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REG-BARCLAYS PLC FORM 8.3 - SHIRE PLC

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FORM 8.3 - SHIRE PLC

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: 17 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: 6,216,261 0.68% 3,564,081 0.39%
           
(2) Cash-settled derivatives:
228,307 0.02% 4,440,211 0.49%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 182,500 0.02% 254,700 0.03%
           
(4)
TOTAL: 6,627,068 0.72% 8,258,992 0.90%

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 42 44.4125 GBP
5p ordinary Purchase 43 44.3630 GBP
5p ordinary Purchase 50 44.3900 GBP
5p ordinary Purchase 73 44.4550 GBP
5p ordinary Purchase 73 44.4400 GBP
5p ordinary Purchase 73 44.3875 GBP
5p ordinary Purchase 76 44.4050 GBP
5p ordinary Purchase 76 44.3950 GBP
5p ordinary Purchase 78 44.4900 GBP
5p ordinary Purchase 81 44.3650 GBP
5p ordinary Purchase 91 44.4475 GBP
5p ordinary Purchase 105 44.4200 GBP
5p ordinary Purchase 131 44.4075 GBP
5p ordinary Purchase 145 44.3850 GBP
5p ordinary Purchase 151 44.4300 GBP
5p ordinary Purchase 162 44.4500 GBP
5p ordinary Purchase 175 44.3987 GBP
5p ordinary Purchase 180 44.3701 GBP
5p ordinary Purchase 579 44.4337 GBP
5p ordinary Purchase 1,225 44.4250 GBP
5p ordinary Purchase 1,235 44.3847 GBP
5p ordinary Purchase 1,386 44.3768 GBP
5p ordinary Purchase 1,477 44.3780 GBP
5p ordinary Purchase 1,517 44.4008 GBP
5p ordinary Purchase 1,779 44.4435 GBP
5p ordinary Purchase 5,415 44.4189 GBP
5p ordinary Purchase 6,450 44.4120 GBP
5p ordinary Purchase 7,379 44.4105 GBP
5p ordinary Purchase 9,994 44.4053 GBP
5p ordinary Purchase 26,327 44.4100 GBP
5p ordinary Purchase 38,217 44.4224 GBP
5p ordinary Purchase 61,704 44.4073 GBP
5p ordinary Purchase 121,606 44.4101 GBP
5p ordinary Sale 42 44.4125 GBP
5p ordinary Sale 50 44.3900 GBP
5p ordinary Sale 73 44.3875 GBP
5p ordinary Sale 73 44.4550 GBP
5p ordinary Sale 73 44.4400 GBP
5p ordinary Sale 76 44.3950 GBP
5p ordinary Sale 76 44.4050 GBP
5p ordinary Sale 78 44.4900 GBP
5p ordinary Sale 81 44.3583 GBP
5p ordinary Sale 81 44.3650 GBP
5p ordinary Sale 91 44.4475 GBP
5p ordinary Sale 92 44.3513 GBP
5p ordinary Sale 131 44.4075 GBP
5p ordinary Sale 162 44.4500 GBP
5p ordinary Sale 180 44.3700 GBP
5p ordinary Sale 1,007 44.4307 GBP
5p ordinary Sale 1,154 44.4014 GBP
5p ordinary Sale 1,465 44.3849 GBP
5p ordinary Sale 4,228 44.3957 GBP
5p ordinary Sale 4,572 44.4250 GBP
5p ordinary Sale 5,286 44.4007 GBP
5p ordinary Sale 6,048 44.4136 GBP
5p ordinary Sale 6,973 44.4065 GBP
5p ordinary Sale 8,079 44.4269 GBP
5p ordinary Sale 9,151 44.4300 GBP
5p ordinary Sale 9,994 44.4053 GBP
5p ordinary Sale 14,787 44.4140 GBP
5p ordinary Sale 25,948 44.4078 GBP
5p ordinary Sale 59,889 44.4080 GBP
5p ordinary Sale 94,122 44.4133 GBP
ADR Purchase 14 169.4550 USD
ADR Purchase 19 169.7805 USD
ADR Purchase 61 169.3105 USD
ADR Purchase 100 169.5900 USD
ADR Purchase 100 169.9400 USD
ADR Purchase 100 169.6550 USD
ADR Purchase 200 169.8200 USD
ADR Purchase 535 170.4200 USD
ADR Purchase 1,080 169.6798 USD
ADR Purchase 1,100 169.9931 USD
ADR Purchase 2,100 170.4673 USD
ADR Purchase 2,800 169.8400 USD
ADR Purchase 4,800 169.9494 USD
ADR Purchase 7,016 169.6341 USD
ADR Sale 1 169.3400 USD
ADR Sale 9 169.7700 USD
ADR Sale 10 169.7900 USD
ADR Sale 14 169.4550 USD
ADR Sale 60 169.3100 USD
ADR Sale 100 169.6800 USD
ADR Sale 100 169.7800 USD
ADR Sale 100 170.0300 USD
ADR Sale 400 169.7400 USD
ADR Sale 477 170.4200 USD
ADR Sale 500 169.5300 USD
ADR Sale 700 169.9921 USD
ADR Sale 1,100 169.8943 USD
ADR Sale 1,300 169.9961 USD
ADR Sale 1,300 170.0349 USD
ADR Sale 1,500 169.9280 USD
ADR Sale 1,600 169.6993 USD
ADR Sale 1,700 169.9319 USD
ADR Sale 2,100 170.4672 USD
ADR Sale 6,896 169.6312 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 255 44.4250 GBP
5p ordinary CFD Long 1,007 44.4307 GBP
5p ordinary SWAP Long 1,250 44.4172 GBP
5p ordinary CFD Long 1,465 44.3849 GBP
5p ordinary SWAP Long 2,473 44.4077 GBP
5p ordinary SWAP Long 8,998 44.4261 GBP
5p ordinary SWAP Long 17,442 44.3944 GBP
5p ordinary SWAP Short 544 44.3991 GBP
5p ordinary CFD Short 600 44.4290 GBP
5p ordinary SWAP Short 1,249 44.3937 GBP
5p ordinary CFD Short 1,517 44.4008 GBP
5p ordinary CFD Short 1,779 44.4435 GBP
5p ordinary CFD Short 2,404 44.3768 GBP
5p ordinary SWAP Short 2,404 44.3768 GBP
5p ordinary CFD Short 2,775 44.3776 GBP
5p ordinary SWAP Short 3,365 44.4111 GBP
5p ordinary SWAP Short 5,191 44.4033 GBP
5p ordinary CFD Short 5,415 44.4189 GBP
5p ordinary CFD Short 5,942 44.4258 GBP
5p ordinary CFD Short 7,379 44.4105 GBP
5p ordinary SWAP Short 9,561 44.3839 GBP
5p ordinary SWAP Short 25,398 44.4162 GBP

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(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: 20 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 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 100 220.0000 American 18 Jan 2019
ADR Call Options Purchased 100 110.0000 American 17 Jan 2020
ADR Call Options Purchased 100 173.0000 American 24 Aug 2018
ADR Call Options Purchased 100 140.0000 American 18 Jan 2019
ADR Call Options Purchased 100 105.0000 American 18 Jan 2019
ADR Call Options Purchased 200 210.0000 American 18 Jan 2019
ADR Call Options Purchased 200 135.0000 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 200 120.0000 American 17 Jan 2020
ADR Call Options Purchased 200 160.0000 American 17 Jan 2020
ADR Call Options Purchased 300 175.0000 American 18 Jan 2019
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 500 125.0000 American 18 Jan 2019
ADR Call Options Purchased 500 165.0000 American 18 Jan 2019
ADR Call Options Purchased 500 150.0000 American 18 Jan 2019
ADR Call Options Purchased 500 195.0000 American 18 Jan 2019
ADR Call Options Purchased 500 130.0000 American 19 Oct 2018
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 1,000 170.0000 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 2,000 170.0000 American 17 Aug 2018
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 -2,800 135.0000 American 17 Aug 2018
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 -1,000 170.0000 American 17 Jan 2020
ADR Put Options Purchased -1,000 150.0000 American 18 Jan 2019
ADR Put Options Purchased -1,000 140.0000 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 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 100 110.0000 American 18 Jan 2019
ADR Put Options Written 200 125.0000 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 500 125.0000 American 18 Jan 2019
ADR Put Options Written 600 165.0000 American 17 Aug 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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