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: 08 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: 6,054,423 0.66% 3,529,102 0.39%
           
(2) Cash-settled derivatives:
202,494 0.02% 4,251,628 0.46%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 168,100 0.02% 253,700 0.03%
           
(4)
TOTAL: 6,425,017 0.70% 8,034,430 0.88%

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 48 44.9000 GBP
5p ordinary Purchase 51 45.0100 GBP
5p ordinary Purchase 60 44.9676 GBP
ADR Purchase 60 173.5200 USD
5p ordinary Purchase 64 44.7250 GBP
5p ordinary Purchase 73 44.8975 GBP
5p ordinary Purchase 100 45.0400 GBP
ADR Purchase 100 172.6400 USD
5p ordinary Purchase 120 44.9950 GBP
5p ordinary Purchase 172 44.9825 GBP
ADR Purchase 178 172.7015 USD
ADR Purchase 200 172.9000 USD
ADR Purchase 200 173.5750 USD
5p ordinary Purchase 220 45.0002 GBP
ADR Purchase 238 173.5759 USD
5p ordinary Purchase 270 45.0131 GBP
ADR Purchase 288 172.6600 USD
ADR Purchase 300 172.7900 USD
ADR Purchase 400 173.1175 USD
5p ordinary Purchase 422 44.9881 GBP
ADR Purchase 500 172.5910 USD
5p ordinary Purchase 654 44.9257 GBP
5p ordinary Purchase 680 44.9037 GBP
ADR Purchase 722 173.3178 USD
5p ordinary Purchase 795 44.9647 GBP
ADR Purchase 900 173.1983 USD
ADR Purchase 900 173.3866 USD
ADR Purchase 1,400 172.9814 USD
5p ordinary Purchase 1,436 44.9552 GBP
5p ordinary Purchase 1,737 44.8099 GBP
5p ordinary Purchase 1,900 45.0128 GBP
ADR Purchase 2,507 173.0969 USD
5p ordinary Purchase 3,379 44.8589 GBP
5p ordinary Purchase 3,503 44.9228 GBP
5p ordinary Purchase 3,576 44.9746 GBP
5p ordinary Purchase 3,797 44.9979 GBP
5p ordinary Purchase 5,570 45.0280 GBP
ADR Purchase 6,300 173.8425 USD
5p ordinary Purchase 24,859 44.9298 GBP
5p ordinary Purchase 31,432 44.9788 GBP
ADR Purchase 37,900 172.8900 USD
5p ordinary Purchase 57,227 45.0000 GBP
5p ordinary Purchase 72,873 44.9495 GBP
5p ordinary Purchase 1,169,000 55.5224 GBP
5p ordinary Sale 49 44.7336 GBP
5p ordinary Sale 51 45.0100 GBP
ADR Sale 60 173.5200 USD
5p ordinary Sale 64 44.7250 GBP
5p ordinary Sale 73 44.8975 GBP
5p ordinary Sale 86 44.9825 GBP
ADR Sale 100 173.6600 USD
ADR Sale 100 173.2300 USD
ADR Sale 100 173.2000 USD
5p ordinary Sale 100 45.0400 GBP
ADR Sale 102 173.5905 USD
ADR Sale 122 173.2747 USD
ADR Sale 136 173.5650 USD
5p ordinary Sale 138 44.9223 GBP
5p ordinary Sale 165 44.8687 GBP
ADR Sale 178 172.7015 USD
5p ordinary Sale 192 44.8200 GBP
ADR Sale 200 173.5750 USD
5p ordinary Sale 220 45.0002 GBP
5p ordinary Sale 271 45.0383 GBP
ADR Sale 288 172.6600 USD
ADR Sale 400 173.3612 USD
5p ordinary Sale 500 44.9950 GBP
5p ordinary Sale 512 44.9725 GBP
5p ordinary Sale 556 44.8938 GBP
5p ordinary Sale 559 44.9893 GBP
5p ordinary Sale 563 44.9000 GBP
5p ordinary Sale 618 44.9312 GBP
5p ordinary Sale 970 45.0165 GBP
ADR Sale 1,000 172.8295 USD
ADR Sale 1,300 172.9646 USD
ADR Sale 1,300 173.3500 USD
5p ordinary Sale 1,531 45.0341 GBP
ADR Sale 1,600 173.2362 USD
ADR Sale 1,607 172.9104 USD
5p ordinary Sale 2,333 44.9193 GBP
5p ordinary Sale 2,947 44.7830 GBP
5p ordinary Sale 3,413 44.9865 GBP
5p ordinary Sale 4,061 44.7968 GBP
5p ordinary Sale 4,105 45.0042 GBP
5p ordinary Sale 4,441 44.8844 GBP
5p ordinary Sale 4,730 44.9949 GBP
ADR Sale 6,300 173.8425 USD
5p ordinary Sale 6,913 44.9101 GBP
5p ordinary Sale 9,630 44.9998 GBP
ADR Sale 37,900 172.8900 USD

(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 49 44.7336 GBP
5p ordinary SWAP Long 64 44.7250 GBP
5p ordinary CFD Long 138 44.9223 GBP
5p ordinary CFD Long 192 44.8201 GBP
5p ordinary CFD Long 512 44.9725 GBP
5p ordinary CFD Long 535 44.9689 GBP
5p ordinary CFD Long 556 44.8939 GBP
5p ordinary SWAP Long 820 44.9016 GBP
5p ordinary SWAP Long 822 44.9920 GBP
5p ordinary SWAP Long 901 44.9632 GBP
5p ordinary CFD Long 1,531 45.0341 GBP
5p ordinary SWAP Long 2,105 44.8883 GBP
5p ordinary SWAP Long 3,121 44.8797 GBP
5p ordinary CFD Long 3,413 44.9865 GBP
5p ordinary CFD Long 6,913 44.9101 GBP
5p ordinary SWAP Short 151 45.0298 GBP
5p ordinary SWAP Short 818 44.9342 GBP
5p ordinary CFD Short 1,025 45.1157 GBP
5p ordinary CFD Short 1,737 44.8099 GBP
5p ordinary SWAP Short 3,379 44.8588 GBP
5p ordinary SWAP Short 3,581 44.9126 GBP
5p ordinary CFD Short 5,570 45.0280 GBP
5p ordinary SWAP Short 19,759 44.9466 GBP
5p ordinary CFD Short 26,837 44.9546 GBP
5p ordinary SWAP Short 31,481 44.9621 GBP
5p ordinary SWAP Short 40,646 44.9626 GBP
5p ordinary SWAP Short 58,125 45.0000 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 500 160 USD American 18 Apr 2019 23.5000 USD
ADR Put Options Selling 7,500 130 USD American 18 Jan 2019 1.0000 USD
ADR Put Options Selling 100 140 USD American 18 Jan 2019 1.8000 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: 9 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
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 -200 130.0000 American 18 Jan 2019
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 -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 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 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 -1,000 140.0000 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 Call Options Written -500 160.0000 American 18 Apr 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: 653204
Time of Receipt (offset from UTC): 20180809T134659+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC