4 Jan 2019 13:33
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: | 03 January 2019 | |||
(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: | 6,554,363 | 0.71% | 1,048,115 | 0.11% | |||||||
(2) | Cash-settled derivatives: | ||||||||||
689,177 | 0.08% | 4,981,638 | 0.54% | ||||||||
(3) | Stock-settled derivatives (including options) | ||||||||||
and agreements to purchase/sell: | 738,800 | 0.08% | 467,600 | 0.05% | |||||||
TOTAL: | 7,982,340 | 0.87% | 6,497,353 | 0.71% |
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 | 100 | 45.9000 GBP | ||||
5p ordinary | Purchase | 219 | 45.9500 GBP | ||||
5p ordinary | Purchase | 747 | 46.5000 GBP | ||||
5p ordinary | Purchase | 1,111 | 44.5250 GBP | ||||
5p ordinary | Purchase | 2,559 | 45.7000 GBP | ||||
5p ordinary | Purchase | 10,000 | 45.6000 GBP | ||||
5p ordinary | Purchase | 15,000 | 45.7941 GBP | ||||
5p ordinary | Purchase | 35,000 | 45.8357 GBP | ||||
5p ordinary | Sale | 334 | 45.7900 GBP | ||||
5p ordinary | Sale | 747 | 46.5000 GBP | ||||
5p ordinary | Sale | 1,111 | 44.5250 GBP | ||||
5p ordinary | Sale | 4,188 | 45.8200 GBP | ||||
5p ordinary | Sale | 10,000 | 45.9500 GBP | ||||
5p ordinary | Sale | 12,148 | 45.9000 GBP | ||||
5p ordinary | Sale | 28,000 | 45.5546 GBP | ||||
ADR | Purchase | 9 | 172.8900 USD | ||||
ADR | Purchase | 100 | 172.9000 USD | ||||
ADR | Purchase | 100 | 171.9300 USD | ||||
ADR | Purchase | 134 | 172.3404 USD | ||||
ADR | Purchase | 200 | 172.4137 USD | ||||
ADR | Purchase | 200 | 172.9450 USD | ||||
ADR | Purchase | 200 | 172.4400 USD | ||||
ADR | Purchase | 300 | 172.2600 USD | ||||
ADR | Purchase | 300 | 172.3700 USD | ||||
ADR | Purchase | 300 | 172.1066 USD | ||||
ADR | Purchase | 322 | 172.1500 USD | ||||
ADR | Purchase | 500 | 173.0160 USD | ||||
ADR | Purchase | 500 | 171.8540 USD | ||||
ADR | Purchase | 700 | 171.8429 USD | ||||
ADR | Purchase | 855 | 172.6008 USD | ||||
ADR | Purchase | 942 | 172.7563 USD | ||||
ADR | Purchase | 1,100 | 172.7063 USD | ||||
ADR | Purchase | 1,200 | 172.3175 USD | ||||
ADR | Purchase | 2,200 | 172.6188 USD | ||||
ADR | Purchase | 4,900 | 172.1139 USD | ||||
ADR | Purchase | 5,000 | 172.1296 USD | ||||
ADR | Purchase | 7,093 | 172.9223 USD | ||||
ADR | Sale | 81 | 172.5700 USD | ||||
ADR | Sale | 100 | 172.6600 USD | ||||
ADR | Sale | 100 | 172.6500 USD | ||||
ADR | Sale | 100 | 172.5400 USD | ||||
ADR | Sale | 100 | 172.5100 USD | ||||
ADR | Sale | 100 | 172.3900 USD | ||||
ADR | Sale | 100 | 172.1675 USD | ||||
ADR | Sale | 100 | 171.8500 USD | ||||
ADR | Sale | 190 | 172.5810 USD | ||||
ADR | Sale | 200 | 172.5850 USD | ||||
ADR | Sale | 200 | 172.3000 USD | ||||
ADR | Sale | 200 | 171.8450 USD | ||||
ADR | Sale | 200 | 172.3350 USD | ||||
ADR | Sale | 200 | 172.1550 USD | ||||
ADR | Sale | 219 | 172.5095 USD | ||||
ADR | Sale | 300 | 172.1066 USD | ||||
ADR | Sale | 322 | 172.1500 USD | ||||
ADR | Sale | 399 | 172.5103 USD | ||||
ADR | Sale | 400 | 171.8401 USD | ||||
ADR | Sale | 500 | 172.2070 USD | ||||
ADR | Sale | 700 | 172.3329 USD | ||||
ADR | Sale | 700 | 172.2800 USD | ||||
ADR | Sale | 700 | 172.6157 USD | ||||
ADR | Sale | 700 | 172.5757 USD | ||||
ADR | Sale | 800 | 172.1175 USD | ||||
ADR | Sale | 1,734 | 172.2869 USD | ||||
ADR | Sale | 2,200 | 172.6188 USD | ||||
ADR | Sale | 4,300 | 172.1355 USD | ||||
ADR | Sale | 4,500 | 172.1210 USD | ||||
ADR | Sale | 11,190 | 172.8437 USD | ||||
ADR | Sale | 13,963 | 172.6180 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 | 30 | 46.4963 GBP | |||||
5p ordinary | CFD | Long | 180 | 46.4962 GBP | |||||
5p ordinary | SWAP | Long | 229 | 46.4979 GBP | |||||
5p ordinary | CFD | Long | 4,188 | 45.8154 GBP | |||||
5p ordinary | SWAP | Long | 13,501 | 45.8003 GBP | |||||
5p ordinary | SWAP | Short | 448 | 46.2310 GBP | |||||
5p ordinary | CFD | Short | 4,188 | 45.4917 GBP | |||||
5p ordinary | CFD | Short | 15,000 | 45.7941 GBP | |||||
5p ordinary | CFD | Short | 35,000 | 45.8357 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 | Call Options | Purchasing | 300 | 145 USD | American | 18 Jan 2019 | 35.5000 USD | ||||||||
ADR | Call Options | Purchasing | 3,600 | 175 USD | American | 18 Jan 2019 | 2.0000 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: | 4 Jan 2019 | ||
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 | |||||||||||||
ADR | Call Options | Purchased | 100 | 195.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Purchased | 100 | 155.0000 | American | 15 Jan 2021 | |||||||
ADR | Call Options | Purchased | 100 | 105.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 100 | 190.0000 | American | 4 Jan 2019 | |||||||
ADR | Call Options | Purchased | 100 | 220.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 100 | 195.0000 | American | 15 Jan 2021 | |||||||
ADR | Call Options | Purchased | 100 | 140.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 100 | 173.0000 | 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 | 160.0000 | 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 | 200 | 120.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 200 | 155.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 300 | 115.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 400 | 170.0000 | American | 17 Jan 2020 | |||||||
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 | 900 | 195.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 190.0000 | American | 11 Jan 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 170.0000 | American | 19 Jul 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 | 180.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 185.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Purchased | 1,000 | 175.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Purchased | 1,100 | 190.0000 | American | 15 Feb 2019 | |||||||
ADR | Call Options | Purchased | 1,400 | 230.0000 | American | 15 Jan 2021 | |||||||
ADR | Call Options | Purchased | 1,700 | 195.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 2,000 | 165.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 2,000 | 150.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Purchased | 2,100 | 190.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 2,600 | 185.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 3,100 | 155.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 3,800 | 125.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 4,300 | 170.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 4,600 | 175.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 5,700 | 160.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Purchased | 7,700 | 155.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Purchased | 9,200 | 200.0000 | American | 15 Jan 2021 | |||||||
ADR | Call Options | Purchased | 18,200 | 160.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 22,300 | 200.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 23,900 | 195.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 24,300 | 175.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Purchased | 137,900 | 190.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -56,000 | 200.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Written | -42,400 | 200.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Written | -33,100 | 185.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -31,000 | 180.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -7,400 | 240.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Written | -4,100 | 165.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -2,400 | 130.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -2,400 | 145.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -1,500 | 210.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Written | -1,000 | 85.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -800 | 170.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -800 | 155.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Written | -600 | 160.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -500 | 135.0000 | American | 19 Jul 2019 | |||||||
ADR | Call Options | Written | -300 | 160.0000 | American | 18 Apr 2019 | |||||||
ADR | Call Options | Written | -100 | 168.0000 | American | 18 Jan 2019 | |||||||
