4th Jan 2019 13:32
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: | 02 January 2019 | |||
(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: | 6,584,889 | 0.72% | 1,035,822 | 0.11% | |||||||
(2) | Cash-settled derivatives: | ||||||||||
317,543 | 0.03% | 4,573,496 | 0.50% | ||||||||
(3) | Stock-settled derivatives (including options) | ||||||||||
and agreements to purchase/sell: | 735,200 | 0.08% | 467,900 | 0.05% | |||||||
(4) | |||||||||||
TOTAL: | 7,637,632 | 0.83% | 6,077,218 | 0.66% |
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 | 110 | 45.5645 GBP | ||||
5p ordinary | Purchase | 947 | 45.5500 GBP | ||||
5p ordinary | Purchase | 1,338 | 45.5600 GBP | ||||
5p ordinary | Purchase | 2,472 | 45.5000 GBP | ||||
5p ordinary | Purchase | 3,941 | 45.7500 GBP | ||||
5p ordinary | Sale | 34 | 45.3100 GBP | ||||
5p ordinary | Sale | 374 | 45.5500 GBP | ||||
5p ordinary | Sale | 487 | 45.4330 GBP | ||||
5p ordinary | Sale | 2,472 | 45.5000 GBP | ||||
5p ordinary | Sale | 4,380 | 45.7500 GBP | ||||
5p ordinary | Sale | 13,456 | 44.8500 GBP | ||||
5p ordinary | Sale | 79,400 | 45.2500 GBP | ||||
ADR | Purchase | 24 | 172.4600 USD | ||||
ADR | Purchase | 49 | 172.3100 USD | ||||
ADR | Purchase | 97 | 172.6600 USD | ||||
ADR | Purchase | 100 | 173.3200 USD | ||||
ADR | Purchase | 100 | 172.7500 USD | ||||
ADR | Purchase | 100 | 172.7100 USD | ||||
ADR | Purchase | 100 | 172.3000 USD | ||||
ADR | Purchase | 100 | 172.9200 USD | ||||
ADR | Purchase | 100 | 172.8800 USD | ||||
ADR | Purchase | 100 | 172.2500 USD | ||||
ADR | Purchase | 200 | 172.4762 USD | ||||
ADR | Purchase | 200 | 172.3075 USD | ||||
ADR | Purchase | 200 | 173.5325 USD | ||||
ADR | Purchase | 244 | 172.8438 USD | ||||
ADR | Purchase | 300 | 172.3133 USD | ||||
ADR | Purchase | 446 | 172.7857 USD | ||||
ADR | Purchase | 499 | 172.7790 USD | ||||
ADR | Purchase | 500 | 172.7540 USD | ||||
ADR | Purchase | 997 | 172.8366 USD | ||||
ADR | Purchase | 1,000 | 172.1700 USD | ||||
ADR | Purchase | 1,044 | 172.7000 USD | ||||
ADR | Purchase | 1,052 | 172.6972 USD | ||||
ADR | Purchase | 1,100 | 172.8077 USD | ||||
ADR | Purchase | 1,301 | 172.8084 USD | ||||
ADR | Purchase | 2,000 | 172.3610 USD | ||||
ADR | Purchase | 2,533 | 172.5471 USD | ||||
ADR | Purchase | 2,600 | 172.9370 USD | ||||
ADR | Purchase | 3,200 | 172.6843 USD | ||||
ADR | Purchase | 3,973 | 172.7874 USD | ||||
ADR | Purchase | 5,000 | 172.8185 USD | ||||
ADR | Purchase | 7,200 | 172.7504 USD | ||||
ADR | Sale | 46 | 172.9000 USD | ||||
ADR | Sale | 100 | 173.3200 USD | ||||
ADR | Sale | 100 | 172.9400 USD | ||||
ADR | Sale | 100 | 172.2500 USD | ||||
ADR | Sale | 200 | 172.4762 USD | ||||
ADR | Sale | 200 | 172.7175 USD | ||||
ADR | Sale | 200 | 173.5325 USD | ||||
ADR | Sale | 224 | 172.7367 USD | ||||
ADR | Sale | 300 | 172.9100 USD | ||||
ADR | Sale | 300 | 172.8150 USD | ||||
ADR | Sale | 300 | 145.0000 USD | ||||
ADR | Sale | 400 | 172.7726 USD | ||||
ADR | Sale | 400 | 172.9250 USD | ||||
ADR | Sale | 500 | 172.7490 USD | ||||
ADR | Sale | 644 | 172.7000 USD | ||||
ADR | Sale | 700 | 172.8389 USD | ||||
ADR | Sale | 1,000 | 172.1700 USD | ||||
ADR | Sale | 1,100 | 172.9093 USD | ||||
ADR | Sale | 1,693 | 172.7432 USD | ||||
ADR | Sale | 2,000 | 172.7908 USD | ||||
ADR | Sale | 2,100 | 172.5504 USD | ||||
ADR | Sale | 2,300 | 172.8050 USD | ||||
ADR | Sale | 2,600 | 172.9370 USD | ||||
ADR | Sale | 5,870 | 172.7801 USD |
(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 | 11 | 45.4290 GBP | |||||
5p ordinary | SWAP | Long | 439 | 45.7500 GBP | |||||
5p ordinary | CFD | Long | 476 | 45.4293 GBP | |||||
5p ordinary | SWAP | Long | 16,079 | 44.9154 GBP | |||||
5p ordinary | SWAP | Long | 80,752 | 45.2723 GBP | |||||
5p ordinary | CFD | Short | 110 | 45.5645 GBP | |||||
5p ordinary | SWAP | Short | 573 | 45.5955 GBP | |||||
5p ordinary | SWAP | Short | 3,941 | 45.7520 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 | 100 | 165 USD | American | 18 Jan 2019 | 9.3700 USD | ||||||||
