3rd Apr 2018 15:51
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: | 02 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: | 4,960,878 | 0.55% | 3,843,191 | 0.43% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 484,527 | 0.05% | 2,282,821 | 0.25% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 340,400 | 0.04% | 262,900 | 0.03% | |||||||
| TOTAL: | 5,785,805 | 0.64% | 6,388,912 | 0.71% | |||||||
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 | 2 | 147.6601 USD | ||||
| ADR | Purchase | 4 | 148.9800 USD | ||||
| ADR | Purchase | 45 | 149.1900 USD | ||||
| ADR | Purchase | 50 | 148.4200 USD | ||||
| ADR | Purchase | 50 | 148.4300 USD | ||||
| ADR | Purchase | 100 | 149.5250 USD | ||||
| ADR | Purchase | 100 | 148.3500 USD | ||||
| ADR | Purchase | 200 | 148.3800 USD | ||||
| ADR | Purchase | 200 | 148.4150 USD | ||||
| ADR | Purchase | 200 | 149.3300 USD | ||||
| ADR | Purchase | 200 | 147.7850 USD | ||||
| ADR | Purchase | 500 | 147.6300 USD | ||||
| ADR | Purchase | 600 | 149.3229 USD | ||||
| ADR | Purchase | 675 | 148.3551 USD | ||||
| ADR | Purchase | 700 | 147.7214 USD | ||||
| ADR | Purchase | 766 | 148.6958 USD | ||||
| ADR | Purchase | 877 | 148.2175 USD | ||||
| ADR | Purchase | 1,700 | 149.1952 USD | ||||
| ADR | Purchase | 1,861 | 148.8882 USD | ||||
| ADR | Purchase | 2,045 | 149.2608 USD | ||||
| ADR | Purchase | 2,600 | 148.8863 USD | ||||
| ADR | Purchase | 2,600 | 148.3423 USD | ||||
| ADR | Purchase | 3,700 | 148.9100 USD | ||||
| ADR | Purchase | 3,728 | 147.9569 USD | ||||
| ADR | Purchase | 15,000 | 148.1140 USD | ||||
| ADR | Purchase | 17,630 | 147.7265 USD | ||||
| ADR | Purchase | 22,430 | 147.5134 USD | ||||
| ADR | Sale | 1 | 148.6400 USD | ||||
| ADR | Sale | 2 | 147.6601 USD | ||||
| ADR | Sale | 4 | 148.9800 USD | ||||
| ADR | Sale | 11 | 146.9100 USD | ||||
| ADR | Sale | 15 | 146.3680 USD | ||||
| ADR | Sale | 50 | 148.4300 USD | ||||
| ADR | Sale | 52 | 149.1900 USD | ||||
| ADR | Sale | 89 | 147.2688 USD | ||||
| ADR | Sale | 96 | 149.4700 USD | ||||
| ADR | Sale | 100 | 147.9300 USD | ||||
| ADR | Sale | 100 | 147.2200 USD | ||||
| ADR | Sale | 100 | 149.1809 USD | ||||
| ADR | Sale | 100 | 149.1700 USD | ||||
| ADR | Sale | 100 | 149.5250 USD | ||||
| ADR | Sale | 191 | 147.9795 USD | ||||
| ADR | Sale | 200 | 148.4600 USD | ||||
| ADR | Sale | 300 | 147.6133 USD | ||||
| ADR | Sale | 400 | 147.4200 USD | ||||
| ADR | Sale | 400 | 149.7500 USD | ||||
| ADR | Sale | 410 | 147.5385 USD | ||||
| ADR | Sale | 411 | 147.7513 USD | ||||
| ADR | Sale | 461 | 147.3069 USD | ||||
| ADR | Sale | 576 | 147.9432 USD | ||||
| ADR | Sale | 600 | 147.0375 USD | ||||
| ADR | Sale | 700 | 148.4928 USD | ||||
| ADR | Sale | 830 | 148.8531 USD | ||||
| ADR | Sale | 952 | 147.4841 USD | ||||
| ADR | Sale | 1,000 | 147.6705 USD | ||||
| ADR | Sale | 1,100 | 148.8181 USD | ||||
| ADR | Sale | 1,169 | 147.2139 USD | ||||
| ADR | Sale | 1,499 | 148.2920 USD | ||||
| ADR | Sale | 1,800 | 148.2180 USD | ||||
| ADR | Sale | 1,850 | 148.9000 USD | ||||
| ADR | Sale | 1,850 | 148.9100 USD | ||||
| ADR | Sale | 2,200 | 148.8634 USD | ||||
| ADR | Sale | 2,234 | 148.2269 USD | ||||
| ADR | Sale | 2,800 | 147.6180 USD | ||||
| ADR | Sale | 2,939 | 147.3217 USD | ||||
| ADR | Sale | 3,650 | 148.2823 USD | ||||
| ADR | Sale | 6,949 | 148.6351 USD | ||||
| ADR | Sale | 8,325 | 148.1789 USD | ||||
| ADR | Sale | 8,845 | 148.0306 USD | ||||
| ADR | Sale | 19,524 | 147.3444 USD |
(b) Cash-settled derivative transactions
| Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
(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 | |||||||||||||||
| ORD | Call Options | Purchasing | 500 | 150 USD | American | 6 Apr 2018 | 2.0700 USD | ||||||||
