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Form 8.3 - SHIRE PLC

20th Sep 2018 14:25

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: 19 September 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: 5,086,731 0.56% 1,731,109 0.19%
(2) Cash-settled derivatives:
349,459 0.04% 3,188,326 0.35%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 182,700 0.02% 261,000 0.03%
TOTAL: 5,618,890 0.61% 5,180,435 0.57%

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 26 44.9950 GBP
5p ordinary Purchase 41 44.9900 GBP
5p ordinary Purchase 67 45.0300 GBP
5p ordinary Purchase 69 45.1500 GBP
5p ordinary Purchase 95 45.0647 GBP
5p ordinary Purchase 107 45.0000 GBP
5p ordinary Purchase 120 44.9924 GBP
5p ordinary Purchase 292 44.9542 GBP
5p ordinary Purchase 335 45.1274 GBP
5p ordinary Purchase 440 44.9800 GBP
5p ordinary Purchase 503 44.8771 GBP
5p ordinary Purchase 505 44.9686 GBP
5p ordinary Purchase 845 44.9948 GBP
5p ordinary Purchase 1,090 44.9631 GBP
5p ordinary Purchase 1,140 45.2188 GBP
5p ordinary Purchase 1,147 45.0411 GBP
5p ordinary Purchase 1,708 45.1174 GBP
5p ordinary Purchase 3,909 44.9398 GBP
5p ordinary Purchase 4,574 44.9789 GBP
5p ordinary Purchase 7,082 45.3250 GBP
5p ordinary Purchase 14,257 45.0161 GBP
5p ordinary Purchase 16,733 45.0011 GBP
5p ordinary Purchase 19,313 45.2660 GBP
5p ordinary Purchase 27,667 44.9988 GBP
5p ordinary Purchase 28,386 44.9651 GBP
5p ordinary Purchase 30,728 45.0044 GBP
5p ordinary Purchase 36,289 45.3241 GBP
5p ordinary Purchase 52,948 45.0450 GBP
5p ordinary Sale 7 45.0406 GBP
5p ordinary Sale 10 44.9660 GBP
5p ordinary Sale 12 44.9675 GBP
5p ordinary Sale 26 44.9877 GBP
5p ordinary Sale 41 44.9900 GBP
5p ordinary Sale 67 45.0300 GBP
5p ordinary Sale 69 45.1500 GBP
5p ordinary Sale 107 45.0000 GBP
5p ordinary Sale 159 44.9950 GBP
5p ordinary Sale 267 44.9718 GBP
5p ordinary Sale 284 45.0597 GBP
5p ordinary Sale 430 45.0187 GBP
5p ordinary Sale 475 45.0535 GBP
5p ordinary Sale 626 45.0894 GBP
5p ordinary Sale 645 45.1679 GBP
5p ordinary Sale 689 45.0784 GBP
5p ordinary Sale 770 44.9791 GBP
5p ordinary Sale 1,140 45.2188 GBP
5p ordinary Sale 1,147 45.0411 GBP
5p ordinary Sale 2,737 45.1102 GBP
5p ordinary Sale 3,362 45.0401 GBP
5p ordinary Sale 3,788 45.3250 GBP
5p ordinary Sale 4,574 44.9789 GBP
5p ordinary Sale 5,600 45.0705 GBP
5p ordinary Sale 5,708 45.3099 GBP
5p ordinary Sale 16,581 45.0031 GBP
5p ordinary Sale 17,006 45.3226 GBP
5p ordinary Sale 17,273 44.9257 GBP
5p ordinary Sale 26,156 45.0312 GBP
5p ordinary Sale 46,252 45.0174 GBP
5p ordinary Sale 86,752 45.0043 GBP
5p ordinary Sale 123,236 45.2150 GBP
ADR Purchase 1 178.7400 USD
ADR Purchase 3 177.9300 USD
ADR Purchase 100 178.7200 USD
ADR Purchase 100 178.5700 USD
ADR Purchase 100 177.8100 USD
ADR Purchase 200 177.6400 USD
ADR Purchase 300 178.6000 USD
ADR Purchase 300 180.1983 USD
ADR Purchase 375 178.5800 USD
ADR Purchase 568 177.8927 USD
ADR Purchase 1,100 178.9986 USD
ADR Purchase 1,758 178.6203 USD
ADR Purchase 4,400 178.4572 USD
ADR Purchase 4,600 178.5651 USD
ADR Purchase 10,000 179.4630 USD
ADR Sale 1 178.7400 USD
ADR Sale 3 177.9300 USD
ADR Sale 100 178.9400 USD
ADR Sale 200 177.6400 USD
ADR Sale 300 178.6150 USD
ADR Sale 400 177.8100 USD
ADR Sale 500 178.8900 USD
ADR Sale 633 178.5800 USD
ADR Sale 800 178.4687 USD