ADR | Call Options | Purchasing | 500 | 175 USD | American | 18 Apr 2019 | 5.5000 USD | ||||||||
ADR | Call Options | Purchasing | 500 | 180 USD | American | 18 Apr 2019 | 3.5000 USD | ||||||||
ADR | Call Options | Selling | 100 | 168 USD | American | 18 Jan 2019 | 7.4200 USD | ||||||||
ADR | Put Options | Purchasing | 100 | 168 USD | American | 18 Jan 2019 | 1.5000 USD | ||||||||
ADR | Put Options | Selling | 500 | 160 USD | American | 4 Jan 2019 | 0.6000 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: | 4 Jan 2019 | ||
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 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 | 220.0000 | American | 18 Jan 2019 | |||||||
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 | 190.0000 | American | 4 Jan 2019 | |||||||
ADR | Call Options | Purchased | 100 | 195.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Purchased | 100 | 195.0000 | American | 15 Jan 2021 | |||||||
ADR | Call Options | Purchased | 100 | 110.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 100 | 155.0000 | American | 15 Jan 2021 | |||||||
ADR | Call Options | Purchased | 100 | 173.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 200 | 130.0000 | 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 | 210.0000 | American | 18 Jan 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 | 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 | 900 | 195.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 135.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 185.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 180.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 1,000 | 180.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 175.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 190.0000 | American | 11 Jan 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 170.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Purchased | 1,100 | 190.0000 | American | 15 Feb 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 | 3,800 | 125.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 4,300 | 170.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 4,600 | 175.0000 | 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 | 18,200 | 160.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 20,700 | 175.0000 | 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 | -4,100 | 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 | -800 | 170.0000 | American | 18 Jan 2019 | |||||||
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 | 168.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -100 | 150.0000 | American | 18 Apr 2019 | |||||||
ADR | Put Options | Purchased | -164,700 | 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 | 80.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -2,000 | 130.0000 | American | 15 Jan 2021 | |||||||
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 | 70.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -1,100 | 170.0000 | 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 | 170.0000 | American | 4 Jan 2019 | |||||||
ADR | Put Options | Purchased | -100 | 195.0000 | American | 15 Jan 2021 | |||||||
ADR | Put Options | Purchased | -100 | 168.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -100 | 75.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -100 | 165.0000 | American | 15 Feb 2019 | |||||||
ADR | Put Options | Written | 100 | 95.0000 | American | 18 Jan 2019 | |||||||
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 | 200 | 200.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Written | 200 | 100.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Written | 1,000 | 160.0000 | American | 4 Jan 2019 | |||||||
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 | 19,400 | 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 | 263,300 | 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/20190104005273/en/
Copyright Business Wire 2019
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