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REG-BARCLAYS PLC Form 8.3 - SHIRE PLC - Amendment

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Form 8.3 - SHIRE PLC - Amendment

FORM 8.3 - Amendment to Purchases and Sales

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: 22 August 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: 5,629,651 0.62% 3,531,686 0.39%
           
(2) Cash-settled derivatives:
232,019 0.03% 3,886,150 0.42%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 180,900 0.02% 251,900 0.03%
           
 
TOTAL: 6,042,570 0.66% 7,669,736 0.84%

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 7 44.3100 GBP
5p ordinary Purchase 21 44.2800 GBP
5p ordinary Purchase 56 44.2591 GBP
5p ordinary Purchase 93 44.3200 GBP
5p ordinary Purchase 94 44.3500 GBP
5p ordinary Purchase 100 44.3275 GBP
5p ordinary Purchase 102 44.3875 GBP
5p ordinary Purchase 112 44.2350 GBP
5p ordinary Purchase 117 44.3650 GBP
5p ordinary Purchase 117 44.2325 GBP
5p ordinary Purchase 117 44.3725 GBP
5p ordinary Purchase 117 44.3400 GBP
5p ordinary Purchase 117 44.3350 GBP
5p ordinary Purchase 117 44.3600 GBP
5p ordinary Purchase 126 44.3175 GBP
5p ordinary Purchase 130 44.2738 GBP
5p ordinary Purchase 147 44.2928 GBP
5p ordinary Purchase 165 44.3450 GBP
5p ordinary Purchase 201 44.3375 GBP
5p ordinary Purchase 234 44.2585 GBP
5p ordinary Purchase 710 44.2429 GBP
5p ordinary Purchase 758 44.2940 GBP
5p ordinary Purchase 1,913 44.2597 GBP
5p ordinary Purchase 2,093 44.2550 GBP
5p ordinary Purchase 2,572 44.3434 GBP
5p ordinary Purchase 2,732 44.2669 GBP
5p ordinary Purchase 2,770 44.2454 GBP
5p ordinary Purchase 3,145 44.2920 GBP
5p ordinary Purchase 3,636 44.2500 GBP
5p ordinary Purchase 17,686 44.2309 GBP
5p ordinary Purchase 20,032 44.2410 GBP
5p ordinary Purchase 69,000 44.2877 GBP
5p ordinary Purchase 103,232 44.2143 GBP
5p ordinary Sale 7 44.3100 GBP
5p ordinary Sale 92 44.2575 GBP
5p ordinary Sale 93 44.3200 GBP
5p ordinary Sale 94 44.3500 GBP
5p ordinary Sale 100 44.3275 GBP
5p ordinary Sale 102 44.3875 GBP
5p ordinary Sale 117 44.2325 GBP
5p ordinary Sale 117 44.3350 GBP
5p ordinary Sale 117 44.3400 GBP
5p ordinary Sale 117 44.3600 GBP
5p ordinary Sale 117 44.3650 GBP
5p ordinary Sale 117 44.3725 GBP
5p ordinary Sale 126 44.3175 GBP
5p ordinary Sale 201 44.3375 GBP
5p ordinary Sale 244 44.3095 GBP
5p ordinary Sale 249 44.1991 GBP
5p ordinary Sale 284 44.2350 GBP
5p ordinary Sale 587 44.1850 GBP
5p ordinary Sale 716 44.3279 GBP
5p ordinary Sale 1,117 44.2444 GBP
5p ordinary Sale 1,138 44.2709 GBP
5p ordinary Sale 1,521 44.2456 GBP
5p ordinary Sale 1,834 44.2603 GBP
5p ordinary Sale 1,841 44.2510 GBP
5p ordinary Sale 1,972 44.2454 GBP
5p ordinary Sale 2,236 44.2664 GBP
5p ordinary Sale 2,493 44.1906 GBP
5p ordinary Sale 2,503 44.2404 GBP
5p ordinary Sale 2,788 44.1869 GBP
5p ordinary Sale 7,594 44.2500 GBP
5p ordinary Sale 9,664 44.2181 GBP
5p ordinary Sale 14,126 44.3126 GBP
5p ordinary Sale 20,784 44.2080 GBP
5p ordinary Sale 21,894 44.3239 GBP
5p ordinary Sale 28,322 44.3063 GBP
ADR Purchase 52 171.8499 USD
ADR Purchase 100 171.3000 USD
ADR Purchase 160 171.7231 USD
ADR Purchase 168 172.0400 USD
ADR Purchase 200 171.5650 USD
ADR Purchase 200 171.4250 USD
ADR Purchase 446 171.9294 USD
ADR Purchase 627 171.8300 USD
ADR Purchase 700 171.6894 USD
ADR Purchase 1,889 171.4545 USD
ADR Purchase 2,400 171.7590 USD
ADR Purchase 3,100 171.6771 USD
ADR Purchase 3,440 171.6357 USD
ADR Purchase 4,760 171.8946 USD
ADR Sale 52 171.8499 USD
ADR Sale 60 171.7200 USD
ADR Sale 100 171.8400 USD
ADR Sale 100 171.4900 USD
ADR Sale 100 171.7250 USD
ADR Sale 200 171.8000 USD
ADR Sale 200 171.8600 USD
ADR Sale 200 171.4250 USD
ADR Sale 265 171.5432 USD
ADR Sale 268 172.0400 USD
ADR Sale 300 171.4733 USD
ADR Sale 306 172.0200 USD
ADR Sale 332 171.3540 USD
ADR Sale 392 171.5971 USD
ADR Sale 400 171.2300 USD
ADR Sale 500 171.4620 USD
ADR Sale 627 171.8300 USD
ADR Sale 800 171.6487 USD
ADR Sale 825 171.7395 USD
ADR Sale 1,200 171.4156 USD
ADR Sale 1,900 171.8423 USD
ADR Sale 2,100 171.8113 USD
ADR Sale 3,086 171.6515 USD
ADR Sale 4,029 171.8848 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 147 44.1848 GBP
5p ordinary SWAP Long 240 44.1850 GBP
5p ordinary SWAP Long 441 44.3243 GBP
5p ordinary SWAP Long 1,080 44.2220 GBP
5p ordinary CFD Long 1,138 44.2709 GBP
5p ordinary CFD Long 1,521 44.2456 GBP
5p ordinary SWAP Long 2,236 44.2664 GBP
5p ordinary CFD Long 2,602 44.2454 GBP
5p ordinary SWAP Long 2,602 44.2454 GBP
ADR SWAP Expires 24/08/2023 Long 3,700 153.8300 USD
5p ordinary SWAP Short 106 44.3050 GBP
5p ordinary CFD Short 758 44.2940 GBP
5p ordinary SWAP Short 1,558 44.2572 GBP
5p ordinary SWAP Short 1,800 44.2579 GBP
5p ordinary CFD Short 2,572 44.3434 GBP
5p ordinary CFD Short 3,145 44.2920 GBP
5p ordinary SWAP Short 12,669 44.1952 GBP
5p ordinary SWAP Short 15,596 44.2567 GBP
5p ordinary CFD Short 15,869 44.3393 GBP
5p ordinary SWAP Short 27,689 44.1850 GBP
5p ordinary SWAP Short 36,808 44.2105 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 Selling 1,000 160 USD American 21 Sep 2018 0.8000 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: 24 Aug 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
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 100 140.0000 American 18 Jan 2019
ADR Call Options Purchased 100 173.0000 American 24 Aug 2018
ADR Call Options Purchased 100 105.0000 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 200 130.0000 American 17 Jan 2020
ADR Call Options Purchased 200 135.0000 American 17 Jan 2020
ADR Call Options Purchased 200 160.0000 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 200 120.0000 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 500 150.0000 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 500 165.0000 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 1,300 165.0000 American 19 Oct 2018
ADR Call Options Purchased 1,600 170.0000 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 3,100 155.0000 American 18 Jan 2019
ADR Call Options Purchased 3,600 185.0000 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 -10,000 180.0000 American 18 Jan 2019
ADR Call Options Written -5,000 180.0000 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 -300 175.0000 American 7 Sep 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 -6,600 165.0000 American 19 Oct 2018
ADR Put Options Purchased -5,800 180.0000 American 18 Jan 2019
ADR Put Options Purchased -5,000 170.0000 American 19 Oct 2018
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 -1,000 105.0000 American 18 Jan 2019
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 -1,000 150.0000 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 -400 165.0000 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 Purchased -200 163.0000 American 24 Aug 2018
ADR Put Options Purchased -100 165.0000 American 24 Aug 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 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 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 200 125.0000 American 19 Oct 2018
ADR Put Options Written 200 70.0000 American 19 Oct 2018
ADR Put Options Written 500 125.0000 American 18 Jan 2019
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.

BARCLAYS PLC

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