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: 03 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: 5,802,722 0.64% 4,595,671 0.50%
           
(2) Cash-settled derivatives:
1,518,866 0.17% 4,208,011 0.46%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 168,100 0.02% 261,200 0.03%
           
 
TOTAL: 7,489,688 0.83% 9,064,882 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 1 172.9000 USD
ADR Purchase 4 172.3400 USD
ADR Purchase 12 172.8300 USD
ADR Purchase 16 173.3400 USD
5p ordinary Purchase 37 44.1650 GBP
5p ordinary Purchase 37 44.1700 GBP
5p ordinary Purchase 37 44.0650 GBP
ADR Purchase 44 172.9500 USD
5p ordinary Purchase 64 44.1450 GBP
5p ordinary Purchase 64 44.0850 GBP
5p ordinary Purchase 65 44.0500 GBP
ADR Purchase 72 173.5108 USD
ADR Purchase 79 173.6200 USD
5p ordinary Purchase 83 44.1990 GBP
5p ordinary Purchase 89 44.1600 GBP
ADR Purchase 100 173.5800 USD
ADR Purchase 100 172.9600 USD
5p ordinary Purchase 101 44.0450 GBP
5p ordinary Purchase 124 44.0600 GBP
5p ordinary Purchase 128 44.1850 GBP
5p ordinary Purchase 138 44.0250 GBP
5p ordinary Purchase 165 44.0300 GBP
5p ordinary Purchase 178 44.0150 GBP
5p ordinary Purchase 193 44.1200 GBP
5p ordinary Purchase 195 43.8729 GBP
ADR Purchase 200 173.1500 USD
ADR Purchase 200 173.2025 USD
ADR Purchase 254 173.3529 USD
5p ordinary Purchase 255 44.1912 GBP
5p ordinary Purchase 266 44.0543 GBP
5p ordinary Purchase 467 44.1672 GBP
ADR Purchase 500 172.9100 USD
ADR Purchase 600 172.4516 USD
ADR Purchase 600 172.8562 USD
5p ordinary Purchase 754 44.2222 GBP
ADR Purchase 800 172.9428 USD
5p ordinary Purchase 848 44.0535 GBP
5p ordinary Purchase 1,109 44.1790 GBP
ADR Purchase 1,876 173.2312 USD
5p ordinary Purchase 2,311 44.2062 GBP
5p ordinary Purchase 2,338 44.1571 GBP
5p ordinary Purchase 3,379 44.2235 GBP
ADR Purchase 4,752 172.8306 USD
5p ordinary Purchase 5,554 44.1772 GBP
ADR Purchase 20,000 173.6300 USD
ADR Purchase 24,000 173.5331 USD
5p ordinary Purchase 28,482 44.1575 GBP
5p ordinary Purchase 34,171 44.2938 GBP
5p ordinary Purchase 107,466 44.1968 GBP
ADR Sale 1 172.9000 USD
ADR Sale 4 172.3400 USD
ADR Sale 12 172.8300 USD
ADR Sale 33 172.5500 USD
5p ordinary Sale 37 44.1650 GBP
5p ordinary Sale 37 44.0650 GBP
5p ordinary Sale 37 44.1700 GBP
5p ordinary Sale 64 44.0850 GBP
5p ordinary Sale 64 44.1450 GBP
5p ordinary Sale 89 44.1600 GBP
5p ordinary Sale 100 43.8700 GBP
ADR Sale 100 173.4050 USD
ADR Sale 100 172.0100 USD
ADR Sale 107 173.4326 USD
5p ordinary Sale 118 44.0450 GBP
5p ordinary Sale 124 44.0600 GBP
5p ordinary Sale 128 44.1850 GBP
5p ordinary Sale 138 44.0250 GBP
5p ordinary Sale 165 44.0300 GBP
5p ordinary Sale 178 44.0150 GBP
5p ordinary Sale 190 44.0500 GBP
5p ordinary Sale 193 44.1200 GBP
