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: 02 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: 5,855,889 0.64% 4,581,244 0.50%
           
(2) Cash-settled derivatives:
1,487,252 0.16% 4,232,233 0.46%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 168,100 0.01% 260,500 0.03%
           
 
TOTAL: 7,511,241 0.81% 9,073,977 0.99%

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 10 172.7897 USD
ADR Purchase 32 172.5200 USD
ADR Purchase 38 172.7600 USD
5p ordinary Purchase 40 43.9200 GBP
5p ordinary Purchase 51 43.9368 GBP
5p ordinary Purchase 55 43.9699 GBP
5p ordinary Purchase 61 43.9695 GBP
5p ordinary Purchase 73 43.9350 GBP
5p ordinary Purchase 73 43.9400 GBP
5p ordinary Purchase 73 43.9775 GBP
5p ordinary Purchase 73 43.9450 GBP
5p ordinary Purchase 78 43.9800 GBP
5p ordinary Purchase 99 43.9406 GBP
ADR Purchase 100 172.3800 USD
ADR Purchase 100 172.6700 USD
ADR Purchase 100 172.7400 USD
ADR Purchase 100 171.5550 USD
ADR Purchase 100 171.8900 USD
ADR Purchase 100 172.8000 USD
ADR Purchase 100 172.3500 USD
ADR Purchase 136 172.4042 USD
5p ordinary Purchase 146 43.9100 GBP
5p ordinary Purchase 147 43.9274 GBP
5p ordinary Purchase 195 43.9626 GBP
5p ordinary Purchase 218 43.9600 GBP
5p ordinary Purchase 224 43.9268 GBP
ADR Purchase 225 172.2444 USD
ADR Purchase 262 172.7843 USD
ADR Purchase 294 172.6474 USD
5p ordinary Purchase 343 43.9150 GBP
5p ordinary Purchase 465 43.9473 GBP
ADR Purchase 561 172.4732 USD
ADR Purchase 637 172.4956 USD
5p ordinary Purchase 674 43.9440 GBP
5p ordinary Purchase 755 43.9163 GBP
5p ordinary Purchase 855 43.9152 GBP
5p ordinary Purchase 1,000 43.8969 GBP
ADR Purchase 1,012 172.2055 USD
5p ordinary Purchase 1,071 43.8745 GBP
ADR Purchase 1,128 172.1610 USD
ADR Purchase 1,353 172.2052 USD
5p ordinary Purchase 1,390 43.9136 GBP
ADR Purchase 1,775 172.2456 USD
ADR Purchase 1,800 172.5538 USD
5p ordinary Purchase 2,000 43.8950 GBP
ADR Purchase 3,700 172.2146 USD
ADR Purchase 3,700 172.1842 USD
5p ordinary Purchase 5,980 43.8915 GBP
5p ordinary Purchase 6,341 43.9069 GBP
5p ordinary Purchase 8,000 43.9347 GBP
5p ordinary Purchase 8,442 43.8443 GBP
ADR Purchase 8,669 172.0768 USD
5p ordinary Purchase 10,688 43.9664 GBP
5p ordinary Purchase 12,555 43.9686 GBP
5p ordinary Purchase 12,706 43.8843 GBP
ADR Purchase 13,909 171.9217 USD
ADR Purchase 20,000 171.9084 USD
5p ordinary Purchase 24,586 43.9070 GBP
5p ordinary Purchase 49,944 43.9164 GBP
5p ordinary Purchase 127,513 43.9167 GBP
ADR Sale 10 172.7897 USD
5p ordinary Sale 40 43.9200 GBP
5p ordinary Sale 48 43.9000 GBP
5p ordinary Sale 73 43.9400 GBP
5p ordinary Sale 73 43.9350 GBP
5p ordinary Sale 73 43.9450 GBP
5p ordinary Sale 73 43.9775 GBP
5p ordinary Sale 78 43.9800 GBP
ADR Sale 100 171.9300 USD
ADR Sale 100 172.6800 USD
ADR Sale 100 172.5800 USD
ADR Sale 121 171.6816 USD
5p ordinary Sale 140 43.9016 GBP
5p ordinary Sale 162 43.9100 GBP
5p ordinary Sale 174 44.0250 GBP
