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Barclays PLC Director's Dealing 2018
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Director's Dealing
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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 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 |
6 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: | 5,775,050 | 0.63% | 4,610,984 | 0.50% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 1,518,866 | 0.17% | 4,170,250 | 0.46% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 168,100 | 0.02% | 260,800 | 0.03% | |||||||
| (4) | |||||||||||
| TOTAL: | 7,462,016 | 0.82% | 9,042,034 | 0.99% |
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
| (a) | Purchases and sales | ||||||||
| Class of relevant | Purchase/sale | Number of | Price per unit | ||||||
| security | securities | ||||||||
| ADR | Purchase | 38 | 172.8900 USD | ||||||
| 5p ordinary | Purchase | 41 | 44.5209 GBP | ||||||
| ADR | Purchase | 60 | 172.8000 USD | ||||||
| ADR | Purchase | 100 | 172.4550 USD | ||||||
| ADR | Purchase | 100 | 172.7500 USD | ||||||
| ADR | Purchase | 104 | 173.1900 USD | ||||||
| ADR | Purchase | 187 | 172.7579 USD | ||||||
| ADR | Purchase | 200 | 173.2600 USD | ||||||
| ADR | Purchase | 200 | 172.8600 USD | ||||||
| 5p ordinary | Purchase | 250 | 44.4920 GBP | ||||||
| ADR | Purchase | 300 | 172.9916 USD | ||||||
| 5p ordinary | Purchase | 343 | 44.4811 GBP | ||||||
| 5p ordinary | Purchase | 355 | 44.4854 GBP | ||||||
| 5p ordinary | Purchase | 623 | 44.4640 GBP | ||||||
| ADR | Purchase | 1,404 | 172.7635 USD | ||||||
| 5p ordinary | Purchase | 1,419 | 44.6112 GBP | ||||||
| 5p ordinary | Purchase | 1,707 | 44.5927 GBP | ||||||
| 5p ordinary | Purchase | 2,340 | 44.4273 GBP | ||||||
| 5p ordinary | Purchase | 2,369 | 44.5349 GBP | ||||||
| 5p ordinary | Purchase | 3,567 | 44.4330 GBP | ||||||
| 5p ordinary | Purchase | 3,989 | 44.5129 GBP | ||||||
| ADR | Purchase | 4,238 | 172.8591 USD | ||||||
| 5p ordinary | Purchase | 7,462 | 44.4350 GBP | ||||||
| 5p ordinary | Purchase | 10,000 | 44.4900 GBP | ||||||
| 5p ordinary | Purchase | 10,560 | 44.4376 GBP | ||||||
| 5p ordinary | Purchase | 11,904 | 44.5077 GBP | ||||||
| 5p ordinary | Purchase | 25,151 | 44.6030 GBP | ||||||
| 5p ordinary | Purchase | 39,151 | 44.4991 GBP | ||||||
| ADR | Sale | 38 | 172.8900 USD | ||||||
| 5p ordinary | Sale | 49 | 44.4869 GBP | ||||||
| ADR | Sale | 56 | 172.8100 USD | ||||||
| ADR | Sale | 60 | 172.8000 USD | ||||||
| 5p ordinary | Sale | 66 | 44.5794 GBP | ||||||
| ADR | Sale | 100 | 172.8200 USD | ||||||
| ADR | Sale | 100 | 172.7900 USD | ||||||
| ADR | Sale | 100 | 173.0000 USD | ||||||
| ADR | Sale | 104 | 173.1900 USD | ||||||
| ADR | Sale | 200 | 172.4550 USD | ||||||
| ADR | Sale | 213 | 172.5301 USD | ||||||
| ADR | Sale | 300 | 172.8133 USD | ||||||
| ADR | Sale | 400 | 173.2600 USD | ||||||
| ADR | Sale | 535 | 172.7640 USD | ||||||
| 5p ordinary | Sale | 948 | 44.4813 GBP | ||||||
| 5p ordinary | Sale | 1,111 | 44.4876 GBP | ||||||
| 5p ordinary | Sale | 1,707 | 44.5927 GBP | ||||||
| ADR | Sale | 1,825 | 172.8404 USD | ||||||
| 5p ordinary | Sale | 1,864 | 44.4786 GBP | ||||||
| 5p ordinary | Sale | 2,056 | 44.5268 GBP | ||||||
| 5p ordinary | Sale | 2,340 | 44.4273 GBP | ||||||
| 5p ordinary | Sale | 2,364 | 44.4810 GBP | ||||||
| ADR | Sale | 2,800 | 172.8646 USD | ||||||
| 5p ordinary | Sale | 3,487 | 44.4228 GBP | ||||||
| 5p ordinary | Sale | 3,493 | 44.5856 GBP | ||||||
| 5p ordinary | Sale | 4,927 | 44.4900 GBP | ||||||
| 5p ordinary | Sale | 7,207 | 44.4735 GBP | ||||||
| 5p ordinary | Sale | 7,681 | 44.4927 GBP | ||||||
| 5p ordinary | Sale | 9,623 | 44.4370 GBP | ||||||
| 5p ordinary | Sale | 9,702 | 44.5062 GBP | ||||||
| 5p ordinary | Sale | 9,936 | 44.4659 GBP | ||||||
| 5p ordinary | Sale | 12,920 | 44.4350 GBP | ||||||
| 5p ordinary | Sale | 25,000 | 44.6105 GBP | ||||||
| 5p ordinary | Sale | 26,280 | 44.4436 GBP | ||||||
| 5p ordinary | Sale | 29,689 | 44.5169 GBP | ||||||
| (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 | 49 | 44.4869 GBP | |||||
| 5p ordinary | CFD | Long | 948 | 44.4813 GBP | |||||
| 5p ordinary | SWAP | Long | 1,046 | 44.4491 GBP | |||||
| 5p ordinary | CFD | Long | 2,364 | 44.4810 GBP | |||||
| 5p ordinary | CFD | Long | 3,487 | 44.4228 GBP | |||||
| 5p ordinary | CFD | Long | 3,493 | 44.5856 GBP | |||||
| 5p ordinary | SWAP | Long | 6,922 | 44.4350 GBP | |||||
| 5p ordinary | CFD | Long | 7,681 | 44.4927 GBP | |||||
| 5p ordinary | SWAP | Long | 9,532 | 44.4338 GBP | |||||
| 5p ordinary | CFD | Long | 19,546 | 44.4613 GBP | |||||
| 5p ordinary | CFD | Short | 4 | 44.5200 GBP | |||||
| 5p ordinary | CFD | Short | 6 | 44.5216 GBP | |||||
| 5p ordinary | CFD | Short | 13 | 44.5207 GBP | |||||
| 5p ordinary | CFD | Short | 18 | 44.5211 GBP | |||||
| 5p ordinary | SWAP | Short | 622 | 44.5408 GBP | |||||
| 5p ordinary | CFD | Short | 1,419 | 44.6112 GBP | |||||
| 5p ordinary | SWAP | Short | 2,754 | 44.4214 GBP | |||||
| 5p ordinary | CFD | Short | 3,870 | 44.5129 GBP | |||||
| 5p ordinary | SWAP | Short | 8,601 | 44.4665 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/NO |
| Date of disclosure: | 7 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 [email protected]. 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
| 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 | 1,700 | 195.0000 | American | 17 Jan 2020 | |||||||
| 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 | 200 | 135.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 100 | 175.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 110.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -400 | 165.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -700 | 160.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -1,000 | 150.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -1,500 | 165.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,700 | 80.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,800 | 135.0000 | American | 17 Aug 2018 | |||||||
| ADR | Put Options | Purchased | -4,600 | 165.0000 | American | 19 Oct 2018 | |||||||
| ADR | Put Options | Purchased | -5,800 | 180.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -7,700 | 130.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -44,000 | 145.0000 | American | 19 Oct 2018 | |||||||
| ADR | Call Options | Purchased | 1,600 | 170.0000 | American | 19 Oct 2018 | |||||||
| ADR | Call Options | Written | -100 | 145.0000 | American | 19 Oct 2018 | |||||||
| ADR | Call Options | Written | -1,000 | 158.0000 | American | 10 Aug 2018 | |||||||
| ADR | Call Options | Purchased | 3,600 | 185.0000 | American | 19 Oct 2018 | |||||||
| ADR | Call Options | Purchased | 3,100 | 155.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 1,300 | 165.0000 | American | 19 Oct 2018 | |||||||
| ADR | Put Options | Written | 1,000 | 90.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 500 | 125.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 400 | 230.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 400 | 125.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 300 | 115.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 200 | 200.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Written | 200 | 100.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 200 | 125.0000 | American | 19 Oct 2018 | |||||||
| ADR | Call Options | Purchased | 100 | 220.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 95.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -100 | 140.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -1,000 | 85.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,500 | 120.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -2,700 | 145.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 4,500 | 200.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 600 | 165.0000 | American | 17 Aug 2018 | |||||||
