31st Dec 2018 12:41
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: | 28 December 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: | 7,180,808 | 0.78% | 523,088 | 0.06% | |||||||
(2) | Cash-settled derivatives: | ||||||||||
317,685 | 0.03% | 5,650,377 | 0.62% | ||||||||
(3) | Stock-settled derivatives (including options) | ||||||||||
and agreements to purchase/sell: | 747,000 | 0.08% | 560,900 | 0.06% | |||||||
(4) | |||||||||||
TOTAL: | 8,245,493 | 0.90% | 6,734,365 | 0.73% |
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 | 620 | 45.9000 GBP | ||||
5p ordinary | Purchase | 14,727 | 45.5500 GBP | ||||
5p ordinary | Sale | 612 | 45.3600 GBP | ||||
5p ordinary | Sale | 10,106 | 45.1500 GBP | ||||
ADR | Purchase | 2 | 173.1000 USD | ||||
ADR | Purchase | 14 | 173.2200 USD | ||||
ADR | Purchase | 25 | 173.0200 USD | ||||
ADR | Purchase | 26 | 172.7100 USD | ||||
ADR | Purchase | 71 | 173.3733 USD | ||||
ADR | Purchase | 100 | 172.9800 USD | ||||
ADR | Purchase | 100 | 172.8900 USD | ||||
ADR | Purchase | 100 | 173.4200 USD | ||||
ADR | Purchase | 100 | 173.4000 USD | ||||
ADR | Purchase | 100 | 173.2850 USD | ||||
ADR | Purchase | 100 | 173.2300 USD | ||||
ADR | Purchase | 100 | 173.1350 USD | ||||
ADR | Purchase | 100 | 173.1200 USD | ||||
ADR | Purchase | 100 | 173.1100 USD | ||||
ADR | Purchase | 141 | 173.3000 USD | ||||
ADR | Purchase | 200 | 173.1700 USD | ||||
ADR | Purchase | 200 | 172.9300 USD | ||||
ADR | Purchase | 200 | 173.1399 USD | ||||
ADR | Purchase | 200 | 172.9750 USD | ||||
ADR | Purchase | 240 | 173.1483 USD | ||||
ADR | Purchase | 300 | 172.9966 USD | ||||
ADR | Purchase | 300 | 172.9933 USD | ||||
ADR | Purchase | 400 | 172.7825 USD | ||||
ADR | Purchase | 400 | 173.3525 USD | ||||
ADR | Purchase | 400 | 172.8050 USD | ||||
ADR | Purchase | 409 | 172.9934 USD | ||||
ADR | Purchase | 588 | 173.2752 USD | ||||
ADR | Purchase | 600 | 173.1108 USD | ||||
ADR | Purchase | 604 | 173.1472 USD | ||||
ADR | Purchase | 700 | 172.9714 USD | ||||
ADR | Purchase | 700 | 173.0985 USD | ||||
ADR | Purchase | 700 | 173.1714 USD | ||||
ADR | Purchase | 800 | 173.2493 USD | ||||
ADR | Purchase | 1,000 | 173.9000 USD | ||||
ADR | Purchase | 1,186 | 173.1264 USD | ||||
ADR | Purchase | 1,200 | 172.9058 USD | ||||
ADR | Purchase | 1,900 | 172.9889 USD | ||||
ADR | Purchase | 2,900 | 173.0920 USD | ||||
ADR | Purchase | 3,100 | 172.9938 USD | ||||
ADR | Purchase | 3,100 | 173.0477 USD | ||||
ADR | Purchase | 3,237 | 172.8571 USD | ||||
ADR | Purchase | 3,279 | 173.0000 USD | ||||
ADR | Purchase | 3,790 | 172.9963 USD | ||||
ADR | Purchase | 3,963 | 172.9351 USD | ||||
ADR | Purchase | 5,000 | 173.1185 USD | ||||
ADR | Purchase | 6,560 | 172.9982 USD | ||||
ADR | Purchase | 8,000 | 173.0035 USD | ||||
ADR | Purchase | 8,190 | 172.9990 USD | ||||
ADR | Purchase | 14,000 | 172.9882 USD | ||||
ADR | Purchase | 15,902 | 172.9993 USD | ||||
ADR | Sale | 26 | 172.7100 USD | ||||
ADR | Sale | 100 | 173.0600 USD | ||||
ADR | Sale | 100 | 172.9500 USD | ||||
ADR | Sale | 100 | 172.8700 USD | ||||
ADR | Sale | 167 | 173.0100 USD | ||||
ADR | Sale | 200 | 173.1700 USD | ||||
ADR | Sale | 200 | 173.1500 USD | ||||
ADR | Sale | 249 | 172.7127 USD | ||||
ADR | Sale | 268 | 173.2738 USD | ||||
ADR | Sale | 300 | 173.3300 USD | ||||
ADR | Sale | 320 | 173.2762 USD | ||||
ADR | Sale | 321 | 172.8480 USD | ||||
ADR | Sale | 400 | 172.9750 USD | ||||
