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: 10 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: 5,226,493 0.58% 3,661,767 0.40%
           
(2) Cash-settled derivatives:
450,660 0.05% 2,770,196 0.30%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 329,200 0.04% 432,900 0.05%
           
(4)
TOTAL: 6,006,353 0.67% 6,864,863 0.75%

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 10 155.3800 USD
ADR Purchase 23 154.1930 USD
ADR Purchase 27 155.4000 USD
5p ordinary Purchase 85 36.4851 GBP
ADR Purchase 88 155.9527 USD
ADR Purchase 100 154.4200 USD
ADR Purchase 100 154.9300 USD
ADR Purchase 100 155.5200 USD
ADR Purchase 100 155.9400 USD
ADR Purchase 137 155.4861 USD
5p ordinary Purchase 183 36.5635 GBP
5p ordinary Purchase 186 36.5304 GBP
ADR Purchase 200 154.0550 USD
ADR Purchase 300 153.8883 USD
ADR Purchase 300 154.0500 USD
5p ordinary Purchase 337 36.4854 GBP
ADR Purchase 356 156.1420 USD
5p ordinary Purchase 443 36.5888 GBP
ADR Purchase 500 156.1400 USD
ADR Purchase 500 154.0050 USD
ADR Purchase 522 156.2675 USD
ADR Purchase 537 153.9604 USD
ADR Purchase 723 154.7217 USD
5p ordinary Purchase 773 36.6093 GBP
5p ordinary Purchase 922 36.5488 GBP
5p ordinary Purchase 925 36.5927 GBP
5p ordinary Purchase 953 36.7406 GBP
ADR Purchase 1,275 153.9607 USD
5p ordinary Purchase 1,429 36.4550 GBP
5p ordinary Purchase 1,850 36.5591 GBP
ADR Purchase 2,064 153.8300 USD
ADR Purchase 2,117 153.7800 USD
5p ordinary Purchase 2,168 36.4796 GBP
5p ordinary Purchase 2,550 36.5323 GBP
5p ordinary Purchase 2,647 36.5303 GBP
5p ordinary Purchase 2,695 36.6409 GBP
ADR Purchase 2,697 153.9992 USD
ADR Purchase 2,697 153.9991 USD
5p ordinary Purchase 2,793 37.0050 GBP
ADR Purchase 2,900 154.3315 USD
5p ordinary Purchase 2,905 36.6901 GBP
ADR Purchase 3,400 154.2835 USD
5p ordinary Purchase 3,518 36.7042 GBP
5p ordinary Purchase 4,225 36.5893 GBP
ADR Purchase 4,234 153.7700 USD
5p ordinary Purchase 7,396 36.5589 GBP
5p ordinary Purchase 7,953 36.4942 GBP
5p ordinary Purchase 8,115 36.6607 GBP
5p ordinary Purchase 8,426 36.5971 GBP
ADR Purchase 8,881 155.0522 USD
5p ordinary Purchase 11,065 36.5696 GBP
ADR Purchase 12,013 154.8238 USD
5p ordinary Purchase 13,992 36.6559 GBP
5p ordinary Purchase 17,730 36.6374 GBP
5p ordinary Purchase 19,000 36.4286 GBP
5p ordinary Purchase 20,000 36.3884 GBP
5p ordinary Purchase 21,977 36.6113 GBP
5p ordinary Purchase 25,184 36.5252 GBP
5p ordinary Purchase 27,405 36.6015 GBP
5p ordinary Purchase 43,750 36.5300 GBP
5p ordinary Purchase 45,041 36.6222 GBP
5p ordinary Purchase 50,400 36.7000 GBP
ADR Sale 5 153.9500 USD
ADR Sale 20 156.3100 USD
ADR Sale 70 156.3014 USD
ADR Sale 88 155.9527 USD
ADR Sale 100 153.7900 USD
ADR Sale 100 154.0550 USD
ADR Sale 100 154.9350 USD
ADR Sale 100 155.9500 USD
ADR Sale 100 156.4400 USD
ADR Sale 137 155.4861 USD
5p ordinary Sale 150 36.4650 GBP
5p ordinary Sale 191 36.4421 GBP
ADR Sale 200 155.8050 USD
ADR Sale 200 154.0150 USD
ADR Sale 200 154.6750 USD
ADR Sale 202 153.7204 USD
5p ordinary Sale 210 36.4244 GBP
ADR Sale 256 156.0256 USD
ADR Sale 300 154.6450 USD
ADR Sale 300 155.1341 USD
ADR Sale 395 154.0790 USD
ADR Sale 400 155.0050 USD
ADR Sale 410 154.2246 USD
ADR Sale 513 153.9839 USD
ADR Sale 517 156.2900 USD
ADR Sale 700 154.0036 USD
5p ordinary Sale 830 36.4497 GBP
ADR Sale 849 153.8398 USD
5p ordinary Sale 887 36.4393 GBP
5p ordinary Sale 916 36.4439 GBP
ADR Sale 1,044 155.4939 USD
ADR Sale 1,100 154.0350 USD
5p ordinary Sale 1,277 36.5300 GBP
5p ordinary Sale 1,429 36.4550 GBP
5p ordinary Sale 1,631 36.6297 GBP
5p ordinary Sale 1,822 36.6777 GBP
5p ordinary Sale 1,972 36.5832 GBP
ADR Sale 2,000 154.5018 USD
ADR Sale 2,117 153.7700 USD
ADR Sale 2,117 153.7800 USD
5p ordinary Sale 2,125 37.1956 GBP
5p ordinary Sale 2,152 37.0050 GBP
5p ordinary Sale 2,457 36.4137 GBP
ADR Sale 2,500 154.2698 USD
ADR Sale 2,697 153.9991 USD
ADR Sale 3,100 154.2012 USD
5p ordinary Sale 3,373 36.5801 GBP
5p ordinary Sale 3,563 36.4470 GBP
5p ordinary Sale 3,663 36.8434 GBP
5p ordinary Sale 4,975 36.4793 GBP
5p ordinary Sale 5,687 36.5410 GBP
5p ordinary Sale 6,420 36.4164 GBP
ADR Sale 6,437 154.9931 USD
5p ordinary Sale 6,756 36.6696 GBP
5p ordinary Sale 9,234 36.5395 GBP
5p ordinary Sale 9,459 36.6424 GBP
5p ordinary Sale 12,470 36.5177 GBP
ADR Sale 13,523 154.8746 USD
5p ordinary Sale 16,183 36.5051 GBP
5p ordinary Sale 16,382 36.5316 GBP
5p ordinary Sale 24,797 36.4878 GBP
5p ordinary Sale 25,827 36.6097 GBP
5p ordinary Sale 27,190 36.4799 GBP
5p ordinary Sale 48,876 36.5416 GBP
