Source - BUS

Form 8.3 - SHIRE PLC

BARCLAYS PLC

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: 09 April 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: 5,308,686 0.59% 3,693,274 0.05%
           
(2) Cash-settled derivatives:
431,428 0.05% 2,867,359 0.31%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 329,300 0.04% 291,600 0.03%
           
(4)
TOTAL: 6,069,414 0.68% 6,852,233 0.39%

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 4 155.8500 USD
ADR Purchase 10 157.3300 USD
5p ordinary Purchase 30 36.6650 GBP
ADR Purchase 54 155.4727 USD
5p ordinary Purchase 84 37.0200 GBP
ADR Purchase 100 157.2100 USD
ADR Purchase 100 156.0100 USD
ADR Purchase 200 156.9150 USD
ADR Purchase 200 154.8300 USD
ADR Purchase 206 157.4889 USD
5p ordinary Purchase 226 37.0873 GBP
5p ordinary Purchase 270 37.0250 GBP
ADR Purchase 300 156.7700 USD
ADR Purchase 500 155.1120 USD
ADR Purchase 535 155.1073 USD
ADR Purchase 600 157.0508 USD
ADR Purchase 681 154.8882 USD
ADR Purchase 700 155.7026 USD
ADR Purchase 781 155.9400 USD
ADR Purchase 800 157.1787 USD
ADR Purchase 976 155.8600 USD
ADR Purchase 1,000 155.9935 USD
ADR Purchase 1,000 156.0570 USD
ADR Purchase 1,300 156.4184 USD
5p ordinary Purchase 1,362 36.8499 GBP
5p ordinary Purchase 1,544 36.6260 GBP
ADR Purchase 1,562 155.9300 USD
5p ordinary Purchase 1,566 37.0165 GBP
5p ordinary Purchase 1,707 36.8627 GBP
5p ordinary Purchase 2,082 37.0178 GBP
5p ordinary Purchase 2,146 37.0238 GBP
ADR Purchase 2,530 156.2036 USD
ADR Purchase 2,574 156.2353 USD
ADR Purchase 2,600 156.7500 USD
ADR Purchase 2,750 155.9221 USD
5p ordinary Purchase 3,224 36.8913 GBP
5p ordinary Purchase 3,703 36.8578 GBP
5p ordinary Purchase 3,893 37.1108 GBP
5p ordinary Purchase 4,634 36.9538 GBP
ADR Purchase 5,021 155.1057 USD
ADR Purchase 5,540 156.3561 USD
5p ordinary Purchase 5,618 37.1635 GBP
ADR Purchase 5,700 156.5029 USD
5p ordinary Purchase 8,498 36.8563 GBP
ADR Purchase 9,000 156.5957 USD
5p ordinary Purchase 9,345 36.7367 GBP
5p ordinary Purchase 11,182 36.8835 GBP
5p ordinary Purchase 11,512 37.1277 GBP
ADR Purchase 13,596 156.4644 USD
5p ordinary Purchase 13,907 37.1115 GBP
5p ordinary Purchase 15,445 37.0868 GBP
5p ordinary Purchase 21,116 37.1232 GBP
5p ordinary Purchase 24,332 36.8714 GBP
5p ordinary Purchase 27,774 36.8561 GBP
5p ordinary Purchase 36,728 36.8214 GBP
5p ordinary Purchase 66,611 37.1751 GBP
5p ordinary Purchase 120,294 36.9947 GBP
5p ordinary Purchase 171,412 37.0850 GBP
5p ordinary Purchase 500,000 37.3000 GBP
ADR Sale 10 157.3300 USD
5p ordinary Sale 50 37.5250 GBP
ADR Sale 100 154.7100 USD
ADR Sale 100 155.8900 USD
ADR Sale 100 155.9000 USD
ADR Sale 100 155.9600 USD
ADR Sale 100 156.0100 USD
ADR Sale 100 157.9900 USD
ADR Sale 100 158.1200 USD
5p ordinary Sale 150 36.9450 GBP
ADR Sale 200 156.0275 USD
ADR Sale 200 155.9450 USD
ADR Sale 200 158.0600 USD
ADR Sale 200 154.8150 USD
5p ordinary Sale 226 36.6500 GBP
ADR Sale 230 158.0086 USD
ADR Sale 236 154.9485 USD
ADR Sale 245 154.8900 USD
5p ordinary Sale 246 37.1238 GBP
ADR Sale 300 157.1766 USD
ADR Sale 300 157.6900 USD
5p ordinary Sale 325 36.8677 GBP
5p ordinary Sale 379 36.5982 GBP
ADR Sale 400 154.9100 USD
ADR Sale 400 154.8193 USD
ADR Sale 500 156.6105 USD
5p ordinary Sale 623 36.5980 GBP
5p ordinary Sale 671 36.8400 GBP
ADR Sale 735 155.9611 USD