5p ordinary Sale 220 43.9705 GBP
ADR Sale 249 173.4401 USD
ADR Sale 300 172.8833 USD
5p ordinary Sale 300 44.1915 GBP
5p ordinary Sale 319 43.9456 GBP
ADR Sale 400 173.3756 USD
ADR Sale 400 172.5100 USD
ADR Sale 465 173.3841 USD
ADR Sale 569 172.7047 USD
ADR Sale 700 172.8767 USD
ADR Sale 1,118 173.2376 USD
5p ordinary Sale 1,122 44.1892 GBP
5p ordinary Sale 1,353 44.1228 GBP
ADR Sale 1,600 172.9712 USD
5p ordinary Sale 1,854 44.1447 GBP
5p ordinary Sale 1,953 44.1623 GBP
5p ordinary Sale 2,686 44.1679 GBP
5p ordinary Sale 3,527 44.0934 GBP
5p ordinary Sale 3,763 44.2950 GBP
ADR Sale 3,952 172.8189 USD
5p ordinary Sale 4,000 44.1386 GBP
ADR Sale 4,000 173.0485 USD
5p ordinary Sale 4,729 44.1663 GBP
5p ordinary Sale 6,897 44.1540 GBP
5p ordinary Sale 6,998 44.1531 GBP
5p ordinary Sale 7,004 44.1698 GBP
5p ordinary Sale 9,382 44.1609 GBP
5p ordinary Sale 17,126 44.2485 GBP
5p ordinary Sale 21,320 44.1776 GBP
5p ordinary Sale 25,383 44.1602 GBP
5p ordinary Sale 33,587 44.2969 GBP
ADR Sale 40,000 173.6300 USD
5p ordinary Sale 69,521 44.1644 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 220 43.9705 GBP
5p ordinary SWAP Long 300 44.1914 GBP
5p ordinary SWAP Long 820 44.1559 GBP
5p ordinary CFD Long 945 44.0815 GBP
5p ordinary CFD Long 1,802 43.8651 GBP
5p ordinary CFD Long 1,949 44.2914 GBP
5p ordinary CFD Long 2,271 44.1669 GBP
5p ordinary CFD Long 3,527 44.0934 GBP
5p ordinary CFD Long 3,788 44.1935 GBP
5p ordinary CFD Long 4,000 44.1386 GBP
5p ordinary CFD Long 6,897 44.1540 GBP
5p ordinary CFD Long 6,998 44.1531 GBP
5p ordinary CFD Long 9,382 44.1609 GBP
5p ordinary SWAP Long 14,008 44.2811 GBP
5p ordinary CFD Long 30,000 44.1550 GBP
5p ordinary SWAP Long 31,614 44.1642 GBP
5p ordinary CFD Short 83 44.1990 GBP
5p ordinary SWAP Short 454 44.1281 GBP
5p ordinary CFD Short 467 44.1672 GBP
5p ordinary SWAP Short 785 43.9849 GBP
5p ordinary SWAP Short 839 44.2179 GBP
5p ordinary CFD Short 848 44.0535 GBP
5p ordinary CFD Short 1,109 44.1790 GBP
5p ordinary SWAP Short 1,296 44.0844 GBP
5p ordinary CFD Short 2,311 44.2062 GBP
5p ordinary CFD Short 3,379 44.2235 GBP
5p ordinary CFD Short 10,559 44.2252 GBP
5p ordinary SWAP Short 30,555 44.2645 GBP
ADR CFD Short 10,000 172.6121 USD

(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 700 145 USD American 18 Jan 2019 32.0200 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: 6 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 Put Options Purchased -2,500 120.0000 American 17 Jan 2020
ADR Call Options Written -2,700 145.0000 American 18 Jan 2019
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: 652905
Time of Receipt (offset from UTC): 20180806T131737+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC