8th May 2018 12:21
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 | |||
| 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: | 04 May 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: | 8,266,190 | 0.91% | 2,980,122 | 0.32% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 280,807 | 0.03% | 3,626,724 | 0.40% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 235,000 | 0.03% | 365,000 | 0.04% | |||||||
| (4) | |||||||||||
| TOTAL: | 8,781,997 | 0.97% | 6,971,846 | 0.76% | |||||||
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 | 8 | 155.9300 USD | ||||
| ADR | Purchase | 25 | 157.2100 USD | ||||
| ADR | Purchase | 40 | 156.4001 USD | ||||
| ADR | Purchase | 47 | 156.5400 USD | ||||
| 5p ordinary | Purchase | 90 | 38.4781 GBP | ||||
| ADR | Purchase | 100 | 156.6700 USD | ||||
| ADR | Purchase | 100 | 156.6800 USD | ||||
| ADR | Purchase | 100 | 157.7500 USD | ||||
| ADR | Purchase | 100 | 158.0100 USD | ||||
| ADR | Purchase | 100 | 158.3800 USD | ||||
| ADR | Purchase | 100 | 156.9800 USD | ||||
| ADR | Purchase | 101 | 158.0300 USD | ||||
| 5p ordinary | Purchase | 199 | 38.3650 GBP | ||||
| 5p ordinary | Purchase | 271 | 38.3949 GBP | ||||
| ADR | Purchase | 300 | 157.8066 USD | ||||
| ADR | Purchase | 300 | 157.1633 USD | ||||
| ADR | Purchase | 329 | 156.2473 USD | ||||
| 5p ordinary | Purchase | 416 | 38.4088 GBP | ||||
| 5p ordinary | Purchase | 437 | 38.4737 GBP | ||||
| 5p ordinary | Purchase | 518 | 38.3846 GBP | ||||
| 5p ordinary | Purchase | 684 | 38.3564 GBP | ||||
| 5p ordinary | Purchase | 700 | 38.5492 GBP | ||||
| ADR | Purchase | 900 | 157.7574 USD | ||||
| ADR | Purchase | 1,000 | 156.1660 USD | ||||
| ADR | Purchase | 1,058 | 157.7300 USD | ||||
| ADR | Purchase | 1,275 | 157.4201 USD | ||||
| 5p ordinary | Purchase | 1,565 | 38.5109 GBP | ||||
| 5p ordinary | Purchase | 1,644 | 38.4027 GBP | ||||
| 5p ordinary | Purchase | 2,000 | 38.3864 GBP | ||||
| 5p ordinary | Purchase | 2,080 | 38.3816 GBP | ||||
| ADR | Purchase | 2,200 | 156.9136 USD | ||||
| 5p ordinary | Purchase | 2,307 | 38.4874 GBP | ||||
| 5p ordinary | Purchase | 2,308 | 38.3535 GBP | ||||
| ADR | Purchase | 2,500 | 156.9780 USD | ||||
| 5p ordinary | Purchase | 2,942 | 38.4962 GBP | ||||
| 5p ordinary | Purchase | 4,699 | 38.5226 GBP | ||||
| 5p ordinary | Purchase | 5,952 | 38.6354 GBP | ||||
| 5p ordinary | Purchase | 9,218 | 38.3900 GBP | ||||
| 5p ordinary | Purchase | 10,255 | 38.5167 GBP | ||||
| 5p ordinary | Purchase | 11,272 | 38.6089 GBP | ||||
| 5p ordinary | Purchase | 12,384 | 38.5429 GBP | ||||
| 5p ordinary | Purchase | 12,571 | 38.5886 GBP | ||||
| 5p ordinary | Purchase | 12,640 | 38.4535 GBP | ||||
| ADR | Purchase | 13,338 | 156.1790 USD | ||||
| ADR | Purchase | 15,804 | 157.0687 USD | ||||
| 5p ordinary | Purchase | 19,916 | 38.4568 GBP | ||||
| 5p ordinary | Purchase | 20,132 | 38.4204 GBP | ||||
| 5p ordinary | Purchase | 20,317 | 38.5728 GBP | ||||
| 5p ordinary | Purchase | 21,449 | 38.5366 GBP | ||||
| 5p ordinary | Purchase | 25,454 | 38.5560 GBP | ||||
| 5p ordinary | Purchase | 25,458 | 38.5158 GBP | ||||
| 5p ordinary | Purchase | 28,887 | 38.5600 GBP | ||||
| 5p ordinary | Purchase | 40,181 | 38.4806 GBP | ||||
| 5p ordinary | Purchase | 83,975 | 38.5347 GBP | ||||
| 5p ordinary | Purchase | 120,652 | 38.5469 GBP | ||||
| 5p ordinary | Purchase | 138,032 | 38.4989 GBP | ||||
| 5p ordinary | Purchase | 6,000,000 | 38.6050 GBP | ||||
| ADR | Sale | 8 | 155.9300 USD | ||||
| 5p ordinary | Sale | 23 | 38.6911 GBP | ||||
| ADR | Sale | 25 | 157.2100 USD | ||||
| ADR | Sale | 40 | 156.4001 USD | ||||
| ADR | Sale | 47 | 156.5400 USD | ||||
| ADR | Sale | 76 | 157.7339 USD | ||||
| 5p ordinary | Sale | 95 | 38.7084 GBP | ||||
| ADR | Sale | 100 | 158.0100 USD | ||||
| ADR | Sale | 100 | 158.0300 USD | ||||
| ADR | Sale | 100 | 156.0000 USD | ||||
| ADR | Sale | 100 | 158.3800 USD | ||||
| 5p ordinary | Sale | 129 | 38.3800 GBP | ||||
| ADR | Sale | 200 | 155.0000 USD | ||||
| ADR | Sale | 200 | 157.9500 USD | ||||
| ADR | Sale | 300 | 156.0433 USD | ||||
| ADR | Sale | 329 | 156.2473 USD | ||||
| 5p ordinary | Sale | 347 | 38.5726 GBP | ||||
| ADR | Sale | 400 | 158.0000 USD | ||||
| 5p ordinary | Sale | 620 | 38.4952 GBP | ||||
| ADR | Sale | 700 | 156.6492 USD | ||||
| ADR | Sale | 700 | 158.0142 USD | ||||
| 5p ordinary | Sale | 863 | 38.5595 GBP | ||||
| 5p ordinary | Sale | 907 | 38.5478 GBP | ||||
| ADR | Sale | 1,058 | 157.7300 USD | ||||
| ADR | Sale | 1,200 | 158.0475 USD | ||||
| 5p ordinary | Sale | 1,257 | 38.5661 GBP | ||||
| ADR | Sale | 1,400 | 158.2857 USD | ||||
| 5p ordinary | Sale | 1,714 | 38.4754 GBP | ||||
| 5p ordinary | Sale | 1,737 | 38.5600 GBP | ||||
| ADR | Sale | 1,900 | 157.1397 USD | ||||
| 5p ordinary | Sale | 2,361 | 38.4886 GBP | ||||
| ADR | Sale | 2,600 | 157.0184 USD | ||||
| 5p ordinary | Sale | 3,202 | 38.5962 GBP | ||||
| 5p ordinary | Sale | 4,978 | 38.5289 GBP | ||||
| 5p ordinary | Sale | 5,868 | 38.5064 GBP | ||||
| ADR | Sale | 6,634 | 156.3810 USD | ||||
| ADR | Sale | 7,379 | 156.1718 USD | ||||
| 5p ordinary | Sale | 7,831 | 38.5765 GBP | ||||
| 5p ordinary | Sale | 8,343 | 38.5285 GBP | ||||
| 5p ordinary | Sale | 9,039 | 38.5166 GBP | ||||
| 5p ordinary | Sale | 9,209 | 38.5231 GBP | ||||
| 5p ordinary | Sale | 11,044 | 38.5437 GBP | ||||
| 5p ordinary | Sale | 12,014 | 38.5445 GBP | ||||
| 5p ordinary | Sale | 15,666 | 38.6721 GBP | ||||
| ADR | Sale | 16,004 | 156.9088 USD | ||||
| 5p ordinary | Sale | 19,916 | 38.4568 GBP | ||||
| 5p ordinary | Sale | 26,539 | 38.4704 GBP | ||||
| 5p ordinary | Sale | 32,300 | 38.5617 GBP | ||||
| 5p ordinary | Sale | 39,849 | 38.5407 GBP | ||||
| 5p ordinary | Sale | 51,762 | 38.5000 GBP | ||||
| 5p ordinary | Sale | 68,072 | 38.4919 GBP | ||||
| 5p ordinary | Sale | 69,016 | 38.4720 GBP | ||||
| NB: The below transactions which were previously disclosed have been cancelled | |||||||
| Class of relevant | Purchase/sale | Number of | Price per unit | ||||
| security | securities | ||||||
| 5p ordinary | Purchase | 3,000,000 | 38.6050 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 | 23 | 38.6911 GBP | |||||
| 5p ordinary | SWAP | Long | 74 | 38.6728 GBP | |||||
| 5p ordinary | SWAP | Long | 95 | 38.7084 GBP | |||||
| 5p ordinary | SWAP | Long | 120 | 38.4045 GBP | |||||
| 5p ordinary | CFD | Long | 907 | 38.5478 GBP | |||||
| 5p ordinary | SWAP | Long | 4,346 | 38.5426 GBP | |||||
| 5p ordinary | SWAP | Long | 6,558 | 38.5600 GBP | |||||
| 5p ordinary | CFD | Long | 7,831 | 38.5765 GBP | |||||
| 5p ordinary | CFD | Long | 9,209 | 38.5231 GBP | |||||
| 5p ordinary | SWAP | Long | 15,666 | 38.6721 GBP | |||||
| 5p ordinary | SWAP | Long | 31,266 | 38.4835 GBP | |||||
| 5p ordinary | SWAP | Long | 51,762 | 38.5000 GBP | |||||
| 5p ordinary | SWAP | Long | 69,016 | 38.4720 GBP | |||||
| 5p ordinary | SWAP | Short | 90 | 38.4780 GBP | |||||
| 5p ordinary | CFD | Short | 130 | 38.5493 GBP | |||||
| 5p ordinary | SWAP | Short | 199 | 38.3650 GBP | |||||
| 5p ordinary | CFD | Short | 236 | 38.6550 GBP | |||||
| 5p ordinary | SWAP | Short | 271 | 38.3949 GBP | |||||
| 5p ordinary | SWAP | Short | 416 | 38.4088 GBP | |||||
| 5p ordinary | SWAP | Short | 518 | 38.3846 GBP | |||||
| 5p ordinary | CFD | Short | 570 | 38.5492 GBP | |||||
| 5p ordinary | SWAP | Short | 684 | 38.3564 GBP | |||||
| 5p ordinary | CFD | Short | 1,374 | 38.6227 GBP | |||||
| 5p ordinary | CFD | Short | 1,644 | 38.4027 GBP | |||||
| 5p ordinary | SWAP | Short | 1,662 | 38.5959 GBP | |||||
| 5p ordinary | SWAP | Short | 1,681 | 38.4752 GBP | |||||
| 5p ordinary | SWAP | Short | 2,080 | 38.3816 GBP | |||||
| 5p ordinary | SWAP | Short | 2,308 | 38.3535 GBP | |||||
| 5p ordinary | SWAP | Short | 2,518 | 38.3167 GBP | |||||
| 5p ordinary | CFD | Short | 2,605 | 38.4449 GBP | |||||
| 5p ordinary | SWAP | Short | 3,999 | 38.5070 GBP | |||||
| 5p ordinary | SWAP | Short | 4,550 | 38.5430 GBP | |||||
| 5p ordinary | SWAP | Short | 4,699 | 38.5226 GBP | |||||
| 5p ordinary | CFD | Short | 5,952 | 38.6354 GBP | |||||
| 5p ordinary | SWAP | Short | 6,902 | 38.5600 GBP | |||||
| 5p ordinary | SWAP | Short | 9,218 | 38.3900 GBP | |||||
| 5p ordinary | CFD | Short | 11,036 | 38.6080 GBP | |||||
| 5p ordinary | CFD | Short | 20,132 | 38.4204 GBP | |||||
| 5p ordinary | CFD | Short | 35,514 | 38.5546 GBP | |||||
| 5p ordinary | SWAP | Short | 41,271 | 38.5290 GBP | |||||
| 5p ordinary | CFD | Short | 44,099 | 38.6193 GBP | |||||
| 5p ordinary | SWAP | Short | 83,962 | 38.5225 GBP |
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
| Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
(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: | 8 May 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 | ||
| 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 | |||||||
| 5p ordinary | Put Options | Purchased | -100,000 | 3600.0000 | American | 18 May 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.
View source version on businesswire.com: https://www.businesswire.com/news/home/20180508005883/en/
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