| ORD | Call Options | Selling | 200 | 153 USD | American | 13 Apr 2018 | 3.5000 USD | ||||||||
| ORD | Put Options | Selling | 100 | 75 USD | American | 20 Apr 2018 | 0.1500 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: | 3 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 | Written | 125,000 | 3600.0000 | American | 21 Dec 2018 | |||||||
| ADR | Put Options | Written | 1,100 | 140.0000 | American | 20 Jul 2018 | |||||||
| 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 | Purchased | 41,800 | 145.0000 | American | 20 Apr 2018 | |||||||
| ADR | Call Options | Purchased | 1,700 | 195.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -100 | 125.0000 | American | 20 Jul 2018 | |||||||
| ADR | Put Options | Purchased | -100 | 145.0000 | American | 6 Apr 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 | -11,400 | 155.0000 | American | 20 Apr 2018 | |||||||
| ADR | Call Options | Purchased | 100 | 165.0000 | American | 6 Apr 2018 | |||||||
| ADR | Put Options | Written | 100 | 150.0000 | American | 18 May 2018 | |||||||
| ADR | Call Options | Purchased | 1,400 | 135.0000 | American | 20 Apr 2018 | |||||||
| ADR | Call Options | Written | -200 | 153.0000 | 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 | 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 | 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 | -100 | 133.0000 | American | 6 Apr 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 | -1,400 | 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 | -3,100 | 145.0000 | American | 6 Apr 2018 | |||||||
| ADR | Call Options | Purchased | 900 | 160.0000 | American | 20 Apr 2018 | |||||||
| ADR | Call Options | Purchased | 400 | 150.0000 | American | 6 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 | 110.0000 | American | 20 Apr 2018 | |||||||
| ADR | Call Options | Purchased | 4,100 | 170.0000 | American | 20 Apr 2018 | |||||||
| 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 | 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 | 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 | Call Options | Purchased | 2,100 | 120.0000 | American | 20 Apr 2018 | |||||||
| 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 | Written | -800 | 170.0000 | American | 6 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 | -4,400 | 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 | 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 | 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 | Written | 3,100 | 145.0000 | American | 27 Apr 2018 | |||||||
| ADR | Put Options | Written | 2,000 | 155.0000 | American | 20 Apr 2018 | |||||||
| ADR | Put Options | Purchased | -100 | 145.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -500 | 195.0000 | American | 6 Apr 2018 | |||||||
| ADR | Put Options | Purchased | -1,100 | 140.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,400 | 160.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -2,700 | 144.0000 | American | 6 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 | Put Options | Written | 100 | 110.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 75.0000 | American | 20 Apr 2018 | |||||||
| ADR | Call Options | Purchased | 28,400 | 165.0000 | American | 20 Apr 2018 | |||||||
| ADR | Put Options | Written | 3,000 | 145.0000 | 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 | Put Options | Purchased | -100 | 117.0000 | American | 6 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.
View source version on businesswire.com: https://www.businesswire.com/news/home/20180403006026/en/
Copyright Business Wire 2018
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