ADR Sale 781 155.9300 USD
ADR Sale 781 155.9400 USD
ADR Sale 800 155.9850 USD
ADR Sale 864 157.0510 USD
ADR Sale 900 156.1455 USD
5p ordinary Sale 975 36.6667 GBP
ADR Sale 976 155.8600 USD
ADR Sale 1,000 155.9699 USD
ADR Sale 1,100 156.0527 USD
ADR Sale 1,100 154.9200 USD
ADR Sale 1,300 155.4257 USD
5p ordinary Sale 1,335 36.8581 GBP
ADR Sale 1,500 156.6160 USD
5p ordinary Sale 2,284 36.5697 GBP
5p ordinary Sale 2,467 36.9444 GBP
5p ordinary Sale 2,705 36.8130 GBP
ADR Sale 2,909 156.5871 USD
ADR Sale 3,700 156.4426 USD
5p ordinary Sale 3,767 37.0834 GBP
5p ordinary Sale 6,368 37.0893 GBP
ADR Sale 7,600 156.7435 USD
5p ordinary Sale 7,795 36.8219 GBP
ADR Sale 8,061 155.8002 USD
5p ordinary Sale 11,512 37.1277 GBP
5p ordinary Sale 11,540 37.1871 GBP
5p ordinary Sale 13,516 37.0866 GBP
ADR Sale 18,861 156.4351 USD
5p ordinary Sale 28,027 37.0850 GBP
5p ordinary Sale 45,589 36.9565 GBP
5p ordinary Sale 55,342 36.8886 GBP
5p ordinary Sale 100,088 36.9411 GBP
5p ordinary Sale 100,119 37.0086 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 208 37.3062 GBP
5p ordinary CFD Long 246 37.1238 GBP
5p ordinary SWAP Long 392 36.9306 GBP
5p ordinary CFD Long 506 37.0820 GBP
5p ordinary SWAP Long 582 37.0647 GBP
5p ordinary CFD Long 975 36.6667 GBP
5p ordinary CFD Long 1,902 37.1293 GBP
5p ordinary CFD Long 2,284 36.5697 GBP
5p ordinary SWAP Long 3,490 37.0675 GBP
5p ordinary CFD Long 4,710 36.7234 GBP
5p ordinary CFD Long 7,795 36.8219 GBP
5p ordinary CFD Long 7,869 36.8975 GBP
5p ordinary CFD Long 11,540 37.1871 GBP
5p ordinary SWAP Long 16,406 36.9708 GBP
5p ordinary SWAP Long 32,346 37.0850 GBP
5p ordinary CFD Long 55,342 36.8886 GBP
5p ordinary SWAP Long 89,771 36.9793 GBP
5p ordinary SWAP Short 132 36.6671 GBP
5p ordinary CFD Short 184 37.1165 GBP
5p ordinary CFD Short 226 37.0873 GBP
5p ordinary CFD Short 607 37.1166 GBP
5p ordinary CFD Short 775 36.9144 GBP
5p ordinary CFD Short 1,544 36.6260 GBP
5p ordinary CFD Short 1,558 36.8802 GBP
5p ordinary CFD Short 2,082 37.0178 GBP
5p ordinary CFD Short 3,703 36.8578 GBP
5p ordinary CFD Short 4,371 37.0211 GBP
5p ordinary SWAP Short 5,040 37.0547 GBP
5p ordinary CFD Short 7,934 37.0126 GBP
5p ordinary CFD Short 8,498 36.8563 GBP
5p ordinary CFD Short 9,345 36.7367 GBP
5p ordinary CFD Short 11,182 36.8835 GBP
5p ordinary CFD Short 15,445 37.0868 GBP
5p ordinary SWAP Short 16,377 36.9170 GBP
5p ordinary SWAP Short 21,720 36.8812 GBP
5p ordinary CFD Short 27,774 36.8561 GBP
5p ordinary SWAP Short 46,954 36.9320 GBP
5p ordinary SWAP Short 49,626 37.2978 GBP
5p ordinary CFD Short 171,497 37.0850 GBP
5p ordinary SWAP Short 171,497 37.0850 GBP
5p ordinary SWAP Expires 09/07/2018 Short 500,000 37.3000 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 4,100 135 USD American 20 Jul 2018 25.0658 USD
ADR Call Options Purchasing 100 145 USD American 20 Apr 2018 13.4200 USD
ADR Call Options Selling 200 145 USD American 18 Jan 2019 24.7000 USD
ADR Call Options Selling 100 155 USD American 20 Apr 2018 5.9200 USD
ADR Call Options Selling 4,000 170 USD American 20 Apr 2018 1.0000 USD
ADR Put Options Purchasing 200 149 USD American 13 Apr 2018 1.0500 USD
ADR Put Options Selling 2,300 120 USD American 18 Jan 2019 4.3000 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: 10 Apr 2018
Contact name: Jay Supaya
Telephone number: 020 7773 0635

