28th Dec 2018 09:58
FORM 8.3 - Amendment to Sales
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: | 24 December 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: | 7,919,085 | 0.86% | 1,010,462 | 0.11% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 216,885 | 0.02% | 5,450,073 | 0.59% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 754,600 | 0.08% | 580,000 | 0.06% | |||||||
| TOTAL: | 8,890,570 | 0.97% | 7,040,535 | 0.77% | |||||||
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 | 92 | 44.9000 GBP | ||||
| 5p ordinary | Purchase | 119 | 46.0000 GBP | ||||
| 5p ordinary | Purchase | 187 | 45.0000 GBP | ||||
| 5p ordinary | Purchase | 78,182 | 44.9400 GBP | ||||
| 5p ordinary | Sale | 832 | 43.5500 GBP | ||||
| 5p ordinary | Sale | 2,670 | 43.6500 GBP | ||||
| ADR | Purchase | 40 | 169.2800 USD | ||||
| ADR | Purchase | 60 | 169.3000 USD | ||||
| ADR | Purchase | 100 | 169.0800 USD | ||||
| ADR | Purchase | 100 | 169.3500 USD | ||||
| ADR | Purchase | 100 | 169.6600 USD | ||||
| ADR | Purchase | 100 | 169.2700 USD | ||||
| ADR | Purchase | 100 | 169.0300 USD | ||||
| ADR | Purchase | 100 | 169.0000 USD | ||||
| ADR | Purchase | 200 | 169.0400 USD | ||||
| ADR | Purchase | 220 | 169.1672 USD | ||||
| ADR | Purchase | 228 | 169.0571 USD | ||||
| ADR | Purchase | 300 | 169.0250 USD | ||||
| ADR | Purchase | 380 | 169.0378 USD | ||||
| ADR | Purchase | 500 | 169.0620 USD | ||||
| ADR | Purchase | 500 | 169.4000 USD | ||||
| ADR | Purchase | 600 | 169.4766 USD | ||||
| ADR | Purchase | 640 | 169.2112 USD | ||||
| ADR | Purchase | 700 | 169.1778 USD | ||||
| ADR | Purchase | 700 | 169.1278 USD | ||||
| ADR | Purchase | 700 | 169.2971 USD | ||||
| ADR | Purchase | 800 | 169.3487 USD | ||||
| ADR | Purchase | 1,160 | 169.3154 USD | ||||
| ADR | Purchase | 1,900 | 169.1261 USD | ||||
| ADR | Purchase | 1,932 | 169.2059 USD | ||||
| ADR | Purchase | 2,100 | 169.4085 USD | ||||
| ADR | Purchase | 5,200 | 169.0924 USD | ||||
| ADR | Purchase | 6,000 | 169.0681 USD | ||||
| ADR | Purchase | 6,068 | 169.1478 USD | ||||
| ADR | Purchase | 7,500 | 169.1512 USD | ||||
| ADR | Sale | 77 | 168.9400 USD | ||||
| ADR | Sale | 100 | 169.2800 USD | ||||
| ADR | Sale | 100 | 169.2200 USD | ||||
| ADR | Sale | 150 | 169.0200 USD | ||||
| ADR | Sale | 200 | 169.6100 USD | ||||
| ADR | Sale | 200 | 169.4325 USD | ||||
| ADR | Sale | 300 | 169.2300 USD | ||||
| ADR | Sale | 300 | 169.2050 USD | ||||
| ADR | Sale | 300 | 169.1000 USD | ||||
| ADR | Sale | 500 | 169.0620 USD | ||||
| ADR | Sale | 590 | 169.3277 USD | ||||
| ADR | Sale | 642 | 169.0941 USD | ||||
| ADR | Sale | 655 | 169.1451 USD | ||||
| ADR | Sale | 800 | 169.1250 USD | ||||
| ADR | Sale | 800 | 169.0656 USD | ||||
| ADR | Sale | 836 | 169.0700 USD | ||||
| ADR | Sale | 1,400 | 169.2971 USD | ||||
| ADR | Sale | 1,700 | 169.0763 USD | ||||
| ADR | Sale | 2,551 | 169.2318 USD | ||||
| ADR | Sale | 3,099 | 169.0722 USD | ||||
| ADR | Sale | 4,200 | 169.1132 USD | ||||
| ADR | Sale | 4,800 | 169.0897 USD | ||||
| ADR | Sale | 4,966 | 169.0993 USD | ||||
| ADR | Sale | 5,030 | 169.2444 USD |
(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 | 3,502 | 43.6261 GBP | |||||
| 5p ordinary | SWAP | Short | 92 | 44.9000 GBP | |||||
| 5p ordinary | SWAP | Short | 206 | 45.5797 GBP | |||||
| 5p ordinary | CFD | Short | 32,235 | 44.9456 GBP | |||||
| 5p ordinary | SWAP | Short | 45,947 | 44.9400 GBP | |||||
| 5p ordinary | SWAP | Short | 538,500 | 45.2500 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 | 600 | 173 USD | American | 28 Dec 2018 | 0.9750 USD | ||||||||
| ADR | Call Options | Purchasing | 100 | 173 USD | American | 18 Jan 2019 | 3.2000 USD | ||||||||
| ADR | Put Options | Purchasing | 100 | 170 USD | American | 17 Jan 2020 | 12.4000 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: | 28 Dec 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.
143221.01
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 | |||||||||||||
| ADR | Call Options | Purchased | 100 | 155.0000 | American | 15 Jan 2021 | |||||||
