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 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: 6,071,094 0.66% 3,556,506 0.39%
           
(2) Cash-settled derivatives:
193,715 0.02% 4,339,494 0.47%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 173,000 0.02% 253,500 0.03%
           
(4)
TOTAL: 6,437,809 0.70% 8,149,500 0.89%

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 13 44.6500 GBP
5p ordinary Purchase 15 44.7650 GBP
ADR Purchase 19 173.9299 USD
5p ordinary Purchase 22 44.8400 GBP
5p ordinary Purchase 25 44.8700 GBP
5p ordinary Purchase 37 44.6150 GBP
5p ordinary Purchase 37 44.9050 GBP
5p ordinary Purchase 37 44.8750 GBP
5p ordinary Purchase 46 44.8150 GBP
5p ordinary Purchase 64 44.7750 GBP
5p ordinary Purchase 64 44.7550 GBP
5p ordinary Purchase 64 44.8850 GBP
5p ordinary Purchase 65 44.5900 GBP
5p ordinary Purchase 74 44.6750 GBP
5p ordinary Purchase 86 44.7000 GBP
5p ordinary Purchase 93 44.8500 GBP
5p ordinary Purchase 100 44.7950 GBP
5p ordinary Purchase 100 44.7850 GBP
5p ordinary Purchase 100 44.9250 GBP