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 Call Options Purchased 100,000 4000.0000 American 15 Jun 2018
5p ordinary Call Options Purchased 10,000 4200.0000 American 15 Jun 2018
5p ordinary Put Options Written 125,000 3600.0000 American 21 Dec 2018
ADR Call Options Purchased 41,900 145.0000 American 20 Apr 2018
ADR Call Options Purchased 1,700 195.0000 American 17 Jan 2020
ADR Put Options Written 1,100 140.0000 American 20 Jul 2018
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 -100 125.0000 American 20 Jul 2018
ADR Call Options Written -100 160.0000 American 18 May 2018
ADR Call Options Written -200 150.0000 American 18 May 2018
ADR Put Options Purchased -600 120.0000 American 27 Apr 2018
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 Call Options Written -2,000 175.0000 American 20 Jul 2018
ADR Call Options Written -2,200 200.0000 American 20 Apr 2018
ADR Put Options Purchased -2,700 80.0000 American 18 Jan 2019
ADR Put Options Purchased -3,000 130.0000 American 18 Jan 2019
ADR Put Options Purchased -3,300 110.0000 American 20 Apr 2018
ADR Put Options Purchased -4,700 130.0000 American 20 Apr 2018
ADR Put Options Purchased -5,800 180.0000 American 18 Jan 2019
ADR Call Options Written -11,500 155.0000 American 20 Apr 2018
ADR Call Options Purchased 1,400 135.0000 American 20 Apr 2018
ADR Put Options Written 100 150.0000 American 18 May 2018
ADR Call Options Written -200 153.0000 American 13 Apr 2018
ADR Put Options Purchased -300 149.0000 American 13 Apr 2018
ADR Call Options Written -300 150.0000 American 27 Apr 2018
ADR Call Options Written -700 210.0000 American 20 Apr 2018
ADR Call Options Written -1,000 160.0000 American 25 May 2018
ADR Put Options Written 1,000 135.0000 American 20 Jul 2018
ADR Call Options Purchased 400 230.0000 American 18 Jan 2019
ADR Call Options Purchased 300 115.0000 American 18 Jan 2019
ADR Call Options Purchased 200 155.0000 American 18 Jan 2019
ADR Put Options Written 200 200.0000 American 17 Jan 2020
ADR Put Options Written 200 125.0000 American 19 Oct 2018
ADR Call Options Purchased 100 220.0000 American 18 Jan 2019
ADR Call Options Purchased 100 125.0000 American 18 Jan 2019
ADR Put Options Written 100 95.0000 American 18 Jan 2019
ADR Put Options Purchased -100 120.0000 American 20 Jul 2018
ADR Call Options Written -100 140.0000 American 17 Jan 2020
ADR Call Options Written -500 145.0000 American 20 Jul 2018
ADR Call Options Written -1,000 85.0000 American 18 Jan 2019
ADR Call Options Written -1,600 145.0000 American 18 Jan 2019
ADR Put Options Purchased -2,200 110.0000 American 20 Jul 2018
ADR Put Options Purchased -2,500 120.0000 American 17 Jan 2020
ADR Call Options Purchased 4,000 200.0000 American 18 Jan 2019
ADR Call Options Purchased 1,400 130.0000 American 20 Apr 2018
ADR Call Options Purchased 900 160.0000 American 20 Apr 2018
ADR Call Options Purchased 300 165.0000 American 20 Jul 2018
ADR Call Options Purchased 200 155.0000 American 17 Jan 2020
ADR Call Options Purchased 200 130.0000 American 17 Jan 2020
ADR Call Options Purchased 200 110.0000 American 20 Apr 2018
ADR Call Options Purchased 100 170.0000 American 20 Apr 2018
ADR Put Options Purchased -200 170.0000 American 18 Jan 2019
ADR Put Options Purchased -500 130.0000 American 20 Jul 2018
ADR Call Options Written -600 175.0000 American 19 Oct 2018
ADR Call Options Written -1,000 160.0000 American 4 May 2018
ADR Call Options Written -1,400 185.0000 American 18 May 2018
ADR Call Options Written -1,700 140.0000 American 20 Apr 2018
ADR Call Options Written -1,800 205.0000 American 20 Apr 2018