ADR | Sale | 556 | 173.0683 USD | ||||
ADR | Sale | 603 | 173.0366 USD | ||||
ADR | Sale | 700 | 172.9714 USD | ||||
ADR | Sale | 747 | 173.1909 USD | ||||
ADR | Sale | 900 | 173.1133 USD | ||||
ADR | Sale | 1,000 | 173.1335 USD | ||||
ADR | Sale | 1,000 | 173.9000 USD | ||||
ADR | Sale | 1,642 | 173.2721 USD | ||||
ADR | Sale | 1,700 | 173.1353 USD | ||||
ADR | Sale | 2,500 | 173.1185 USD | ||||
ADR | Sale | 2,567 | 172.8718 USD | ||||
ADR | Sale | 3,100 | 173.0477 USD | ||||
ADR | Sale | 3,200 | 173.0162 USD | ||||
ADR | Sale | 9,899 | 173.0000 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 | 10,106 | 45.1479 GBP | |||||
5p ordinary | SWAP | Short | 620 | 45.9000 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 | Put Options | Purchasing | 5,000 | 145 USD | American | 18 Jan 2019 | 0.1500 USD | ||||||||
ADR | Put Options | Purchasing | 100 | 170 USD | American | 4 Jan 2019 | 1.1000 USD | ||||||||
ADR | Put Options | Selling | 500 | 160 USD | American | 4 Jan 2019 | 1.0000 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: | 31 Dec 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 | |||||||||||||
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 | 155.0000 | American | 15 Jan 2021 | |||||||
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 | 100 | 173.0000 | American | 18 Jan 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 | 200 | 160.0000 | 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 | 155.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 200 | 135.0000 | 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 | 180.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 500 | 150.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 600 | 173.0000 | American | 28 Dec 2018 | |||||||
ADR | Call Options | Purchased | 700 | 175.0000 | American | 28 Dec 2018 | |||||||
ADR | Call Options | Purchased | 900 | 195.0000 | American | 18 Apr 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 | 1,000 | 190.0000 | American | 11 Jan 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 180.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 1,000 | 175.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 135.0000 | American | 18 Jan 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 | 3,600 | 175.0000 | American | 18 Apr 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 | 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 | -700 | 163.0000 | American | 28 Dec 2018 | |||||||
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 | 150.0000 | American | 18 Apr 2019 | |||||||
ADR | Put Options | Purchased | -257,200 | 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 | 75.0000 | 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 | Written | 100 | 110.0000 | American | 18 Jan 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 | 200 | 200.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Written | 200 | 100.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Written | 500 | 160.0000 | American | 4 Jan 2019 | |||||||
ADR | Put Options | Written | 1,000 | 147.0000 | American | 28 Dec 2018 | |||||||
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 | 19,900 | 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 | 275,400 | 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/20181231005064/en/
Copyright Business Wire 2018
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