5p ordinary Sale 184,277 36.5579 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 3,662 36.5624 GBP
5p ordinary CFD Long 3,663 36.8434 GBP
5p ordinary SWAP Long 4,106 36.9337 GBP
5p ordinary CFD Long 6,735 36.7897 GBP
5p ordinary SWAP Long 7,766 36.5266 GBP
5p ordinary CFD Long 12,470 36.5177 GBP
5p ordinary CFD Long 16,183 36.5051 GBP
5p ordinary CFD Long 20,467 36.5270 GBP
5p ordinary SWAP Long 41,463 36.5300 GBP
5p ordinary SWAP Long 47,310 36.5356 GBP
5p ordinary CFD Long 48,876 36.5416 GBP
5p ordinary SWAP Long 63,921 36.5470 GBP
5p ordinary CFD Short 46 36.5302 GBP
5p ordinary CFD Short 82 36.5889 GBP
5p ordinary CFD Short 85 36.4851 GBP
5p ordinary SWAP Short 171 36.5091 GBP
5p ordinary CFD Short 183 36.5635 GBP
5p ordinary CFD Short 214 36.5487 GBP
5p ordinary SWAP Short 281 36.5741 GBP
5p ordinary CFD Short 337 36.4854 GBP
5p ordinary CFD Short 361 36.5888 GBP
5p ordinary CFD Short 365 36.4754 GBP
5p ordinary CFD Short 453 36.5397 GBP
5p ordinary SWAP Short 697 36.5403 GBP
5p ordinary CFD Short 708 36.5488 GBP
5p ordinary SWAP Short 826 36.5579 GBP
5p ordinary CFD Short 953 36.7406 GBP
5p ordinary CFD Short 1,815 36.5395 GBP
5p ordinary CFD Short 1,850 36.5591 GBP
5p ordinary SWAP Short 1,987 36.7634 GBP
5p ordinary CFD Short 2,168 36.4796 GBP
5p ordinary CFD Short 2,550 36.5323 GBP
5p ordinary CFD Short 2,695 36.6409 GBP
5p ordinary CFD Short 2,787 36.5303 GBP
5p ordinary SWAP Short 3,895 36.5950 GBP
5p ordinary SWAP Short 4,129 36.6049 GBP
5p ordinary CFD Short 4,684 36.5252 GBP
5p ordinary CFD Short 5,319 36.6100 GBP
5p ordinary SWAP Short 5,411 36.8683 GBP
5p ordinary CFD Short 7,396 36.5589 GBP
5p ordinary CFD Short 8,115 36.6607 GBP
5p ordinary CFD Short 13,992 36.6559 GBP
5p ordinary CFD Short 16,681 36.5168 GBP
5p ordinary CFD Short 25,241 36.5995 GBP
5p ordinary CFD Short 43,750 36.5300 GBP
5p ordinary SWAP Short 43,750 36.5300 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        
5p ordinary Put Options Purchasing 40,000 3500 GBP American 15 Jun 2018 175.0000 GBP
5p ordinary Put Options Purchasing 100,000 3500 GBP American 15 Jun 2018 185.0000 GBP
ADR Call Options Selling 100 130 USD American 20 Apr 2018 25.2000 USD
ADR Call Options Selling 200 155 USD American 4 May 2018 6.4500 USD
ADR Put Options Purchasing 1,000 143 USD American 20 Apr 2018 0.5050 USD
ADR Put Options Purchasing 100 150 USD American 13 Apr 2018 1.0500 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: 11 Apr 2018
Contact name: ELISE TANG
Telephone number: 0207 1163001

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 Purchased -140,000 3500.0000 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 -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 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 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 -700 210.0000 American 20 Apr 2018
ADR Call Options Written -1,000 160.0000 American 25 May 2018
ADR Put Options Purchased -100 150.0000 American 13 Apr 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 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 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 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 -200 155.0000 American 4 May 2018
ADR Call Options Written -500 145.0000 American 20 Jul 2018
ADR Call Options Purchased 4,000 200.0000 American 18 Jan 2019
ADR Call Options Purchased 1,300 130.0000 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 Call Options Written -600 175.0000 American 19 Oct 2018
ADR Put Options Purchased -1,000 143.0000 American 20 Apr 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 Put Options Purchased -200 170.0000 American 18 Jan 2019
ADR Put Options Purchased -500 130.0000 American 20 Jul 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 -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 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 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 -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 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 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 -1,100 140.0000 American 18 Jan 2019
ADR Put Options Purchased -2,100 160.0000 American 18 Jan 2019
ADR Put Options Purchased -100 145.0000 American 17 Jan 2020
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 -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
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

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.