ADR Put Options Purchased -2,100 115.0000 American 20 Apr 2018
ADR Call Options Written -3,100 180.0000 American 20 Apr 2018
ADR Call Options Purchased 2,100 120.0000 American 20 Apr 2018
ADR Call Options Purchased 500 165.0000 American 18 Jan 2019
ADR Call Options Purchased 500 190.0000 American 20 Apr 2018
ADR Call Options Purchased 200 120.0000 American 17 Jan 2020
ADR Call Options Purchased 200 195.0000 American 18 Jan 2019
ADR Call Options Purchased 100 185.0000 American 18 Jan 2019
ADR Put Options Purchased -200 115.0000 American 19 Oct 2018
ADR Call Options Written -200 145.0000 American 4 May 2018
ADR Put Options Purchased -300 150.0000 American 20 Apr 2018
ADR Put Options Purchased -1,000 105.0000 American 18 Jan 2019
ADR Put Options Purchased -1,200 115.0000 American 20 Jul 2018
ADR Put Options Purchased -3,000 115.0000 American 18 May 2018
ADR Call Options Written -39,200 150.0000 American 20 Apr 2018
ADR Call Options Written -13,500 180.0000 American 18 Jan 2019
ADR Call Options Purchased 1,000 170.0000 American 18 Jan 2019
ADR Call Options Purchased 700 136.0000 American 13 Apr 2018
ADR Call Options Purchased 200 160.0000 American 17 Jan 2020
ADR Put Options Written 200 150.0000 American 20 Jul 2018
ADR Call Options Written -100 130.0000 American 18 Jan 2019
ADR Call Options Written -100 150.0000 American 20 Jul 2018
ADR Put Options Purchased -500 120.0000 American 20 Apr 2018
ADR Call Options Written -900 130.0000 American 18 May 2018
ADR Put Options Purchased -1,000 80.0000 American 17 Jan 2020
ADR Call Options Written -2,000 145.0000 American 18 May 2018
ADR Put Options Purchased -2,300 85.0000 American 18 Jan 2019
ADR Call Options Written -4,700 170.0000 American 20 Jul 2018
ADR Put Options Purchased -5,500 135.0000 American 20 Apr 2018
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 Put Options Written 3,100 145.0000 American 27 Apr 2018
ADR Put Options Written 2,300 120.0000 American 18 Jan 2019
ADR Put Options Written 2,000 155.0000 American 20 Apr 2018
ADR Call Options Purchased 500 185.0000 American 20 Apr 2018
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 -100 145.0000 American 17 Jan 2020
ADR Put Options Purchased -1,100 140.0000 American 18 Jan 2019
ADR Put Options Purchased -2,100 160.0000 American 18 Jan 2019
ADR Call Options Purchased 13,400 165.0000 American 20 Apr 2018
ADR Call Options Purchased 4,100 135.0000 American 20 Jul 2018
ADR Put Options Written 3,000 145.0000 American 20 Apr 2018
ADR Call Options Purchased 1,000 150.0000 American 18 Jan 2019
ADR Call Options Purchased 1,000 135.0000 American 18 Jan 2019
ADR Put Options Written 800 140.0000 American 20 Apr 2018
ADR Call Options Purchased 400 185.0000 American 20 Jul 2018
ADR Call Options Purchased 100 160.0000 American 13 Apr 2018
ADR Put Options Written 100 110.0000 American 18 Jan 2019
ADR Put Options Written 100 75.0000 American 20 Apr 2018
ADR Put Options Purchased -100 105.0000 American 20 Apr 2018
ADR Put Options Purchased -100 95.0000 American 20 Apr 2018
ADR Call Options Written -100 160.0000 American 20 Jul 2018
ADR Put Options Purchased -500 145.0000 American 18 Jan 2019
ADR Call Options Written -500 125.0000 American 20 Apr 2018
ADR Put Options Purchased -1,300 135.0000 American 17 Jan 2020
ADR Put Options Purchased -1,900 125.0000 American 20 Apr 2018
ADR Put Options Purchased -2,300 115.0000 American 18 Jan 2019
ADR Put Options Purchased -2,400 75.0000 American 20 Jul 2018
ADR Call Options Written -3,300 175.0000 American 20 Apr 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.