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Form 8.3 - SHIRE PLC

26th Sep 2018 15:30

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: 25 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: 3,917,852 0.43% 1,143,568 0.13%
(2) Cash-settled derivatives:
233,661 0.03% 3,052,738 0.33%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 200,000 0.02% 260,400 0.03%
TOTAL: 4,351,513 0.48% 4,456,706 0.49%

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 4 45.4100 GBP
5p ordinary Purchase 4 45.2950 GBP
5p ordinary Purchase 4 45.2150 GBP
5p ordinary Purchase 9 45.2400 GBP
5p ordinary Purchase 27 45.3300 GBP
5p ordinary Purchase 48 45.2800 GBP
5p ordinary Purchase 54 45.2550 GBP
5p ordinary Purchase 63 45.2700 GBP
5p ordinary Purchase 66 45.3250 GBP
5p ordinary Purchase 80 45.2300 GBP
5p ordinary Purchase 80 45.3275 GBP
5p ordinary Purchase 86 45.2815 GBP
5p ordinary Purchase 160 45.2660 GBP
5p ordinary Purchase 219 45.2200 GBP
5p ordinary Purchase 266 45.2922 GBP
5p ordinary Purchase 332 45.3246 GBP
5p ordinary Purchase 453 45.2644 GBP
5p ordinary Purchase 699 45.3227 GBP
5p ordinary Purchase 813 45.2031 GBP
5p ordinary Purchase 860 45.3325 GBP
5p ordinary Purchase 891 45.3307 GBP
5p ordinary Purchase 1,029 45.2674 GBP
5p ordinary Purchase 1,413 45.2640 GBP
5p ordinary Purchase 1,800 45.2716 GBP
5p ordinary Purchase 2,455 45.2912 GBP
5p ordinary Purchase 3,619 45.3555 GBP
5p ordinary Purchase 4,837 45.3377 GBP
5p ordinary Purchase 7,220 45.3092 GBP
5p ordinary Purchase 8,053 45.2553 GBP
5p ordinary Purchase 8,947 45.1529 GBP
5p ordinary Purchase 13,379 45.2650 GBP
5p ordinary Purchase 15,781 45.2917 GBP
5p ordinary Purchase 23,948 45.3095 GBP
5p ordinary Purchase 28,818 45.1550 GBP
5p ordinary Purchase 33,666 45.2599 GBP
5p ordinary Purchase 67,171 45.2217 GBP
5p ordinary Sale 4 45.4100 GBP
5p ordinary Sale 4 45.2950 GBP
5p ordinary Sale 4 45.2150 GBP
5p ordinary Sale 9 45.2400 GBP
5p ordinary Sale 27 45.3300 GBP
5p ordinary Sale 33 45.2200 GBP
5p ordinary Sale 54 45.2550 GBP
5p ordinary Sale 63 45.2700 GBP
5p ordinary Sale 66 45.3250 GBP
5p ordinary Sale 80 45.2300 GBP
5p ordinary Sale 133 45.0450 GBP
5p ordinary Sale 222 45.2613 GBP
5p ordinary Sale 288 45.2244 GBP
5p ordinary Sale 453 45.2644 GBP
5p ordinary Sale 565 45.3066 GBP
5p ordinary Sale 860 45.3325 GBP
5p ordinary Sale 891 45.3307 GBP
5p ordinary Sale 933 45.2601 GBP
5p ordinary Sale 3,257 45.2640 GBP
5p ordinary Sale 4,262 45.3518 GBP
5p ordinary Sale 6,315 45.2689 GBP
5p ordinary Sale 13,319 45.2857 GBP
5p ordinary Sale 18,827 45.2827 GBP
5p ordinary Sale 19,750 45.2650 GBP
5p ordinary Sale 32,787 45.1550 GBP
5p ordinary Sale 38,717 45.2543 GBP
5p ordinary Sale 44,515 45.2222 GBP
ADR Purchase 1 178.6800 USD
ADR Purchase 2 178.2000 USD
ADR Purchase 400 178.2993 USD
ADR Purchase 500 178.3240 USD
ADR Purchase 2,310 178.2500 USD
ADR Purchase 3,469 178.3790 USD
ADR Purchase 5,800 178.4666 USD
ADR Purchase 6,200 178.4558 USD
ADR Purchase 20,000 178.3464 USD
ADR Sale 1 178.6800 USD
ADR Sale 2 178.2000 USD
ADR Sale 24 178.2800 USD
ADR Sale 100 178.6300 USD
ADR Sale 200 178.2350 USD
ADR Sale 276 178.3742 USD
ADR Sale 400 178.3325 USD
ADR Sale 500 178.3240 USD
ADR Sale 700 178.1785 USD
ADR Sale 700 178.4271 USD
ADR Sale 900 178.4202 USD
ADR Sale 1,969 178.3604 USD
ADR Sale 2,310 178.2500 USD
ADR Sale 5,300 178.4618 USD
ADR Sale 5,500 178.4911 USD
ADR Sale 20,000 178.3464 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 27 45.3300 GBP
5p ordinary SWAP Long 196 45.1977 GBP
5p ordinary CFD Long 222 45.2613 GBP
5p ordinary SWAP Long 388 45.2751 GBP
5p ordinary SWAP Long 559 45.2447 GBP
5p ordinary CFD Long 1,130 45.2338 GBP
5p ordinary SWAP Long 1,527 45.3184 GBP
5p ordinary SWAP Long 2,110 45.2801 GBP
5p ordinary SWAP Long 4,339 45.2992 GBP
5p ordinary CFD Long 5,837 45.2265 GBP
5p ordinary SWAP Long 19,843 45.2873 GBP
5p ordinary CFD Long 44,515 45.2222 GBP
5p ordinary CFD Short 40 45.2675 GBP
5p ordinary SWAP Short 183 45.2854 GBP
5p ordinary CFD Short 989 45.2674 GBP
5p ordinary SWAP Short 2,153 45.2790 GBP
5p ordinary CFD Short 2,455 45.2912 GBP
5p ordinary CFD Short 8,053 45.2553 GBP
5p ordinary SWAP Short 11,117 45.2044 GBP
5p ordinary CFD Short 14,809 45.1586 GBP
5p ordinary CFD Short 15,781 45.2917 GBP
5p ordinary SWAP Short 30,536 45.1550 GBP
5p ordinary SWAP Short 53,663 45.2942 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: 26 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 100 160.0000 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 100 220.0000 American 18 Jan 2019
ADR Call Options Purchased 100 110.0000 American 17 Jan 2020
ADR Call Options Purchased 200 210.0000 American 18 Jan 2019
ADR Call Options Purchased 200 130.0000 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 200 160.0000 American 17 Jan 2020
ADR Call Options Purchased 200 120.0000 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 500 130.0000 American 19 Oct 2018
ADR Call Options Purchased 500 150.0000 American 18 Jan 2019
ADR Call Options Purchased 500 165.0000 American 18 Jan 2019
ADR Call Options Purchased 500 195.0000 American 18 Jan 2019
ADR Call Options Purchased 500 125.0000 American 18 Jan 2019
ADR Call Options Purchased 1,000 170.0000 American 17 Jan 2020
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 1,200 170.0000 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 -100 173.0000 American 12 Oct 2018
ADR Call Options Written -100 130.0000 American 18 Jan 2019
ADR Call Options Written -100 145.0000 American 19 Oct 2018
ADR Call Options Written -100 140.0000 American 17 Jan 2020
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 80.0000 American 17 Jan 2020
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 -1,000 150.0000 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 -500 140.0000 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 75.0000 American 19 Oct 2018
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 95.0000 American 18 Jan 2019
ADR Put Options Written 100 110.0000 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 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
ADR Put Options Written 18,300 155.0000 American 19 Oct 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/20180926005636/en/

Copyright Business Wire 2018


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