ADR Sale 868 178.7483 USD
ADR Sale 2,000 178.6250 USD
ADR Sale 3,800 178.5853 USD
ADR Sale 4,400 178.5652 USD
ADR Sale 10,000 179.4630 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 7 45.0406 GBP
5p ordinary SWAP Long 10 44.9655 GBP
5p ordinary SWAP Long 12 44.9677 GBP
5p ordinary SWAP Long 26 44.9877 GBP
5p ordinary SWAP Long 100 44.9946 GBP
5p ordinary SWAP Long 284 45.0597 GBP
5p ordinary CFD Long 626 45.0894 GBP
5p ordinary SWAP Long 675 45.1748 GBP
5p ordinary SWAP Long 689 45.0784 GBP
5p ordinary CFD Long 2,737 45.1102 GBP
5p ordinary CFD Long 3,362 45.0401 GBP
5p ordinary SWAP Long 5,600 45.0705 GBP
5p ordinary CFD Long 6,863 45.3213 GBP
5p ordinary SWAP Long 10,305 45.3250 GBP
5p ordinary SWAP Long 32,874 45.0285 GBP
5p ordinary SWAP Long 62,941 45.1436 GBP
5p ordinary CFD Short 13 45.1276 GBP
5p ordinary CFD Short 292 44.9542 GBP
5p ordinary CFD Short 322 45.1274 GBP
5p ordinary SWAP Short 644 44.8009 GBP
5p ordinary CFD Short 733 45.1637 GBP
5p ordinary CFD Short 902 44.9645 GBP
5p ordinary CFD Short 975 45.0825 GBP
5p ordinary CFD Short 1,090 44.9631 GBP
5p ordinary SWAP Short 2,002 45.3176 GBP
5p ordinary CFD Short 3,909 44.9398 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: 20 Sep 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 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 Put Options Written 125,000 3600.0000 American 21 Dec 2018
ADR Call Options Purchased 100 220.0000 American 18 Jan 2019
ADR Call Options Purchased 100 160.0000 American 19 Oct 2018
ADR Call Options Purchased 100 105.0000 American 18 Jan 2019
ADR Call Options Purchased 100 140.0000 American 18 Jan 2019
ADR Call Options Purchased 100 110.0000 American 17 Jan 2020
ADR Call Options Purchased 200 130.0000 American 17 Jan 2020
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 Purchased 200 160.0000 American 17 Jan 2020
ADR Call Options Purchased 200 135.0000 American 17 Jan 2020
ADR Call Options Purchased 200 155.0000 American 17 Jan 2020
ADR Call Options Purchased 300 175.0000 American 18 Jan 2019
ADR Call Options Purchased 300 115.0000 American 18 Jan 2019
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 500 130.0000 American 19 Oct 2018
ADR Call Options Purchased 500 125.0000 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 1,000 170.0000 American 17 Jan 2020
ADR Call Options Purchased 1,000 180.0000 American 17 Jan 2020
ADR Call Options Purchased 1,000 135.0000 American 18 Jan 2019
ADR Call Options Purchased 1,200 170.0000 American 18 Jan 2019
ADR Call Options Purchased 1,200 165.0000 American 19 Oct 2018
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 2,300 185.0000 American 18 Jan 2019
ADR Call Options Purchased 2,400 170.0000 American 19 Oct 2018
ADR Call Options Purchased 3,100 155.0000 American 18 Jan 2019
ADR Call Options Purchased 3,700 185.0000 American 19 Oct 2018
ADR Call Options Purchased 4,500 200.0000 American 18 Jan 2019
ADR Call Options Purchased 5,000 195.0000 American 19 Oct 2018
ADR Call Options Written -10,300 180.0000 American 18 Jan 2019
ADR Call Options Written -6,000 200.0000 American 17 Jan 2020
ADR Call Options Written -4,100 180.0000 American 19 Oct 2018
ADR Call Options Written -2,700 145.0000 American 18 Jan 2019
ADR Call Options Written -1,100 210.0000 American 19 Oct 2018