| ADR | Call Options | Purchased | 100 | 190.0000 | American | 4 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 100 | 195.0000 | American | 15 Jan 2021 | |||||||
| ADR | Call Options | Purchased | 100 | 220.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 100 | 110.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 100 | 140.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 100 | 105.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 100 | 173.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 100 | 195.0000 | American | 19 Jul 2019 | |||||||
| ADR | Call Options | Purchased | 200 | 160.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 200 | 120.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 200 | 155.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 200 | 135.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 200 | 130.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 200 | 210.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 300 | 115.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 400 | 170.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 400 | 230.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 500 | 150.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 500 | 180.0000 | American | 18 Apr 2019 | |||||||
| ADR | Call Options | Purchased | 600 | 173.0000 | American | 28 Dec 2018 | |||||||
| ADR | Call Options | Purchased | 700 | 175.0000 | American | 28 Dec 2018 | |||||||
| ADR | Call Options | Purchased | 900 | 195.0000 | American | 18 Apr 2019 | |||||||
| ADR | Call Options | Purchased | 1,000 | 185.0000 | American | 19 Jul 2019 | |||||||
| ADR | Call Options | Purchased | 1,000 | 190.0000 | American | 11 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 1,000 | 135.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 1,000 | 180.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 1,000 | 170.0000 | American | 19 Jul 2019 | |||||||
| ADR | Call Options | Purchased | 1,000 | 175.0000 | American | 19 Jul 2019 | |||||||
| ADR | Call Options | Purchased | 1,400 | 230.0000 | American | 15 Jan 2021 | |||||||
| ADR | Call Options | Purchased | 1,700 | 195.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 2,000 | 150.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 2,000 | 165.0000 | American | 18 Apr 2019 | |||||||
| ADR | Call Options | Purchased | 2,100 | 190.0000 | American | 18 Apr 2019 | |||||||
| ADR | Call Options | Purchased | 2,600 | 185.0000 | American | 18 Apr 2019 | |||||||
| ADR | Call Options | Purchased | 3,100 | 155.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 3,600 | 175.0000 | American | 18 Apr 2019 | |||||||
| ADR | Call Options | Purchased | 3,700 | 170.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 3,800 | 125.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 4,300 | 170.0000 | American | 18 Apr 2019 | |||||||
| ADR | Call Options | Purchased | 5,700 | 160.0000 | American | 19 Jul 2019 | |||||||
| ADR | Call Options | Purchased | 7,700 | 155.0000 | American | 18 Apr 2019 | |||||||
| ADR | Call Options | Purchased | 9,200 | 200.0000 | American | 15 Jan 2021 | |||||||
| ADR | Call Options | Purchased | 12,600 | 175.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 18,200 | 160.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 22,300 | 200.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 23,900 | 195.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 137,900 | 190.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -56,000 | 200.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -42,400 | 200.0000 | American | 19 Jul 2019 | |||||||
| ADR | Call Options | Written | -33,100 | 185.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -31,000 | 180.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -7,400 | 240.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -4,200 | 165.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -2,700 | 145.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -2,400 | 130.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -1,500 | 210.0000 | American | 19 Jul 2019 | |||||||
| ADR | Call Options | Written | -1,000 | 85.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -800 | 155.0000 | American | 18 Apr 2019 | |||||||
