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: 12 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: 5,225,005 0.58% 4,283,241 0.47%
           
(2) Cash-settled derivatives:
339,037 0.04% 2,527,879 0.28%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 333,700 0.04% 439,000 0.05%
           
(4)
TOTAL: 5,897,742 0.66% 7,250,120 0.80%

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 17 158.4200 USD
ADR Purchase 61 157.4600 USD
ADR Purchase 100 157.5000 USD
ADR Purchase 100 157.7500 USD
ADR Purchase 100 158.3100 USD
ADR Purchase 127 158.2007 USD
ADR Purchase 200 158.3900 USD
5p ordinary Purchase 221 36.8479 GBP
5p ordinary Purchase 246 36.8757 GBP
5p ordinary Purchase 297 36.9005 GBP
ADR Purchase 300 158.4300 USD
ADR Purchase 300 157.7015 USD
ADR Purchase 300 157.7350 USD
ADR Purchase 400 158.1712 USD
5p ordinary Purchase 526 36.7950 GBP
ADR Purchase 600 158.4204 USD
5p ordinary Purchase 600 37.0794 GBP
ADR Purchase 670 157.4526 USD
ADR Purchase 700 157.3335 USD
ADR Purchase 776 157.9200 USD
5p ordinary Purchase 884 37.0253 GBP
5p ordinary Purchase 952 36.9584 GBP
ADR Purchase 996 158.0276 USD
5p ordinary Purchase 1,019 36.5462 GBP
ADR Purchase 1,500 157.0400 USD
5p ordinary Purchase 1,773 36.8665 GBP
ADR Purchase 2,136 157.0993 USD
ADR Purchase 2,400 157.4538 USD
ADR Purchase 2,447 158.5700 USD
ADR Purchase 2,447 158.6000 USD
5p ordinary Purchase 2,739 36.7027 GBP
5p ordinary Purchase 2,796 36.7779 GBP
5p ordinary Purchase 2,879 36.9872 GBP
ADR Purchase 3,000 157.3760 USD
ADR Purchase 3,063 157.3527 USD
5p ordinary Purchase 3,506 36.8933 GBP
5p ordinary Purchase 3,635 36.7820 GBP
ADR Purchase 3,730 157.1813 USD
ADR Purchase 4,000 157.7093 USD
ADR Purchase 4,100 157.4518 USD
5p ordinary Purchase 5,237 36.8993 GBP
5p ordinary Purchase 5,429 36.4740 GBP
5p ordinary Purchase 7,390 36.8186 GBP
5p ordinary Purchase 9,997 36.9392 GBP
5p ordinary Purchase 11,961 36.8693 GBP
5p ordinary Purchase 15,492 36.8972 GBP
5p ordinary Purchase 17,749 36.8562 GBP
5p ordinary Purchase 19,939 36.7650 GBP
5p ordinary Purchase 36,461 36.8932 GBP
5p ordinary Purchase 36,849 36.8550 GBP
5p ordinary Purchase 38,714 36.9147 GBP
5p ordinary Purchase 45,857 36.8847 GBP
ADR Purchase 49,904 157.2989 USD
5p ordinary Purchase 50,364 36.9024 GBP
5p ordinary Purchase 50,839 36.7433 GBP
ADR Purchase 61,000 157.0875 USD
ADR Purchase 111,162 157.1723 USD
ADR Sale 7 156.7600 USD
ADR Sale 61 157.4600 USD
ADR Sale 100 158.3700 USD
ADR Sale 100 157.8400 USD
ADR Sale 100 157.7800 USD
ADR Sale 100 157.0900 USD
ADR Sale 100 156.9200 USD
ADR Sale 120 157.1483 USD
ADR Sale 146 157.3513 USD
5p ordinary Sale 173 36.7260 GBP
ADR Sale 200 157.6800 USD
ADR Sale 200 156.7500 USD
ADR Sale 200 157.0187 USD
ADR Sale 200 156.9400 USD
ADR Sale 200 156.9050 USD
ADR Sale 200 156.9500 USD
ADR Sale 300 157.7350 USD
ADR Sale 300 156.9950 USD
ADR Sale 300 158.4300 USD
ADR Sale 400 157.5306 USD
5p ordinary Sale 441 37.0061 GBP
ADR Sale 480 157.3379 USD
5p ordinary Sale 512 36.6779 GBP
ADR Sale 620 157.0048 USD
5p ordinary Sale 696 36.8896 GBP
5p ordinary Sale 733 36.7426 GBP
ADR Sale 776 157.9200 USD
ADR Sale 800 157.2587 USD
ADR Sale 800 156.9562 USD
ADR Sale 800 157.6375 USD
ADR Sale 800 157.7987 USD
ADR Sale 832 157.1525 USD
5p ordinary Sale 987 36.9229 GBP
ADR Sale 1,000 157.7500 USD
5p ordinary Sale 1,123 36.9782 GBP
ADR Sale 1,323 158.0256 USD
5p ordinary Sale 1,425 37.0599 GBP
ADR Sale 1,500 157.0400 USD
ADR Sale 1,600 156.8200 USD
ADR Sale 1,692 157.2620 USD
5p ordinary Sale 2,034 36.9384 GBP
ADR Sale 2,400 157.6970 USD
ADR Sale 2,447 158.5700 USD