ADR

Purchase 100 173.0200 USD
5p ordinary Purchase 101 44.6950 GBP
5p ordinary Purchase 101 44.8800 GBP
5p ordinary Purchase 114 44.6600 GBP
5p ordinary Purchase 124 44.8950 GBP
5p ordinary Purchase 128 44.9000 GBP
5p ordinary Purchase 129 44.6200 GBP
5p ordinary Purchase 130 44.8300 GBP
ADR Purchase 143 173.2700 USD
5p ordinary Purchase 166 44.8050 GBP
5p ordinary Purchase 166 44.6700 GBP
ADR Purchase 187 173.7800 USD
ADR Purchase 200 173.9362 USD
ADR Purchase 200 173.9500 USD
5p ordinary Purchase 200 44.9150 GBP
5p ordinary Purchase 237 44.8000 GBP
5p ordinary Purchase 240 44.7600 GBP
ADR Purchase 300 173.4600 USD
5p ordinary Purchase 325 44.6800 GBP
ADR Purchase 439 173.8125 USD
ADR Purchase 453 173.4688 USD
5p ordinary Purchase 676 44.7647 GBP
ADR Purchase 1,000 173.8090 USD
5p ordinary Purchase 1,040 44.7767 GBP
5p ordinary Purchase 1,109 44.8540 GBP
5p ordinary Purchase 1,124 44.8073 GBP
5p ordinary Purchase 1,505 44.7250 GBP
ADR Purchase 1,800 173.3814 USD
5p ordinary Purchase 1,848 44.8381 GBP
5p ordinary Purchase 1,961 44.8240 GBP
5p ordinary Purchase 2,010 44.7300 GBP
ADR Purchase 2,200 173.8012 USD
5p ordinary Purchase 2,207 44.8380 GBP
5p ordinary Purchase 2,256 44.7980 GBP
ADR Purchase 2,524 173.4961 USD
5p ordinary Purchase 3,200 44.7826 GBP
5p ordinary Purchase 3,226 44.7658 GBP
5p ordinary Purchase 3,333 44.9275 GBP
5p ordinary Purchase 3,334 44.8651 GBP
ADR Purchase 3,600 173.5705 USD
5p ordinary Purchase 4,187 44.9850 GBP
5p ordinary Purchase 5,846 44.7889 GBP
5p ordinary Purchase 7,321 44.7855 GBP
5p ordinary Purchase 8,790 44.7343 GBP
5p ordinary Purchase 9,469 44.8613 GBP
5p ordinary Purchase 10,132 44.9829 GBP
5p ordinary Purchase 11,412 44.7787 GBP
5p ordinary Purchase 16,590 44.7728 GBP
5p ordinary Purchase 39,120 44.8209 GBP
5p ordinary Purchase 42,222 44.7708 GBP
5p ordinary Purchase 62,362 44.9692 GBP
5p ordinary Purchase 87,375 44.8791 GBP
5p ordinary Sale 6 44.7150 GBP
ADR Sale 7 173.7300 USD
ADR Sale 12 173.6501 USD
5p ordinary Sale 13 44.6500 GBP
5p ordinary Sale 15 44.7650 GBP
ADR Sale 19 173.9299 USD
5p ordinary Sale 22 44.8400 GBP
5p ordinary Sale 25 44.8700 GBP
5p ordinary Sale 37 44.6150 GBP
5p ordinary Sale 37 44.8750 GBP
5p ordinary Sale 37 44.9050 GBP
5p ordinary Sale 46 44.8150 GBP
ADR Sale 46 173.6500 USD
5p ordinary Sale 64 44.8850 GBP
5p ordinary Sale 64 44.7550 GBP
5p ordinary Sale 64 44.7750 GBP
5p ordinary Sale 65 44.5900 GBP
5p ordinary Sale 74 44.6750 GBP
5p ordinary Sale 86 44.7000 GBP
5p ordinary Sale 89 44.7250 GBP
5p ordinary Sale 93 44.8500 GBP
5p ordinary Sale 100 44.9250 GBP
ADR Sale 100 173.0200 USD
ADR Sale 100 173.1900 USD
ADR Sale 100 173.6550 USD
ADR Sale 100 173.7400 USD
5p ordinary Sale 100 44.7950 GBP
5p ordinary Sale 100 44.7850 GBP
5p ordinary Sale 101 44.8800 GBP
5p ordinary Sale 114 44.6600 GBP
5p ordinary Sale 124 44.8950 GBP
5p ordinary Sale 128 44.9000 GBP
5p ordinary Sale 129 44.6200 GBP
5p ordinary Sale 130 44.8300 GBP
ADR Sale 143 173.2700 USD
5p ordinary Sale 166 44.6700 GBP
5p ordinary Sale 166 44.8050 GBP
ADR Sale 200 173.3750 USD
5p ordinary Sale 200 44.9150 GBP
5p ordinary Sale 210 44.8070 GBP
ADR Sale 214 173.7535 USD
5p ordinary Sale 237 44.8000 GBP
5p ordinary Sale 240 44.7600 GBP
ADR Sale 300 173.5280 USD
ADR Sale 300 173.5333 USD
5p ordinary Sale 325 44.6800 GBP
5p ordinary Sale 329 44.7360 GBP
ADR Sale 384 173.8408 USD
ADR Sale 400 173.8337 USD
5p ordinary Sale 443 44.7815 GBP
ADR Sale 500 173.5760 USD
ADR Sale 600 173.7216 USD
ADR Sale 600 173.6020 USD
ADR Sale 600 174.0583 USD
5p ordinary Sale 678 44.6950 GBP
5p ordinary Sale 849 44.8130 GBP
ADR Sale 940 173.2420 USD
5p ordinary Sale 1,142 44.7295 GBP
5p ordinary Sale 1,215 44.8199 GBP
ADR Sale 1,800 173.3814 USD
ADR Sale 2,100 173.8082 USD
5p ordinary Sale 2,270 44.7983 GBP
5p ordinary Sale 2,324 44.8253 GBP
5p ordinary Sale 3,333 44.9275 GBP
ADR Sale 3,600 173.5705 USD
5p ordinary Sale 4,928 44.9737 GBP
5p ordinary Sale 6,150 44.9201 GBP
5p ordinary Sale 6,250 44.9850 GBP
5p ordinary Sale 7,321 44.7855 GBP
5p ordinary Sale 9,897 44.8125 GBP
5p ordinary Sale 10,365 44.9801 GBP
ADR Sale 15,000 173.8042 USD
5p ordinary Sale 23,081 44.7300 GBP
5p ordinary Sale 44,741 44.7726 GBP
5p ordinary Sale 110,938 44.8887 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 45 44.7851 GBP
5p ordinary CFD Long 50 44.8200 GBP
5p ordinary SWAP Long 239 44.7695 GBP
5p ordinary CFD Long 443 44.7816 GBP
5p ordinary SWAP Long 767 44.8669 GBP
5p ordinary CFD Long 849 44.8130 GBP
5p ordinary CFD Long 1,165 44.8199 GBP
5p ordinary SWAP Long 2,491 44.7755 GBP
5p ordinary CFD Long 3,600 44.7770 GBP
5p ordinary SWAP Long 3,749 44.7446 GBP
5p ordinary CFD Long 5,206 44.9814 GBP
5p ordinary CFD Long 9,897 44.8125 GBP
5p ordinary SWAP Long 12,774 44.9724 GBP
5p ordinary SWAP Short 541 44.7947 GBP
5p ordinary SWAP Short 674 44.8285 GBP
5p ordinary SWAP Short 764 44.7230 GBP
5p ordinary SWAP Short 1,210 44.7866 GBP
5p ordinary SWAP Short 1,563 44.7912 GBP
5p ordinary SWAP Short 1,759 44.8160 GBP
5p ordinary CFD Short 1,961 44.8240 GBP
5p ordinary SWAP Short 2,207 44.8380 GBP
5p ordinary CFD Short 3,200 44.7826 GBP
5p ordinary CFD Short 3,334 44.8651 GBP
5p ordinary CFD Short 11,412 44.7787 GBP
5p ordinary CFD Short 13,004 44.8704 GBP
5p ordinary SWAP Short 16,004 44.7715 GBP
5p ordinary SWAP Short 21,018 44.8293 GBP
5p ordinary SWAP Short 21,631 44.9850 GBP
5p ordinary SWAP Short 37,638 44.9728 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 Put Options Selling 2,500 120 USD American 18 Jan 2019 0.5500 USD
ADR Put Options Selling 100 125 USD American 18 Jan 2019 0.7000 USD
ADR Put Options Selling 2,500 130 USD American 18 Jan 2019 0.9500 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: 10 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 -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 Put Options Written 500 125.0000 American 18 Jan 2019
ADR Call Options Purchased 400 230.0000 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 Put Options Written 5,300 120.0000 American 18 Jan 2019
ADR Call Options Purchased 5,000 195.0000 American 19 Oct 2018
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 Put Options Written 2,300 130.0000 American 18 Jan 2019
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.

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