| ADR | Call Options | Purchased | 200 | 155.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 200 | 130.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -200 | 170.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -800 | 150.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -900 | 175.0000 | American | 19 Oct 2018 | |||||||
| ADR | Put Options | Purchased | -5,000 | 170.0000 | American | 19 Oct 2018 | |||||||
| ADR | Call Options | Purchased | 2,300 | 185.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 500 | 195.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 500 | 165.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 200 | 120.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 200 | 210.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -100 | 175.0000 | American | 7 Sep 2018 | |||||||
| ADR | Put Options | Purchased | -200 | 115.0000 | American | 19 Oct 2018 | |||||||
| ADR | Call Options | Written | -800 | 160.0000 | American | 19 Oct 2018 | |||||||
| ADR | Put Options | Purchased | -1,000 | 105.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -10,000 | 180.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 2,000 | 170.0000 | American | 17 Aug 2018 | |||||||
| ADR | Call Options | Purchased | 1,000 | 170.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 500 | 130.0000 | American | 19 Oct 2018 | |||||||
| ADR | Call Options | Purchased | 200 | 160.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -100 | 130.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -500 | 140.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -1,000 | 80.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -1,100 | 150.0000 | American | 19 Oct 2018 | |||||||
| ADR | Put Options | Purchased | -2,300 | 85.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -6,000 | 135.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -7,500 | 155.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 5,000 | 195.0000 | American | 19 Oct 2018 | |||||||
| ADR | Put Options | Written | 2,800 | 120.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 100 | 110.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 100 | 140.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 140.0000 | American | 19 Oct 2018 | |||||||
| ADR | Put Options | Purchased | -1,100 | 140.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,000 | 175.0000 | American | 19 Oct 2018 | |||||||
| ADR | Put Options | Purchased | -2,100 | 160.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -3,700 | 145.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 2,000 | 150.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 1,000 | 135.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 1,000 | 160.0000 | American | 10 Aug 2018 | |||||||
| ADR | Call Options | Purchased | 500 | 150.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 200 | 70.0000 | American | 19 Oct 2018 | |||||||
| ADR | Call Options | Purchased | 100 | 105.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 110.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 75.0000 | American | 19 Oct 2018 | |||||||
| ADR | Put Options | Purchased | -200 | 175.0000 | American | 17 Aug 2018 | |||||||
| ADR | Put Options | Purchased | -500 | 145.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -1,000 | 170.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -1,100 | 210.0000 | American | 19 Oct 2018 | |||||||
| ADR | Put Options | Purchased | -1,200 | 135.0000 | American | 17 Jan 2020 | |||||||
| ADR | Put Options | Purchased | -1,800 | 115.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -5,000 | 180.0000 | 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.
BARCLAYS PLC
View source version on businesswire.com: https://www.businesswire.com/news/home/20180807005475/en/