19th Sep 2018 13:51
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
| 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: | 18 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: | 5,203,058 | 0.57% | 1,727,149 | 0.19% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 348,784 | 0.04% | 3,303,880 | 0.36% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 182,700 | 0.02% | 261,000 | 0.03% | |||||||
| TOTAL: | 5,734,542 | 0.63% | 5,292,029 | 0.58% | |||||||
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 | 65 | 44.9900 GBP | ||||
| 5p ordinary | Purchase | 65 | 44.9850 GBP | ||||
| 5p ordinary | Purchase | 67 | 44.8950 GBP | ||||
| 5p ordinary | Purchase | 91 | 44.8679 GBP | ||||
| 5p ordinary | Purchase | 155 | 44.7728 GBP | ||||
| 5p ordinary | Purchase | 179 | 44.7725 GBP | ||||
| 5p ordinary | Purchase | 303 | 44.8587 GBP | ||||
| 5p ordinary | Purchase | 400 | 44.6850 GBP | ||||
| 5p ordinary | Purchase | 530 | 44.8850 GBP | ||||
| 5p ordinary | Purchase | 705 | 44.9323 GBP | ||||
| 5p ordinary | Purchase | 2,218 | 44.9289 GBP | ||||
| 5p ordinary | Purchase | 2,452 | 44.5976 GBP | ||||
| 5p ordinary | Purchase | 3,023 | 44.8363 GBP | ||||
| 5p ordinary | Purchase | 9,924 | 44.8915 GBP | ||||
| 5p ordinary | Purchase | 10,780 | 44.8762 GBP | ||||
| 5p ordinary | Purchase | 12,000 | 44.8445 GBP | ||||
| 5p ordinary | Purchase | 36,124 | 44.8800 GBP | ||||
| 5p ordinary | Purchase | 64,744 | 44.8632 GBP | ||||
| 5p ordinary | Sale | 67 | 44.8950 GBP | ||||
| 5p ordinary | Sale | 96 | 44.3250 GBP | ||||
| 5p ordinary | Sale | 116 | 44.8373 GBP | ||||
| 5p ordinary | Sale | 170 | 44.8864 GBP | ||||
| 5p ordinary | Sale | 191 | 44.6583 GBP | ||||
| 5p ordinary | Sale | 310 | 44.7135 GBP | ||||
| 5p ordinary | Sale | 834 | 44.6822 GBP | ||||
| 5p ordinary | Sale | 2,111 | 44.8861 GBP | ||||
| 5p ordinary | Sale | 2,218 | 44.9289 GBP | ||||
| 5p ordinary | Sale | 2,397 | 44.9792 GBP | ||||
| 5p ordinary | Sale | 2,536 | 44.8153 GBP | ||||
| 5p ordinary | Sale | 4,124 | 44.8019 GBP | ||||
| 5p ordinary | Sale | 4,662 | 44.8289 GBP | ||||
| 5p ordinary | Sale | 7,091 | 44.8569 GBP | ||||
| 5p ordinary | Sale | 9,924 | 44.8915 GBP | ||||
| 5p ordinary | Sale | 10,632 | 44.8794 GBP | ||||
| 5p ordinary | Sale | 15,930 | 44.8473 GBP | ||||
| 5p ordinary | Sale | 21,670 | 44.8617 GBP | ||||
| 5p ordinary | Sale | 22,032 | 44.8800 GBP | ||||
| 5p ordinary | Sale | 24,380 | 44.8641 GBP | ||||
| 5p ordinary | Sale | 27,221 | 44.8459 GBP | ||||
| 5p ordinary | Sale | 31,910 | 44.8616 GBP | ||||
| 5p ordinary | Sale | 35,994 | 44.8820 GBP | ||||
| ADR | Purchase | 200 | 178.0500 USD | ||||
| ADR | Purchase | 270 | 176.8003 USD | ||||
| ADR | Purchase | 400 | 176.9375 USD | ||||
| ADR | Purchase | 1,094 | 178.1028 USD | ||||
| ADR | Purchase | 1,114 | 178.1500 USD | ||||
| ADR | Purchase | 2,100 | 178.1083 USD | ||||
| ADR | Purchase | 2,900 | 177.7856 USD | ||||
| ADR | Purchase | 5,000 | 177.9212 USD | ||||
| ADR | Purchase | 7,882 | 177.1288 USD | ||||
| ADR | Purchase | 10,000 | 177.5784 USD | ||||
| ADR | Sale | 70 | 177.6300 USD | ||||
| ADR | Sale | 100 | 178.0000 USD | ||||
| ADR | Sale | 200 | 177.6100 USD | ||||
| ADR | Sale | 200 | 177.3250 USD | ||||
| ADR | Sale | 400 | 176.5300 USD | ||||
| ADR | Sale | 411 | 177.2131 USD | ||||
| ADR | Sale | 600 | 177.7275 USD | ||||
| ADR | Sale | 1,094 | 178.1028 USD | ||||
| ADR | Sale | 1,114 | 178.1500 USD | ||||
| ADR | Sale | 1,208 | 177.1271 USD | ||||
| ADR | Sale | 2,200 | 177.7313 USD | ||||
| ADR | Sale | 2,800 | 178.0703 USD | ||||
| ADR | Sale | 4,400 | 177.9476 USD | ||||
| ADR | Sale | 6,363 | 177.1390 USD | ||||
| ADR | Sale | 10,000 | 177.5784 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 | 15 | 44.7153 GBP | |||||
| 5p ordinary | SWAP | Long | 47 | 44.8044 GBP | |||||
| 5p ordinary | CFD | Long | 116 | 44.8373 GBP | |||||
| 5p ordinary | CFD | Long | 1,226 | 44.8908 GBP | |||||
| 5p ordinary | CFD | Long | 2,397 | 44.9792 GBP | |||||
| 5p ordinary | CFD | Long | 4,124 | 44.8019 GBP | |||||
| 5p ordinary | SWAP | Long | 5,942 | 44.8214 GBP | |||||
| 5p ordinary | SWAP | Long | 21,540 | 44.8679 GBP | |||||
| 5p ordinary | SWAP | Long | 29,700 | 44.8518 GBP | |||||
| 5p ordinary | CFD | Long | 31,910 | 44.8616 GBP | |||||
| 5p ordinary | CFD | Short | 12 | 44.8583 GBP | |||||
| 5p ordinary | CFD | Short | 291 | 44.8587 GBP | |||||
| 5p ordinary | SWAP | Short | 327 | 44.9258 GBP | |||||
| 5p ordinary | CFD | Short | 463 | 44.6459 GBP | |||||
| 5p ordinary | CFD | Short | 705 | 44.9323 GBP | |||||
| 5p ordinary | SWAP | Short | 8,626 | 44.8792 GBP | |||||
| 5p ordinary | SWAP | Short | 12,101 | 44.8300 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 | 160 USD | American | 19 Oct 2018 | 18.0500 USD | ||||||||
| ADR | Call Options | Selling | 100 | 165 USD | American | 19 Oct 2018 | 13.4500 USD | ||||||||
| ADR | Call Options | Selling | 300 | 180 USD | American | 18 Jan 2019 | 8.6000 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: | 19 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 | 110.0000 | American | 17 Jan 2020 | |||||||
| 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 | 200 | 120.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 200 | 210.0000 | American | 18 Jan 2019 | |||||||
| 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 | 160.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 300 | 115.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 300 | 175.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 400 | 230.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 500 | 125.0000 | 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 | 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 | 145.0000 | American | 19 Oct 2018 | |||||||
| 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 | 130.0000 | American | 18 Jan 2019 | |||||||
| 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 | 150.0000 | American | 18 Jan 2019 | |||||||
| 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 | 170.0000 | American | 17 Jan 2020 | |||||||
| 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 | 165.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -400 | 145.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -200 | 115.0000 | American | 19 Oct 2018 | |||||||
| ADR | Put Options | Purchased | -200 | 170.0000 | American | 18 Jan 2019 | |||||||
| 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 | 110.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 95.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 140.0000 | American | 19 Oct 2018 | |||||||
| 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/20180919005417/en/
Copyright Business Wire 2018
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