| ADR | Call Options | Written | -700 | 163.0000 | American | 28 Dec 2018 | |||||||
| ADR | Call Options | Written | -600 | 160.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -500 | 135.0000 | American | 19 Jul 2019 | |||||||
| ADR | Call Options | Written | -300 | 160.0000 | American | 18 Apr 2019 | |||||||
| ADR | Call Options | Written | -100 | 140.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -100 | 150.0000 | American | 18 Apr 2019 | |||||||
| ADR | Put Options | Purchased | -277,200 | 165.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -41,400 | 135.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -15,600 | 160.0000 | American | 18 Apr 2019 | |||||||
| ADR | Put Options | Purchased | -5,900 | 180.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -5,300 | 165.0000 | American | 15 Jan 2021 | |||||||
| ADR | Put Options | Purchased | -5,000 | 170.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -4,200 | 155.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -3,700 | 145.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -3,500 | 140.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,900 | 175.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,700 | 80.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,600 | 160.0000 | American | 15 Jan 2021 | |||||||
| ADR | Put Options | Purchased | -2,500 | 120.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -2,300 | 85.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,300 | 175.0000 | American | 4 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,100 | 150.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,000 | 130.0000 | American | 15 Jan 2021 | |||||||
| ADR | Put Options | Purchased | -2,000 | 80.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -1,800 | 115.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -1,700 | 160.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -1,400 | 165.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -1,200 | 135.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -1,100 | 170.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -1,100 | 70.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -1,000 | 155.0000 | American | 15 Jan 2021 | |||||||
| ADR | Put Options | Purchased | -800 | 150.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -600 | 180.0000 | American | 18 Apr 2019 | |||||||
| ADR | Put Options | Purchased | -500 | 140.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -400 | 165.0000 | American | 19 Jul 2019 | |||||||
| ADR | Put Options | Purchased | -200 | 65.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -100 | 75.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -100 | 195.0000 | American | 15 Jan 2021 | |||||||
| ADR | Put Options | Written | 100 | 110.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Written | 100 | 110.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 95.0000 | 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 | 1,000 | 147.0000 | American | 28 Dec 2018 | |||||||
| ADR | Put Options | Written | 1,000 | 90.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 1,800 | 185.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 2,300 | 130.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 4,000 | 165.0000 | American | 18 Apr 2019 | |||||||
| ADR | Put Options | Written | 5,300 | 120.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 6,900 | 170.0000 | American | 18 Apr 2019 | |||||||
| ADR | Put Options | Written | 11,000 | 160.0000 | American | 19 Jul 2019 | |||||||
| ADR | Put Options | Written | 13,800 | 155.0000 | American | 18 Apr 2019 | |||||||
| ADR | Put Options | Written | 19,900 | 165.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 29,300 | 125.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 89,500 | 160.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 287,900 | 145.0000 | American | 18 Jan 2019 |
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/20181228005056/en/
Copyright Business Wire 2018
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