ADR Sale 200 172.7300 USD
ADR Sale 200 172.1550 USD
5p ordinary Sale 218 43.9600 GBP
ADR Sale 240 172.3361 USD
ADR Sale 300 171.8766 USD
5p ordinary Sale 334 43.9987 GBP
5p ordinary Sale 343 43.9150 GBP
ADR Sale 372 172.2588 USD
5p ordinary Sale 396 43.8466 GBP
ADR Sale 400 172.5193 USD
5p ordinary Sale 460 43.7427 GBP
ADR Sale 600 172.1050 USD
5p ordinary Sale 780 43.9060 GBP
5p ordinary Sale 1,115 43.9201 GBP
ADR Sale 1,128 172.1610 USD
ADR Sale 1,400 172.2103 USD
5p ordinary Sale 1,401 43.8723 GBP
ADR Sale 1,816 172.5272 USD
ADR Sale 1,892 172.5408 USD
ADR Sale 2,000 172.2455 USD
ADR Sale 2,300 172.1683 USD
5p ordinary Sale 2,932 43.9280 GBP
5p ordinary Sale 2,947 43.8982 GBP
ADR Sale 3,300 172.1777 USD
ADR Sale 3,510 171.9173 USD
ADR Sale 3,890 172.1728 USD
5p ordinary Sale 5,250 43.9032 GBP
5p ordinary Sale 5,737 43.9269 GBP
5p ordinary Sale 5,964 43.9061 GBP
5p ordinary Sale 6,213 43.9700 GBP
ADR Sale 6,862 172.0779 USD
ADR Sale 9,262 171.9066 USD
5p ordinary Sale 12,241 43.9248 GBP
5p ordinary Sale 12,375 43.9719 GBP
5p ordinary Sale 12,706 43.8843 GBP
5p ordinary Sale 14,022 43.9618 GBP
ADR Sale 20,000 171.9085 USD
5p ordinary Sale 28,537 43.8775 GBP
5p ordinary Sale 46,745 43.8948 GBP
5p ordinary Sale 49,356 43.9166 GBP
5p ordinary Sale 71,825 43.9215 GBP
5p ordinary Sale 89,646 43.8986 GBP
5p ordinary Sale 1,540,683 44.0249 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 140 43.9017 GBP
5p ordinary SWAP Long 156 43.9228 GBP
5p ordinary SWAP Long 203 43.9125 GBP
5p ordinary SWAP Long 253 43.9680 GBP
5p ordinary CFD Long 334 43.9987 GBP
5p ordinary SWAP Long 357 43.8812 GBP
5p ordinary CFD Long 460 43.7427 GBP
5p ordinary CFD Long 600 43.8500 GBP
5p ordinary CFD Long 2,067 43.8586 GBP
5p ordinary SWAP Long 3,101 43.9372 GBP
5p ordinary CFD Long 3,521 43.8562 GBP
5p ordinary SWAP Long 3,529 43.8933 GBP
5p ordinary CFD Long 5,250 43.9032 GBP
5p ordinary CFD Long 12,241 43.9248 GBP
5p ordinary SWAP Long 37,752 43.9280 GBP
5p ordinary SWAP Long 54,217 43.9007 GBP
5p ordinary CFD Short 14 43.9371 GBP
5p ordinary CFD Short 15 43.9366 GBP
5p ordinary CFD Short 22 43.9368 GBP
5p ordinary SWAP Short 40 43.9200 GBP
5p ordinary SWAP Short 180 43.8767 GBP
5p ordinary CFD Short 446 43.9559 GBP
5p ordinary CFD Short 674 43.9441 GBP
5p ordinary CFD Short 1,390 43.9136 GBP
5p ordinary SWAP Short 3,529 43.8432 GBP
5p ordinary CFD Short 8,442 43.8443 GBP
5p ordinary SWAP Short 10,383 43.9700 GBP
5p ordinary CFD Short 24,474 43.9739 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 800 160 USD American 19 Oct 2018 14.5000 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: 3 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
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 Call Options Written -800 160.0000 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: 652772
Time of Receipt (offset from UTC): 20180803T130928+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC