2nd Jan 2019 12:17
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 interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named. | ||
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | SHIRE PLC | |
(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: For an opening position disclosure, state the latest practicable date prior to the disclosure | 31 DEC 2018 | |
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state “N/A” | YES 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: | 6,722,754 | 0.73% | 1,086,957 | 0.12% | |||||||
(2) | Cash-settled derivatives: | ||||||||||
317,685 | 0.03% | 4,681,948 | 0.51% | ||||||||
(3) | Stock-settled derivatives (including options) | ||||||||||
and agreements to purchase/sell: | 733,700 | 0.08% | 467,800 | 0.05% | |||||||
(4) | |||||||||||
TOTAL: | 7,774,139 | 0.85% | 6,236,705 | 0.68% |
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 | 3,278 | 45.7036 GBP | ||||||
5p ordinary | Purchase | 15,177 | 45.7091 GBP | ||||||
5p ordinary | Purchase | 26,480 | 45.7000 GBP | ||||||
5p ordinary | Sale | 194 | 45.0000 GBP | ||||||
5p ordinary | Sale | 358 | 45.6958 GBP | ||||||
5p ordinary | Sale | 2,818 | 45.7000 GBP | ||||||
5p ordinary | Sale | 25,000 | 45.7548 GBP | ||||||
5p ordinary | Sale | 806,832 | 45.6000 GBP | ||||||
ADR | Purchase | 1 | 174.1000 USD | ||||||
ADR | Purchase | 3 | 173.9800 USD | ||||||
ADR | Purchase | 92 | 174.1700 USD | ||||||
ADR | Purchase | 100 | 173.9900 USD | ||||||
ADR | Purchase | 100 | 173.6300 USD | ||||||
ADR | Purchase | 100 | 174.0000 USD | ||||||
ADR | Purchase | 100 | 174.1500 USD | ||||||
ADR | Purchase | 100 | 174.0490 USD | ||||||
ADR | Purchase | 187 | 174.0977 USD | ||||||
ADR | Purchase | 200 | 174.0250 USD | ||||||
ADR | Purchase | 200 | 174.0550 USD | ||||||
ADR | Purchase | 300 | 173.7233 USD | ||||||
ADR | Purchase | 300 | 174.0666 USD | ||||||
ADR | Purchase | 600 | 173.9865 USD | ||||||
ADR | Purchase | 675 | 174.0400 USD | ||||||
ADR | Purchase | 1,000 | 173.5000 USD | ||||||
ADR | Purchase | 1,700 | 174.0429 USD | ||||||
ADR | Purchase | 2,600 | 173.9140 USD | ||||||
ADR | Purchase | 2,800 | 173.8312 USD | ||||||
ADR | Sale | 3 | 173.9800 USD | ||||||
ADR | Sale | 25 | 174.0100 USD | ||||||
ADR | Sale | 75 | 174.0000 USD | ||||||
ADR | Sale | 92 | 174.1700 USD | ||||||
ADR | Sale | 100 | 173.7800 USD | ||||||
ADR | Sale | 100 | 173.7200 USD | ||||||
ADR | Sale | 100 | 173.5500 USD | ||||||
ADR | Sale | 100 | 174.2500 USD | ||||||
ADR | Sale | 100 | 174.0800 USD | ||||||
ADR | Sale | 100 | 174.0300 USD | ||||||
ADR | Sale | 100 | 173.8800 USD | ||||||
ADR | Sale | 190 | 174.0894 USD | ||||||
ADR | Sale | 200 | 174.0250 USD | ||||||
ADR | Sale | 200 | 173.9050 USD | ||||||
ADR | Sale | 200 | 173.9000 USD | ||||||
ADR | Sale | 200 | 174.2650 USD | ||||||
ADR | Sale | 200 | 173.5700 USD | ||||||
ADR | Sale | 210 | 174.1142 USD | ||||||
ADR | Sale | 300 | 174.0666 USD | ||||||
ADR | Sale | 300 | 173.7833 USD | ||||||
ADR | Sale | 500 | 173.9640 USD | ||||||
ADR | Sale | 500 | 174.0340 USD | ||||||
ADR | Sale | 675 | 174.0400 USD | ||||||
ADR | Sale | 1,000 | 173.9375 USD | ||||||
ADR | Sale | 1,000 | 173.5000 USD | ||||||
ADR | Sale | 1,100 | 174.0636 USD | ||||||
ADR | Sale | 1,288 | 173.9870 USD | ||||||
ADR | Sale | 1,400 | 173.7307 USD | ||||||
ADR | Sale | 2,300 | 173.7871 USD | ||||||
ADR | Sale | 2,600 | 173.9140 USD | ||||||
ADR | Sale | 17,034 | 173.9133 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 | 194 | 45.0000 GBP | |||||
5p ordinary | CFD | Long | 358 | 45.6958 GBP | |||||
5p ordinary | SWAP | Long | 1,480 | 45.6979 GBP | |||||
5p ordinary | SWAP | Long | 806,832 | 45.6000 GBP | |||||
5p ordinary | SWAP | Short | 1,480 | 45.7020 GBP | |||||
5p ordinary | CFD | Short | 3,278 | 45.7036 GBP | |||||
5p ordinary | CFD | Short | 15,177 | 45.7091 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 | 500 | 175 USD | American | 18 Apr 2019 | 6.5000 USD | ||||||||
ADR | Call Options | Purchasing | 1,100 | 190 USD | American | 15 Feb 2019 | 0.7500 USD | ||||||||
ADR | Put Options | Purchasing | 2,100 | 145 USD | American | 18 Jan 2019 | 0.1000 USD | ||||||||
ADR | Put Options | Purchasing | 10,000 | 145 USD | American | 18 Jan 2019 | 0.1250 USD | ||||||||
ADR | Put Options | Purchasing | 500 | 165 USD | American | 18 Jan 2019 | 0.7500 USD | ||||||||
ADR | Put Options | Purchasing | 100 | 165 USD | American | 15 Feb 2019 | 2.1000 USD | ||||||||
ADR | Put Options | Selling | 92,500 | 165 USD | American | 18 Jan 2019 | 0.7986 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: | 2 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 and must also be emailed to the Takeover Panel at [email protected]. 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
Full name of person making disclosure: | Barclays PLC. | |
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: | SHIRE PLC |
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 | 140.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 100 | 190.0000 | American | 4 Jan 2019 | |||||||
ADR | Call Options | Purchased | 100 | 173.0000 | American | 18 Jan 2019 | |||||||
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 | 195.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Purchased | 100 | 220.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 100 | 195.0000 | American | 15 Jan 2021 | |||||||
ADR | Call Options | Purchased | 100 | 105.0000 | American | 18 Jan 2019 | |||||||
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 | 120.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 200 | 160.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 200 | 155.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 200 | 130.0000 | American | 17 Jan 2020 | |||||||
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 | 400 | 170.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 500 | 180.0000 | American | 18 Apr 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 | 175.0000 | American | 19 Jul 2019 | |||||||
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 | 1,000 | 190.0000 | American | 11 Jan 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 170.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 185.0000 | 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 | 165.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 2,000 | 150.0000 | American | 17 Jan 2020 | |||||||
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 | 4,100 | 175.0000 | American | 18 Apr 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 | 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 | -4,200 | 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 | 170.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -800 | 155.0000 | American | 18 Apr 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 | 150.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Written | -100 | 140.0000 | American | 17 Jan 2020 | |||||||
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 | 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 | 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 | 195.0000 | American | 15 Jan 2021 | |||||||
ADR | Put Options | Purchased | -100 | 170.0000 | American | 4 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 | 110.0000 | American | 18 Jan 2019 | |||||||
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 | 200 | 100.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Written | 200 | 200.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Written | 500 | 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 | 0 Jan 1900 |
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/20190102005272/en/
Copyright Business Wire 2019
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