ADR | Call Options | Written | -100 | 140.0000 | American | 17 Jan 2020 | |||||||
ADR | Call Options | Written | -100 | 150.0000 | American | 18 Apr 2019 | |||||||
ADR | Put Options | Purchased | -164,700 | 165.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -41,400 | 135.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -15,600 | 160.0000 | American | 18 Apr 2019 | |||||||
ADR | Put Options | Purchased | -5,900 | 180.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -5,300 | 165.0000 | American | 15 Jan 2021 | |||||||
ADR | Put Options | Purchased | -5,000 | 170.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -4,200 | 155.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -3,700 | 145.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -3,500 | 140.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -2,900 | 175.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -2,700 | 80.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -2,600 | 160.0000 | American | 15 Jan 2021 | |||||||
ADR | Put Options | Purchased | -2,500 | 120.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -2,300 | 175.0000 | American | 4 Jan 2019 | |||||||
ADR | Put Options | Purchased | -2,300 | 85.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -2,100 | 150.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -2,000 | 80.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -2,000 | 130.0000 | American | 15 Jan 2021 | |||||||
ADR | Put Options | Purchased | -1,800 | 115.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -1,700 | 160.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -1,400 | 165.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -1,200 | 135.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -1,100 | 170.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -1,100 | 70.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -1,000 | 155.0000 | American | 15 Jan 2021 | |||||||
ADR | Put Options | Purchased | -800 | 150.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -600 | 180.0000 | American | 18 Apr 2019 | |||||||
ADR | Put Options | Purchased | -500 | 140.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -400 | 165.0000 | American | 19 Jul 2019 | |||||||
ADR | Put Options | Purchased | -200 | 65.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Purchased | -100 | 168.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Purchased | -100 | 170.0000 | American | 4 Jan 2019 | |||||||
ADR | Put Options | Purchased | -100 | 195.0000 | American | 15 Jan 2021 | |||||||
ADR | Put Options | Purchased | -100 | 165.0000 | American | 15 Feb 2019 | |||||||
ADR | Put Options | Purchased | -100 | 75.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Written | 100 | 110.0000 | American | 18 Jan 2019 | |||||||
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 | 200 | 100.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Written | 200 | 200.0000 | American | 17 Jan 2020 | |||||||
ADR | Put Options | Written | 1,000 | 160.0000 | American | 4 Jan 2019 | |||||||
ADR | Put Options | Written | 1,000 | 90.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Written | 1,800 | 185.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Written | 2,300 | 130.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Written | 4,000 | 165.0000 | American | 18 Apr 2019 | |||||||
ADR | Put Options | Written | 5,300 | 120.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Written | 6,900 | 170.0000 | American | 18 Apr 2019 | |||||||
ADR | Put Options | Written | 11,000 | 160.0000 | American | 19 Jul 2019 | |||||||
ADR | Put Options | Written | 13,800 | 155.0000 | American | 18 Apr 2019 | |||||||
ADR | Put Options | Written | 19,400 | 165.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Written | 29,300 | 125.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Written | 89,500 | 160.0000 | American | 18 Jan 2019 | |||||||
ADR | Put Options | Written | 263,300 | 145.0000 | American | 18 Jan 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.
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