REG-BARCLAYS PLC Form 8.3 - SHIRE PLC
. 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 interests and short positions disclosed,
if different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named. |
||
|
(c) Name of offeror/offeree in relation to whose relevant securities
this form relates:
Use a separate form for each offeror/offeree |
SHIRE PLC |
|
| (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:
For an opening position disclosure, state the latest practicable date prior to the disclosure |
21 August 2018 |
|
|
(f) In addition to the company in 1(c) above, is the discloser
making disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state “N/A” |
YES 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: | 5,610,934 | 0.61% | 3,614,147 | 0.40% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 228,319 | 0.02% | 3,846,208 | 0.42% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 179,900 | 0.02% | 251,900 | 0.03% | |||||||
| (4) | |||||||||||
| TOTAL: | 6,019,153 | 0.66% | 7,712,255 | 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 | 38 | 44.2805 GBP | ||||
| 5p ordinary | Purchase | 41 | 44.3450 GBP | ||||
| 5p ordinary | Purchase | 61 | 44.4775 GBP | ||||
| 5p ordinary | Purchase | 100 | 44.5200 GBP | ||||
| 5p ordinary | Purchase | 133 | 44.2743 GBP | ||||
| 5p ordinary | Purchase | 151 | 44.5050 GBP | ||||
| 5p ordinary | Purchase | 185 | 44.4342 GBP | ||||
| 5p ordinary | Purchase | 246 | 44.4379 GBP | ||||
| 5p ordinary | Purchase | 247 | 44.2800 GBP | ||||
| 5p ordinary | Purchase | 277 | 44.1802 GBP | ||||
| 5p ordinary | Purchase | 281 | 44.4629 GBP | ||||
| 5p ordinary | Purchase | 469 | 44.4378 GBP | ||||
| 5p ordinary | Purchase | 576 | 44.5410 GBP | ||||
| 5p ordinary | Purchase | 602 | 44.3141 GBP | ||||
| 5p ordinary | Purchase | 1,750 | 44.4228 GBP | ||||
| 5p ordinary | Purchase | 1,771 | 44.5160 GBP | ||||
| 5p ordinary | Purchase | 2,389 | 44.4414 GBP | ||||
| 5p ordinary | Purchase | 2,691 | 44.4062 GBP | ||||
| 5p ordinary | Purchase | 4,815 | 44.3838 GBP | ||||
| 5p ordinary | Purchase | 7,357 | 44.3568 GBP | ||||
| 5p ordinary | Purchase | 11,422 | 44.3305 GBP | ||||
| 5p ordinary | Purchase | 15,576 | 44.3098 GBP | ||||
| 5p ordinary | Purchase | 21,565 | 44.3977 GBP | ||||
| 5p ordinary | Purchase | 29,881 | 44.3665 GBP | ||||
| 5p ordinary | Sale | 228 | 44.4200 GBP | ||||
| 5p ordinary | Sale | 298 | 44.2877 GBP | ||||
| 5p ordinary | Sale | 695 | 44.3536 GBP | ||||
| 5p ordinary | Sale | 707 | 44.3012 GBP | ||||
| 5p ordinary | Sale | 1,726 | 44.3464 GBP | ||||
| 5p ordinary | Sale | 2,256 | 44.2644 GBP | ||||
| 5p ordinary | Sale | 2,691 | 44.4062 GBP | ||||
| 5p ordinary | Sale | 3,213 | 44.3555 GBP | ||||
| 5p ordinary | Sale | 4,230 | 44.5360 GBP | ||||
| 5p ordinary | Sale | 6,269 | 44.2582 GBP | ||||
| 5p ordinary | Sale | 8,009 | 44.3568 GBP | ||||
| 5p ordinary | Sale | 13,087 | 44.2819 GBP | ||||
| 5p ordinary | Sale | 17,306 | 44.2928 GBP | ||||
| 5p ordinary | Sale | 34,115 | 44.3213 GBP | ||||
| 5p ordinary | Sale | 42,292 | 44.3618 GBP | ||||
| 5p ordinary | Sale | 51,917 | 44.2939 GBP | ||||
| ADR | Purchase | 32 | 171.5400 USD | ||||
| ADR | Purchase | 34 | 171.4400 USD | ||||
| ADR | Purchase | 66 | 170.6600 USD | ||||
| ADR | Purchase | 100 | 171.7325 USD | ||||
| ADR | Purchase | 128 | 170.9406 USD | ||||
| ADR | Purchase | 178 | 170.7725 USD | ||||
| ADR | Purchase | 200 | 171.0550 USD | ||||
| ADR | Purchase | 218 | 171.4249 USD | ||||
| ADR | Purchase | 300 | 171.2808 USD | ||||
| ADR | Purchase | 798 | 171.4100 USD | ||||
| ADR | Purchase | 1,200 | 170.9941 USD | ||||
| ADR | Purchase | 1,368 | 171.1675 USD | ||||
| ADR | Purchase | 7,197 | 170.9903 USD | ||||
| ADR | Sale | 3 | 171.0600 USD | ||||
| ADR | Sale | 32 | 171.5400 USD | ||||
| ADR | Sale | 34 | 171.4400 USD | ||||
| ADR | Sale | 66 | 170.6600 USD | ||||
| ADR | Sale | 100 | 170.9600 USD | ||||
| ADR | Sale | 100 | 170.6050 USD | ||||
| ADR | Sale | 200 | 171.6187 USD | ||||
| ADR | Sale | 215 | 171.4300 USD | ||||
| ADR | Sale | 300 | 171.2808 USD | ||||
| ADR | Sale | 428 | 171.2418 USD | ||||
| ADR | Sale | 840 | 171.1543 USD | ||||
| ADR | Sale | 1,100 | 171.3462 USD | ||||
| ADR | Sale | 8,401 | 170.9787 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 | 16 | 44.3000 GBP | |||||
| 5p ordinary | SWAP | Long | 1,306 | 44.2770 GBP | |||||
| 5p ordinary | CFD | Long | 1,726 | 44.3464 GBP | |||||
| 5p ordinary | CFD | Long | 2,256 | 44.2644 GBP | |||||
| 5p ordinary | SWAP | Long | 2,437 | 44.2953 GBP | |||||
| 5p ordinary | SWAP | Long | 6,269 | 44.2581 GBP | |||||
| 5p ordinary | CFD | Long | 8,898 | 44.3050 GBP | |||||
| 5p ordinary | SWAP | Long | 14,261 | 44.3346 GBP | |||||
| 5p ordinary | CFD | Long | 34,115 | 44.3213 GBP | |||||
| 5p ordinary | SWAP | Short | 110 | 44.2921 GBP | |||||
| 5p ordinary | SWAP | Short | 281 | 44.4629 GBP | |||||
| 5p ordinary | CFD | Short | 646 | 44.2866 GBP | |||||
| 5p ordinary | SWAP | Short | 780 | 44.2646 GBP | |||||
| 5p ordinary | SWAP | Short | 1,293 | 44.3312 GBP | |||||
| 5p ordinary | CFD | Short | 2,389 | 44.4414 GBP | |||||
| 5p ordinary | SWAP | Short | 6,922 | 44.2800 GBP | |||||
| 5p ordinary | CFD | Short | 7,357 | 44.3568 GBP | |||||
| 5p ordinary | SWAP | Short | 12,600 | 44.4206 GBP | |||||
| 5p ordinary | SWAP | Short | 20,375 | 44.3461 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: |
22 August 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 and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. 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.
143221.01
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
| Full name of person making disclosure: |
Barclays PLC. |
|
| Name of offeror/offeree in relation to whose relevant securities the disclosure relates: |
SHIRE |
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 | 110.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 100 | 220.0000 | American | 18 Jan 2019 | |||||||
| 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 | 130.0000 | 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 | 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 | 150.0000 | 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 | 165.0000 | 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 | 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 | 140.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -100 | 130.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -100 | 145.0000 | American | 19 Oct 2018 | |||||||
| 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 | 140.0000 | 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 | -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 | 145.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -400 | 165.0000 | American | 17 Jan 2020 | |||||||
| 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 | 95.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 110.0000 | American | 17 Jan 2020 | |||||||
| 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 | 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 | 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 | 0 Jan 1900 |
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/20180822005364/en/
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