669 GBP
5p ordinary Purchase 4,911 44.1367 GBP
5p ordinary Purchase 5,240 44.1517 GBP
5p ordinary Purchase 7,212 44.1728 GBP
ADR Purchase 10,029 174.3681 USD
5p ordinary Purchase 10,233 44.1926 GBP
5p ordinary Purchase 16,162 44.2906 GBP
ADR Purchase 20,092 173.9180 USD
5p ordinary Purchase 32,676 44.1515 GBP
5p ordinary Purchase 35,560 44.0822 GBP
5p ordinary Purchase 37,403 44.1283 GBP
5p ordinary Purchase 101,040 44.1474 GBP
5p ordinary Purchase 121,139 44.0682 GBP
5p ordinary Purchase 128,249 44.0598 GBP
5p ordinary Sale 5 44.2775 GBP
ADR Sale 11 173.2772 USD
5p ordinary Sale 18 44.2975 GBP
5p ordinary Sale 34 44.2050 GBP
5p ordinary Sale 37 44.2675 GBP
5p ordinary Sale 38 44.2900 GBP
ADR Sale 44 173.4400 USD
5p ordinary Sale 45 44.1000 GBP
5p ordinary Sale 55 44.3000 GBP
5p ordinary Sale 64 44.1150 GBP
ADR Sale 67 175.7899 USD
5p ordinary Sale 75 44.1375 GBP
5p ordinary Sale 83 44.1200 GBP
ADR Sale 100 175.5800 USD
ADR Sale 100 173.7100 USD
5p ordinary Sale 101 44.2450 GBP
5p ordinary Sale 102 44.0000 GBP
5p ordinary Sale 129 44.1250 GBP
5p ordinary Sale 138 44.1050 GBP
ADR Sale 200 174.4250 USD
ADR Sale 200 175.1237 USD
5p ordinary Sale 215 44.1561 GBP
5p ordinary Sale 229 44.1365 GBP
5p ordinary Sale 231 44.4500 GBP
ADR Sale 300 173.8433 USD
ADR Sale 300 174.4176 USD
ADR Sale 300 174.9366 USD
ADR Sale 302 173.7813 USD
5p ordinary Sale 310 44.1277 GBP
ADR Sale 321 174.0888 USD
5p ordinary Sale 348 44.1013 GBP
ADR Sale 400 175.5701 USD
ADR Sale 400 174.0025 USD
ADR Sale 450 174.1811 USD
ADR Sale 500 174.8090 USD
ADR Sale 500 175.0600 USD
ADR Sale 500 173.6200 USD
ADR Sale 600 174.9016 USD
ADR Sale 600 174.5433 USD
5p ordinary Sale 846 44.2747 GBP
ADR Sale 900 174.3769 USD
ADR Sale 1,000 175.5850 USD
5p ordinary Sale 1,270 44.1063 GBP
5p ordinary Sale 1,464 44.1488 GBP
ADR Sale 1,506 175.5063 USD
5p ordinary Sale 2,146 44.1315 GBP
ADR Sale 2,539 174.4856 USD
ADR Sale 3,300 174.3148 USD
5p ordinary Sale 3,640 44.1706 GBP
ADR Sale 4,565 173.7989 USD
5p ordinary Sale 4,726 44.2062 GBP
5p ordinary Sale 5,189 44.1510 GBP
5p ordinary Sale 6,000 44.1605 GBP
ADR Sale 7,160 173.9603 USD
5p ordinary Sale 7,252 44.1660 GBP
5p ordinary Sale 8,347 44.2306 GBP
5p ordinary Sale 8,667 44.1710 GBP
ADR Sale 10,424 174.1948 USD
ADR Sale 10,438 173.7543 USD
ADR Sale 12,000 175.0879 USD
5p ordinary Sale 17,306 44.0467 GBP
5p ordinary Sale 18,312 44.0420 GBP
5p ordinary Sale 35,495 44.0400 GBP
5p ordinary Sale 39,716 44.1242 GBP
5p ordinary Sale 52,777 44.1496 GBP
5p ordinary Sale 53,753 44.0601 GBP
5p ordinary Sale 121,139 44.0682 GBP
5p ordinary Sale 199,177 44.1310 GBP

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
5p ordinary CFD Long 5 44.1360 GBP
5p ordinary SWAP Long 74 44.2500 GBP
5p ordinary SWAP Long 89 44.0571 GBP
5p ordinary SWAP Long 93 44.1195 GBP
5p ordinary CFD Long 224 44.1365 GBP
5p ordinary CFD Long 310 44.1277 GBP
5p ordinary SWAP Long 350 44.1202 GBP
5p ordinary CFD Long 1,500 44.1292 GBP
5p ordinary CFD Long 2,597 44.2514 GBP
5p ordinary CFD Long 3,000 44.1427 GBP
5p ordinary CFD Long 3,000 44.1783 GBP
5p ordinary SWAP Long 3,762 44.1073 GBP
5p ordinary SWAP Long 4,203 44.1725 GBP
5p ordinary CFD Long 5,189 44.1510 GBP
5p ordinary CFD Long 5,291 44.1183 GBP
5p ordinary SWAP Long 8,313 44.2142 GBP
5p ordinary SWAP Long 17,306 44.0467 GBP
5p ordinary SWAP Long 24,035 44.0400 GBP
5p ordinary SWAP Long 42,091 44.1296 GBP
5p ordinary SWAP Long 54,688 44.0943 GBP
5p ordinary SWAP Long 121,139 44.0682 GBP
5p ordinary CFD Short 16 44.1706 GBP
5p ordinary CFD Short 18 44.1366 GBP
5p ordinary CFD Short 34 44.1702 GBP
5p ordinary CFD Short 1,545 44.0093 GBP
5p ordinary CFD Short 1,719 44.0283 GBP
5p ordinary CFD Short 2,371 44.3119 GBP
5p ordinary SWAP Short 3,112 44.0639 GBP
5p ordinary SWAP Short 3,149 44.1667 GBP
5p ordinary CFD Short 4,778 44.1368 GBP
5p ordinary SWAP Short 5,207 44.0423 GBP
5p ordinary CFD Short 6,162 44.2838 GBP
5p ordinary SWAP Short 8,312 44.1666 GBP
5p ordinary CFD Short 11,845 44.0474 GBP
5p ordinary SWAP Short 13,123 44.1329 GBP
5p ordinary CFD Short 16,162 44.2906 GBP
5p ordinary SWAP Short 19,570 44.0404 GBP
5p ordinary CFD Short 30,684 44.0439 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 300 175 USD American 3 Aug 2018 0.7500 USD
ADR Call Options Selling 100 175 USD American 7 Sep 2018 4.8700 USD
ADR Put Options Selling 100 125 USD American 18 Jan 2019 0.8000 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: 2 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.

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 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 -300 175.0000 American 3 Aug 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 Put Options Written 400 125.0000 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 200 100.0000 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 Call Options Written -100 175.0000 American 7 Sep 2018
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: 652710
Time of Receipt (offset from UTC): 20180802T141526+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC