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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: 20 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: 5,620,832 0.61% 3,538,021 0.39%
           
(2) Cash-settled derivatives:
228,307 0.02% 3,864,727 0.42%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 179,900 0.02% 251,900 0.03%
           
 
TOTAL: 6,029,039 0.66% 7,654,648 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 37 44.7500 GBP
5p ordinary Purchase 77 44.6500 GBP
5p ordinary Purchase 101 44.8406 GBP
5p ordinary Purchase 154 44.5322 GBP
5p ordinary Purchase 250 44.4750 GBP
5p ordinary Purchase 324 44.6397 GBP
5p ordinary Purchase 1,218 44.5735 GBP
5p ordinary Purchase 1,321 44.7700 GBP
5p ordinary Purchase 1,683 44.4686 GBP
5p ordinary Purchase 2,015 44.6202 GBP
5p ordinary Purchase 2,520 44.6736 GBP
5p ordinary Purchase 2,801 44.6741 GBP
5p ordinary Purchase 4,481 44.5168 GBP
5p ordinary Purchase 4,628 44.5830 GBP
5p ordinary Purchase 12,820 44.6080 GBP
5p ordinary Purchase 43,022 44.5730 GBP
5p ordinary Purchase 45,931 44.6219 GBP
5p ordinary Purchase 141,298 44.6728 GBP
5p ordinary Sale 37 44.7500 GBP
5p ordinary Sale 77 44.6500 GBP
5p ordinary Sale 140 44.5750 GBP
5p ordinary Sale 383 44.6203 GBP
5p ordinary Sale 1,300 44.7160 GBP
5p ordinary Sale 1,354 44.6084 GBP
5p ordinary Sale 1,519 44.4743 GBP
5p ordinary Sale 2,045 44.6787 GBP
5p ordinary Sale 3,493 44.7720 GBP
5p ordinary Sale 4,036 44.5161 GBP
5p ordinary Sale 4,420 44.5857 GBP
5p ordinary Sale 8,183 44.6665 GBP
5p ordinary Sale 30,029 44.5709 GBP
5p ordinary Sale 48,582 44.5933 GBP
5p ordinary Sale 50,979 44.6009 GBP
5p ordinary Sale 52,459 44.7280 GBP
5p ordinary Sale 629,631 44.5000 GBP
ADR Purchase 2 170.7500 USD
ADR Purchase 3 171.6600 USD
ADR Purchase 8 170.8800 USD
ADR Purchase 11 171.5800 USD
ADR Purchase 100 171.7100 USD
ADR Purchase 100 171.2600 USD
ADR Purchase 100 171.6300 USD
ADR Purchase 100 171.0000 USD
ADR Purchase 150 171.1840 USD
ADR Purchase 163 170.9567 USD
ADR Purchase 190 171.1100 USD
ADR Purchase 228 171.6218 USD
ADR Purchase 265 171.3415 USD
ADR Purchase 300 171.5300 USD
ADR Purchase 365 171.5174 USD
ADR Purchase 415 171.3224 USD
ADR Purchase 580 171.1139 USD
ADR Purchase 605 170.6500 USD
ADR Purchase 685 170.8098 USD
ADR Purchase 880 171.4954 USD
ADR Purchase 1,600 171.2906 USD
ADR Purchase 2,400 171.1927 USD
ADR Purchase 3,000 171.1202 USD
ADR Purchase 3,151 171.3285 USD
ADR Purchase 3,800 171.2065 USD
ADR Purchase 4,500 171.1848 USD
ADR Purchase 7,900 171.2652 USD
ADR Purchase 8,500 171.2345 USD
ADR Purchase 12,806 171.1906 USD
ADR Sale 2 170.7500 USD
ADR Sale 3 171.6600 USD
ADR Sale 8 170.8800 USD
ADR Sale 100 170.8300 USD
ADR Sale 100 171.5900 USD
ADR Sale 100 171.1500 USD
ADR Sale 290 171.0720 USD
ADR Sale 300 171.4533 USD
ADR Sale 341 171.4371 USD
ADR Sale 668 170.6500 USD
ADR Sale 700 171.2696 USD
ADR Sale 2,000 171.3704 USD
ADR Sale 2,300 171.0747 USD
ADR Sale 2,310 171.3065 USD
ADR Sale 2,646 170.9801 USD
ADR Sale 5,300 171.1943 USD
ADR Sale 5,600 171.2546 USD
ADR Sale 30,039 171.2392 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 77 44.6500 GBP
5p ordinary SWAP Long 140 44.5305 GBP
5p ordinary CFD Long 646 44.7632 GBP
5p ordinary CFD Long 1,354 44.6084 GBP
5p ordinary CFD Long 1,519 44.4743 GBP
5p ordinary SWAP Long 2,643 44.6532 GBP
5p ordinary SWAP Long 8,183 44.6665 GBP
5p ordinary SWAP Long 10,696 44.5482 GBP
5p ordinary SWAP Long 45,153 44.7511 GBP
5p ordinary SWAP Short 75 44.5600 GBP
5p ordinary SWAP Short 124 44.5927 GBP
5p ordinary SWAP Short 530 44.6487 GBP
5p ordinary CFD Short 1,218 44.5735 GBP
5p ordinary SWAP Short 1,236 44.7025 GBP
5p ordinary SWAP Short 1,341 44.5905 GBP
5p ordinary CFD Short 1,683 44.4687 GBP
5p ordinary CFD Short 2,015 44.6202 GBP
5p ordinary CFD Short 2,520 44.6736 GBP
5p ordinary SWAP Short 3,535 44.6859 GBP
5p ordinary SWAP Short 17,622 44.5678 GBP
5p ordinary CFD Short 21,762 44.6082 GBP
5p ordinary SWAP Short 25,793 44.7481 GBP
5p ordinary SWAP Short 41,532 44.7700 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: 21 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 100 220.0000 American 18 Jan 2019
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 100 173.0000 American 24 Aug 2018
ADR Call Options Purchased 100 110.0000 American 17 Jan 2020
ADR Call Options Purchased 200 120.0000 American 17 Jan 2020
ADR Call Options Purchased 200 155.0000 American 17 Jan 2020
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 200 135.0000 American 17 Jan 2020
ADR Call Options Purchased 200 210.0000 American 18 Jan 2019
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 500 125.0000 American 18 Jan 2019
ADR Call Options Purchased 500 130.0000 American 19 Oct 2018
ADR Call Options Purchased 500 195.0000 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 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 2,000 150.0000 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 -1,000 170.0000 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 -1,000 105.0000 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 18 Jan 2019
ADR Put Options Written 100 140.0000 American 19 Oct 2018
ADR Put Options Written 100 110.0000 American 17 Jan 2020
ADR Put Options Written 100 75.0000 American 19 Oct 2018
ADR Put Options Written 100 95.0000 American 18 Jan 2019
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 200 125.0000 American 19 Oct 2018
ADR Put Options Written 200 200.0000 American 17 Jan 2020
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 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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