ADR Call Options Written -1,000 85.0000 American 18 Jan 2019
ADR Call Options Written -900 175.0000 American 19 Oct 2018
ADR Call Options Written -800 160.0000 American 19 Oct 2018
ADR Call Options Written -500 160.0000 American 18 Apr 2019
ADR Call Options Written -100 145.0000 American 19 Oct 2018
ADR Call Options Written -100 130.0000 American 18 Jan 2019
ADR Call Options Written -100 140.0000 American 17 Jan 2020
ADR Call Options Written -100 173.0000 American 21 Sep 2018
ADR Call Options Written -100 173.0000 American 12 Oct 2018
ADR Put Options Purchased -44,000 145.0000 American 19 Oct 2018
ADR Put Options Purchased -8,900 135.0000 American 18 Jan 2019
ADR Put Options Purchased -8,600 170.0000 American 19 Oct 2018
ADR Put Options Purchased -6,600 165.0000 American 19 Oct 2018
ADR Put Options Purchased -5,800 180.0000 American 18 Jan 2019
ADR Put Options Purchased -4,600 155.0000 American 18 Jan 2019
ADR Put Options Purchased -3,700 145.0000 American 17 Jan 2020
ADR Put Options Purchased -2,700 80.0000 American 18 Jan 2019
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 -2,100 160.0000 American 18 Jan 2019
ADR Put Options Purchased -2,000 175.0000 American 19 Oct 2018
ADR Put Options Purchased -1,800 115.0000 American 18 Jan 2019
ADR Put Options Purchased -1,500 165.0000 American 18 Jan 2019
ADR Put Options Purchased -1,200 135.0000 American 17 Jan 2020
ADR Put Options Purchased -1,100 150.0000 American 19 Oct 2018
ADR Put Options Purchased -1,000 140.0000 American 18 Jan 2019
ADR Put Options Purchased -1,000 170.0000 American 17 Jan 2020
ADR Put Options Purchased -1,000 105.0000 American 18 Jan 2019
ADR Put Options Purchased -1,000 80.0000 American 17 Jan 2020
ADR Put Options Purchased -1,000 150.0000 American 18 Jan 2019
ADR Put Options Purchased -800 150.0000 American 17 Jan 2020
ADR Put Options Purchased -700 160.0000 American 17 Jan 2020
ADR Put Options Purchased -500 155.0000 American 19 Oct 2018
ADR Put Options Purchased -500 140.0000 American 17 Jan 2020
ADR Put Options Purchased -400 145.0000 American 18 Jan 2019
ADR Put Options Purchased -400 165.0000 American 17 Jan 2020
ADR Put Options Purchased -200 170.0000 American 18 Jan 2019
ADR Put Options Purchased -200 115.0000 American 19 Oct 2018
ADR Put Options Written 100 110.0000 American 18 Jan 2019
ADR Put Options Written 100 140.0000 American 19 Oct 2018
ADR Put Options Written 100 110.0000 American 17 Jan 2020
ADR Put Options Written 100 75.0000 American 19 Oct 2018
ADR Put Options Written 100 95.0000 American 18 Jan 2019
ADR Put Options Written 200 100.0000 American 18 Jan 2019
ADR Put Options Written 200 200.0000 American 17 Jan 2020
ADR Put Options Written 200 70.0000 American 19 Oct 2018
ADR Put Options Written 200 125.0000 American 19 Oct 2018
ADR Put Options Written 500 125.0000 American 18 Jan 2019
ADR Put Options Written 1,000 155.0000 American 5 Oct 2018
ADR Put Options Written 1,000 160.0000 American 21 Sep 2018
ADR Put Options Written 1,000 90.0000 American 18 Jan 2019
ADR Put Options Written 2,300 130.0000 American 18 Jan 2019
ADR Put Options Written 5,300 120.0000 American 18 Jan 2019
ADR Put Options Written 10,000 160.0000 American 19 Jul 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/20180920005495/en/

Copyright Business Wire 2018


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