REG-BARCLAYS PLC Form 8.3 - TAKEDA PHARMACEUTICAL CO LTD - AMENDMENT
26/11/2018 14:00
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Form 8.3 - TAKEDA PHARMACEUTICAL CO LTD - AMENDMENT
FORM 8.3 Amendment to Sales
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 TAKEDA PHARMACEUTICAL CO LTD
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: 19 October 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? SHIRE PLC
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: Ordinary NPV
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 11,029,931 1.41% 12,142,662 1.53%
(2) Cash-settled derivatives:
11,848,586 1.49% 10,255,400 1.29%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 10,521,600 1.32% 10,941,600 1.38%
TOTAL: 33,400,117 4.22% 33,339,662 4.20%
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
ADR Purchase 42,769 20.6214 USD
ADR Purchase 53,365 20.4082 USD
ADR Purchase 56,864 20.5658 USD
ADR Sale 10,695 20.6211 USD
ADR Sale 14,095 20.6000 USD
ADR Sale 14,095 20.3969 USD
ADR Sale 28,674 20.6320 USD
ADR Sale 32,072 20.6215 USD
ADR Sale 53,365 20.4082 USD
Ordinary NPV Purchase 700 4,649.6000 JPY
Ordinary NPV Purchase 1,000 4,612.0000 JPY
Ordinary NPV Purchase 1,200 4,613.2500 JPY
Ordinary NPV Purchase 1,200 4,646.0833 JPY
Ordinary NPV Purchase 1,400 4,630.7142 JPY
Ordinary NPV Purchase 1,700 4,641.3235 JPY
Ordinary NPV Purchase 2,000 4,613.8750 JPY
Ordinary NPV Purchase 2,400 4,643.5000 JPY
Ordinary NPV Purchase 2,500 4,635.2600 JPY
Ordinary NPV Purchase 3,000 4,640.9000 JPY
Ordinary NPV Purchase 3,300 4,613.6969 JPY
Ordinary NPV Purchase 3,500 4,618.3428 JPY
Ordinary NPV Purchase 3,700 4,648.2162 JPY
Ordinary NPV Purchase 4,600 4,631.7934 JPY
Ordinary NPV Purchase 5,900 4,647.9949 JPY
Ordinary NPV Purchase 6,600 4,635.9090 JPY
Ordinary NPV Purchase 8,500 4,642.2270 JPY
Ordinary NPV Purchase 18,500 4,635.7459 JPY
Ordinary NPV Purchase 21,000 4,630.3047 JPY
Ordinary NPV Purchase 50,000 4,633.8660 JPY
Ordinary NPV Purchase 53,800 4,636.5055 JPY
Ordinary NPV Purchase 59,200 4,618.1841 JPY
Ordinary NPV Purchase 231,600 4,624.6662 JPY
Ordinary NPV Purchase 476,900 4,626.5707 JPY
Ordinary NPV Purchase 478,400 4,625.8591 JPY
Ordinary NPV Sale 100 4,587.8600 JPY
Ordinary NPV Sale 100 4,641.0000 JPY
Ordinary NPV Sale 400 4,643.5000 JPY
Ordinary NPV Sale 700 4,649.6000 JPY
Ordinary NPV Sale 1,100 4,595.7272 JPY
Ordinary NPV Sale 1,200 4,613.2500 JPY
Ordinary NPV Sale 1,400 4,622.8571 JPY
Ordinary NPV Sale 1,700 4,641.3235 JPY
Ordinary NPV Sale 2,000 4,613.8750 JPY
Ordinary NPV Sale 2,400 4,611.2500 JPY
Ordinary NPV Sale 3,500 4,618.3428 JPY
Ordinary NPV Sale 4,000 4,595.0000 JPY
Ordinary NPV Sale 4,200 4,650.0000 JPY
Ordinary NPV Sale 4,700 4,592.4893 JPY
Ordinary NPV Sale 4,800 4,639.5000 JPY
Ordinary NPV Sale 4,900 4,647.6938 JPY
Ordinary NPV Sale 5,800 4,627.4137 JPY
Ordinary NPV Sale 7,100 4,633.0140 JPY
Ordinary NPV Sale 7,900 4,646.8569 JPY
Ordinary NPV Sale 8,500 4,642.2270 JPY
Ordinary NPV Sale 33,900 4,619.4631 JPY
Ordinary NPV Sale 59,200 4,617.2381 JPY
Ordinary NPV Sale 79,900 4,628.2853 JPY
Ordinary NPV Sale 400,400 4,615.5886 JPY
Ordinary NPV Sale 476,900 4,626.5707 JPY
Ordinary NPV Sale 478,400 4,625.8591 JPY
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
Ordinary NPV SWAP Long 100 4,587.8660 JPY
Ordinary NPV CFD Long 6,200 4,611.5388 JPY
(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 Expiry date Option money paid/ received per unit
e.g. American, European etc.
(ii) Exercise
Class of relevant security Product description Exercising/ exercised against Number of securities Exercise price per unit
e.g. call option
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
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: 26 Nov 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
(http://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk&esheet=51904649&newsitemid=20181126005457&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=18c85a7c94280dd06d991d0f926f910e)
.
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 TAKEDA PHARMACEUTICAL CO LTD
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
Ordinary NPV Call Options Purchased 39,000 5781.0000 European 14 Dec 2018
Ordinary NPV Call Options Purchased 40,000 6182.0000 European 14 Dec 2018
Ordinary NPV Call Options Purchased 82,000 5264.7000 European 25 Oct 2018
Ordinary NPV Call Options Written -460,000 6182.0000 European 14 Dec 2018
Ordinary NPV Call Options Written -114,000 4750.0200 European 14 May 2019
Ordinary NPV Call Options Written -104,700 5065.8300 European 17 Apr 2019
Ordinary NPV Call Options Written -78,000 5781.0000 European 14 Dec 2018
Ordinary NPV Call Options Written -75,900 4286.5200 European 6 Sep 2019
Ordinary NPV Call Options Written -70,000 4598.0000 European 14 Jun 2019
Ordinary NPV Put Options Purchased -39,000 5781.0000 European 14 Dec 2018
Ordinary NPV Put Options Written 70,000 4598.0000 European 14 Jun 2019
Ordinary NPV Put Options Written 75,900 4286.5200 European 6 Sep 2019
Ordinary NPV Put Options Written 78,000 5781.0000 European 14 Dec 2018
Ordinary NPV Put Options Written 104,700 5065.8300 European 17 Apr 2019
Ordinary NPV Put Options Written 114,000 4750.0200 European 14 May 2019
Ordinary NPV Call Options Purchased 10,000,000 4620.0372 European 6 Nov 2018
Ordinary NPV Call Options Written -10,000,000 4620.0372 European 6 Nov 2018
Ordinary NPV Put Options Purchased -10,000,000 4620.0372 European 6 Nov 2018
Ordinary NPV Put Options Written 10,000,000 4620.0372 European 6 Nov 2018
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
(http://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk&esheet=51904649&newsitemid=20181126005457&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=57ce016ad485be5b65e486ecaf7e6450)
.
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