5p ordinary Sale 2,519 36.8526 GBP
ADR Sale 2,800 157.3680 USD
ADR Sale 2,963 157.4412 USD
5p ordinary Sale 4,050 37.0396 GBP
ADR Sale 4,200 157.4927 USD
5p ordinary Sale 4,286 36.8396 GBP
ADR Sale 4,894 158.6000 USD
5p ordinary Sale 5,573 36.7025 GBP
ADR Sale 6,576 158.0044 USD
ADR Sale 8,424 158.0000 USD
5p ordinary Sale 10,820 36.8980 GBP
5p ordinary Sale 13,000 36.9351 GBP
5p ordinary Sale 13,657 36.8593 GBP
ADR Sale 13,700 157.6514 USD
5p ordinary Sale 14,084 36.6671 GBP
5p ordinary Sale 14,142 36.8550 GBP
5p ordinary Sale 18,444 36.8874 GBP
5p ordinary Sale 19,404 36.8566 GBP
5p ordinary Sale 27,468 36.8611 GBP
5p ordinary Sale 27,642 36.6616 GBP
5p ordinary Sale 41,765 36.9107 GBP
ADR Sale 44,823 156.9458 USD
ADR Sale 45,600 157.2997 USD
5p ordinary Sale 60,090 36.8776 GBP
ADR Sale 117,582 157.1720 USD
5p ordinary Sale 427,150 36.0450 GBP
5p ordinary Sale 490,062 36.8440 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 406 36.8950 GBP
5p ordinary CFD Long 2,097 37.0000 GBP
5p ordinary CFD Long 2,500 36.9466 GBP
5p ordinary CFD Long 2,519 36.8526 GBP
5p ordinary SWAP Long 3,239 36.8617 GBP
5p ordinary SWAP Long 3,935 36.9238 GBP
5p ordinary CFD Long 4,050 37.0396 GBP
5p ordinary CFD Long 4,286 36.8396 GBP
5p ordinary SWAP Long 12,174 36.7661 GBP
5p ordinary CFD Long 13,657 36.8593 GBP
5p ordinary SWAP Long 15,700 36.4413 GBP
5p ordinary CFD Long 27,468 36.8611 GBP
5p ordinary SWAP Long 28,755 36.8550 GBP
5p ordinary CFD Long 31,910 36.8520 GBP
5p ordinary SWAP Long 70,596 36.7982 GBP
5p ordinary CFD Long 319,167 36.8646 GBP
5p ordinary SWAP Short 81 36.1954 GBP
5p ordinary CFD Short 221 36.8480 GBP
5p ordinary SWAP Short 297 36.9005 GBP
5p ordinary CFD Short 300 37.0383 GBP
5p ordinary SWAP Short 1,023 36.9333 GBP
5p ordinary CFD Short 1,773 36.8665 GBP
5p ordinary CFD Short 2,739 36.7027 GBP
5p ordinary CFD Short 3,635 36.7820 GBP
5p ordinary SWAP Short 7,162 36.7878 GBP
5p ordinary CFD Short 11,395 36.8406 GBP
5p ordinary CFD Short 11,961 36.8693 GBP
5p ordinary SWAP Short 11,977 36.8751 GBP
5p ordinary CFD Short 17,749 36.8562 GBP
5p ordinary SWAP Short 19,488 37.0155 GBP
5p ordinary CFD Short 21,049 36.8722 GBP
5p ordinary SWAP Short 23,261 36.5255 GBP
5p ordinary SWAP Short 34,797 36.8550 GBP
5p ordinary SWAP Expires 15/01/2019 Short 220,670 36.7850 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 5,000 170 USD American 20 Apr 2018 0.7200 USD
ADR Call Options Selling 2,600 140 USD American 18 May 2018 19.5000 USD
ADR Call Options Selling 5,000 165 USD American 20 Apr 2018 1.6200 USD
ADR Put Options Selling 200 140 USD American 18 May 2018 1.9500 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: 13 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 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 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 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 -200 155.0000 American 4 May 2018
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 Written -3,600 165.0000 American 20 Apr 2018
ADR Call Options Purchased 5,100 170.0000 American 20 Apr 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 Put Options Written 200 140.0000 American 18 May 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 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 Call Options Purchased 2,100 120.0000 American 20 Apr 2018
ADR Put Options Written 700 125.0000 American 20 Jul 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 Written -2,600 140.0000 American 18 May 2018
ADR Call Options Purchased 12,000 165.0000 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.