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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 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: 23 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: 5,302,556 0.58% 3,504,431 0.38%
           
(2) Cash-settled derivatives:
228,310 0.02% 3,836,989 0.42%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 185,400 0.02% 251,900 0.03%
           
(4)
TOTAL: 5,716,266 0.63% 7,593,320 0.83%

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 19 44.2300 GBP
5p ordinary Purchase 29 44.3550 GBP
5p ordinary Purchase 33 44.3500 GBP
5p ordinary Purchase 73 44.3325 GBP
5p ordinary Purchase 73 44.2800 GBP
5p ordinary Purchase 87 44.2850 GBP
5p ordinary Purchase 125 44.1500 GBP
5p ordinary Purchase 146 44.3650 GBP
5p ordinary Purchase 154 44.3531 GBP
5p ordinary Purchase 157 44.3017 GBP
5p ordinary Purchase 345 44.3965 GBP
5p ordinary Purchase 503 44.3845 GBP
5p ordinary Purchase 1,051 44.3156 GBP
5p ordinary Purchase 1,102 44.1620 GBP
5p ordinary Purchase 1,794 44.3667 GBP
5p ordinary Purchase 2,431 44.3928 GBP
5p ordinary Purchase 2,762 44.2230 GBP
5p ordinary Purchase 2,978 44.3903 GBP
5p ordinary Purchase 3,259 44.3477 GBP
5p ordinary Purchase 19,478 44.2358 GBP
5p ordinary Purchase 28,796 44.3689 GBP
5p ordinary Purchase 69,161 44.3304 GBP
5p ordinary Purchase 104,222 44.3524 GBP
5p ordinary Sale 73 44.2800 GBP
5p ordinary Sale 73 44.3325 GBP
5p ordinary Sale 198 44.3625 GBP
5p ordinary Sale 577 44.3460 GBP
5p ordinary Sale 595 44.3602 GBP
5p ordinary Sale 749 44.3534 GBP
5p ordinary Sale 767 44.3889 GBP
5p ordinary Sale 788 44.2973 GBP
5p ordinary Sale 1,121 44.1632 GBP
5p ordinary Sale 1,157 44.3161 GBP
5p ordinary Sale 1,460 44.3473 GBP
5p ordinary Sale 1,566 44.3687 GBP
5p ordinary Sale 1,944 44.2250 GBP
5p ordinary Sale 2,089 44.3982 GBP
5p ordinary Sale 4,219 44.3511 GBP
5p ordinary Sale 5,182 44.2269 GBP
5p ordinary Sale 5,312 44.3282 GBP
5p ordinary Sale 6,078 44.3059 GBP
5p ordinary Sale 9,341 44.3738 GBP
5p ordinary Sale 13,702 44.3704 GBP
5p ordinary Sale 16,844 44.2502 GBP
5p ordinary Sale 48,370 44.3517 GBP
5p ordinary Sale 50,654 44.3528 GBP
5p ordinary Sale 103,833 44.4251 GBP
5p ordinary Sale 268,862 44.3500 GBP
ADR Purchase 10 170.2300 USD
ADR Purchase 10 171.1200 USD
ADR Purchase 94 170.1629 USD
ADR Purchase 119 171.0149 USD
ADR Purchase 164 171.1021 USD
ADR Purchase 164 171.1020 USD
ADR Purchase 299 170.4135 USD
ADR Purchase 362 170.8050 USD
ADR Purchase 400 170.2812 USD
ADR Purchase 1,664 170.4375 USD
ADR Purchase 1,746 170.4200 USD
ADR Purchase 7,400 170.3996 USD
ADR Purchase 7,634 171.1300 USD
ADR Purchase 7,635 170.8300 USD
ADR Purchase 7,800 170.3935 USD
ADR Purchase 10,150 170.6435 USD
ADR Purchase 11,165 171.0351 USD
ADR Purchase 26,500 170.8713 USD
ADR Sale 10 170.2300 USD
ADR Sale 64 171.1600 USD
ADR Sale 100 170.6100 USD
ADR Sale 100 170.6200 USD
ADR Sale 100 171.0650 USD
ADR Sale 100 171.1100 USD
ADR Sale 100 170.8600 USD
ADR Sale 119 171.0149 USD
ADR Sale 164 171.1020 USD
ADR Sale 200 171.0400 USD
ADR Sale 200 170.4150 USD
ADR Sale 200 170.2900 USD
ADR Sale 242 171.0007 USD
ADR Sale 400 170.7300 USD
ADR Sale 410 170.5004 USD
ADR Sale 500 170.4511 USD
ADR Sale 500 170.6030 USD
ADR Sale 558 170.7456 USD
ADR Sale 900 170.3301 USD
ADR Sale 1,092 171.0330 USD
ADR Sale 1,746 170.4200 USD
ADR Sale 2,177 170.4209 USD
ADR Sale 3,100 170.3522 USD
ADR Sale 4,700 170.4208 USD
ADR Sale 6,800 170.5712 USD
ADR Sale 6,900 170.3731 USD
ADR Sale 7,634 171.1300 USD
ADR Sale 7,635 170.8300 USD
ADR Sale 7,700 170.6747 USD
ADR Sale 11,165 171.0351 USD
ADR Sale 15,269 170.9800 USD

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
5p ordinary CFD Long 38 44.2613 GBP
5p ordinary SWAP Long 47 44.2951 GBP
5p ordinary SWAP Long 70 44.3338 GBP
5p ordinary CFD Long 127 44.4167 GBP
5p ordinary SWAP Long 148 44.2250 GBP
5p ordinary SWAP Long 421 44.3772 GBP
5p ordinary SWAP Long 642 44.3414 GBP
5p ordinary CFD Long 749 44.3534 GBP
5p ordinary SWAP Long 788 44.2973 GBP
5p ordinary CFD Long 1,333 44.3406 GBP
5p ordinary CFD Long 4,219 44.3511 GBP
5p ordinary CFD Long 15,000 44.3875 GBP
5p ordinary CFD Long 22,268 44.2603 GBP
5p ordinary SWAP Long 103,833 44.4251 GBP
5p ordinary CFD Short 345 44.3966 GBP
5p ordinary CFD Short 503 44.3845 GBP
5p ordinary SWAP Short 651 44.3545 GBP
5p ordinary SWAP Short 703 44.2602 GBP
5p ordinary SWAP Short 1,100 44.3524 GBP
5p ordinary CFD Short 2,431 44.3928 GBP
5p ordinary SWAP Short 4,314 44.2250 GBP
ADR CFD Short 5,000 171.9627 USD
5p ordinary SWAP Short 15,518 44.2502 GBP
5p ordinary SWAP Short 17,975 44.2520 GBP
5p ordinary CFD Short 25,183 44.3786 GBP
5p ordinary SWAP Short 26,808 44.3661 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 100 165 USD American 14 Sep 2018 1.5900 USD
ADR Put Options Selling 4,400 168 USD American 24 Aug 2018 0.7000 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: 29 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 100 110.0000 American 17 Jan 2020
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 100 140.0000 American 18 Jan 2019
ADR Call Options Purchased 100 173.0000 American 24 Aug 2018
ADR Call Options Purchased 200 210.0000 American 18 Jan 2019
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 200 120.0000 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 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 500 165.0000 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 500 130.0000 American 19 Oct 2018
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 1,000 170.0000 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 -100 145.0000 American 19 Oct 2018
ADR Call Options Written -100 130.0000 American 18 Jan 2019
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 -1,000 140.0000 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 -1,000 105.0000 American 18 Jan 2019
ADR Put Options Purchased -1,000 80.0000 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 -500 140.0000 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 -200 163.0000 American 24 Aug 2018
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 Purchased -100 165.0000 American 24 Aug 2018
ADR Put Options Written 100 110.0000 American 18 Jan 2019
ADR Put Options Written 100 165.0000 American 14 Sep 2018
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 100 140.0000 American 19 Oct 2018
ADR Put Options Written 100 75.0000 American 19 Oct 2018
ADR Put Options Written 200 70.0000 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 200 125.0000 American 19 Oct 2018
ADR Put Options Written 500 125.0000 American 18 Jan 2019
ADR Put Options Written 1,000 90.0000 American 18 Jan 2019
ADR Put Options Written 1,000 160.0000 American 21 Sep 2018
ADR Put Options Written 2,300 130.0000 American 18 Jan 2019
ADR Put Options Written 4,400 168.0000 American 24 Aug 2018
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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