REG-BARCLAYS PLC Form 8.3 - TAKEDA PHARMACEUTICAL CO LTD - AMENDMENT
. 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: | 07 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? | 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: | 11,639,618 | 1.48% | 18,916,042 | 2.38% | |||||||
(2) | Cash-settled derivatives: | ||||||||||
8,788,961 | 1.11% | 1,675,035 | 0.21% | ||||||||
(3) | Stock-settled derivatives (including options) | ||||||||||
and agreements to purchase/sell: | 514,600 | 0.06% | 514,600 | 0.06% | |||||||
TOTAL: | 20,943,179 | 2.65% | 21,105,677 | 2.66% |
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 | 19 | 18.6000 USD | ||||
ADR | Purchase | 47 | 18.5600 USD | ||||
ADR | Purchase | 100 | 18.4900 USD | ||||
ADR | Purchase | 100 | 18.6250 USD | ||||
ADR | Purchase | 300 | 18.5500 USD | ||||
ADR | Purchase | 1,100 | 18.5845 USD | ||||
ADR | Purchase | 2,400 | 18.5725 USD | ||||
ADR | Purchase | 6,100 | 18.5111 USD | ||||
ADR | Purchase | 6,600 | 18.5657 USD | ||||
ADR | Purchase | 68,400 | 18.5630 USD | ||||
ADR | Purchase | 74,900 | 18.5633 USD | ||||
ADR | Purchase | 170,800 | 18.5662 USD | ||||
ADR | Sale | 19 | 18.6000 USD | ||||
ADR | Sale | 47 | 18.5600 USD | ||||
ADR | Sale | 100 | 18.6250 USD | ||||
ADR | Sale | 100 | 18.4750 USD | ||||
ADR | Sale | 100 | 18.5250 USD | ||||
ADR | Sale | 200 | 18.5850 USD | ||||
ADR | Sale | 246 | 18.6100 USD | ||||
ADR | Sale | 300 | 18.5050 USD | ||||
ADR | Sale | 300 | 18.5700 USD | ||||
ADR | Sale | 400 | 18.5175 USD | ||||
ADR | Sale | 600 | 18.5083 USD | ||||
ADR | Sale | 800 | 18.5112 USD | ||||
ADR | Sale | 1,200 | 18.5095 USD | ||||
ADR | Sale | 1,300 | 18.5115 USD | ||||
ADR | Sale | 1,300 | 18.5146 USD | ||||
ADR | Sale | 3,900 | 18.5720 USD | ||||
ADR | Sale | 4,200 | 18.6650 USD | ||||
ADR | Sale | 4,500 | 18.5550 USD | ||||
ADR | Sale | 4,703 | 18.5552 USD | ||||
ADR | Sale | 5,100 | 18.5452 USD | ||||
ADR | Sale | 7,200 | 18.5470 USD | ||||
ADR | Sale | 8,298 | 18.5682 USD | ||||
ADR | Sale | 9,100 | 18.5728 USD | ||||
ADR | Sale | 11,714 | 18.5457 USD | ||||
ADR | Sale | 19,645 | 18.5660 USD | ||||
ADR | Sale | 19,883 | 18.5673 USD | ||||
ADR | Sale | 39,500 | 18.5521 USD | ||||
ADR | Sale | 47,748 | 18.5693 USD | ||||
ADR | Sale | 65,900 | 18.5621 USD | ||||
ADR | Sale | 77,009 | 18.5756 USD | ||||
Ordinary NPV | Purchase | 800 | 3,978.6875 JPY | ||||
Ordinary NPV | Purchase | 1,000 | 3,951.1000 JPY | ||||
Ordinary NPV | Purchase | 1,000 | 3,978.4000 JPY | ||||
Ordinary NPV | Purchase | 1,700 | 3,987.4058 JPY | ||||
Ordinary NPV | Purchase | 1,700 | 3,990.2764 JPY | ||||
Ordinary NPV | Purchase | 1,900 | 3,992.5789 JPY | ||||
Ordinary NPV | Purchase | 2,400 | 3,966.4166 JPY | ||||
Ordinary NPV | Purchase | 3,100 | 3,991.0000 JPY | ||||
Ordinary NPV | Purchase | 3,100 | 3,987.1871 JPY | ||||
Ordinary NPV | Purchase | 3,500 | 3,991.1714 JPY | ||||
Ordinary NPV | Purchase | 4,300 | 3,977.2790 JPY | ||||
Ordinary NPV | Purchase | 4,500 | 3,963.4777 JPY | ||||
Ordinary NPV | Purchase | 4,600 | 3,941.3260 JPY | ||||
Ordinary NPV | Purchase | 4,800 | 4,035.7500 JPY | ||||
Ordinary NPV | Purchase | 5,800 | 3,984.0000 JPY | ||||
Ordinary NPV | Purchase | 7,700 | 3,978.6883 JPY | ||||
Ordinary NPV | Purchase | 8,700 | 3,970.2701 JPY | ||||
Ordinary NPV | Purchase | 9,700 | 3,915.8762 JPY | ||||
Ordinary NPV | Purchase | 9,900 | 3,987.6666 JPY | ||||
Ordinary NPV | Purchase | 11,500 | 3,986.7834 JPY | ||||
Ordinary NPV | Purchase | 11,900 | 3,971.6890 JPY | ||||
Ordinary NPV | Purchase | 12,900 | 3,979.8062 JPY | ||||
Ordinary NPV | Purchase | 13,000 | 3,975.1538 JPY | ||||
Ordinary NPV | Purchase | 17,600 | 3,981.8636 JPY | ||||
Ordinary NPV | Purchase | 19,400 | 3,978.5670 JPY | ||||
Ordinary NPV | Purchase | 30,000 | 3,981.0266 JPY | ||||
Ordinary NPV | Purchase | 31,200 | 3,978.2115 JPY | ||||
Ordinary NPV | Purchase | 47,300 | 3,980.2304 JPY | ||||
Ordinary NPV | Purchase | 98,200 | 3,990.7841 JPY | ||||
Ordinary NPV | Purchase | 190,000 | 3,954.4900 JPY | ||||
Ordinary NPV | Purchase | 421,200 | 3,979.5439 JPY | ||||
Ordinary NPV | Purchase | 456,700 | 3,980.0102 JPY | ||||
Ordinary NPV | Purchase | 859,100 | 3,981.3206 JPY | ||||
Ordinary NPV | Purchase | 866,900 | 3,980.0862 JPY | ||||
Ordinary NPV | Sale | 400 | 3,966.0000 JPY | ||||
Ordinary NPV | Sale | 400 | 3,998.7500 JPY | ||||
Ordinary NPV | Sale | 1,000 | 3,945.8000 JPY | ||||
Ordinary NPV | Sale | 1,000 | 3,951.1000 JPY | ||||
Ordinary NPV | Sale | 1,000 | 4,006.9000 JPY | ||||
Ordinary NPV | Sale | 1,600 | 3,991.6000 JPY | ||||
Ordinary NPV | Sale | 1,700 | 3,990.2764 JPY | ||||
Ordinary NPV | Sale | 2,000 | 4,034.6500 JPY | ||||
Ordinary NPV | Sale | 2,400 | 3,966.4166 JPY | ||||
Ordinary NPV | Sale | 2,800 | 3,989.5357 JPY | ||||
Ordinary NPV | Sale | 4,100 | 3,981.4097 JPY | ||||
Ordinary NPV | Sale | 4,300 | 3,977.2790 JPY | ||||
Ordinary NPV | Sale | 6,700 | 3,966.3432 JPY | ||||
Ordinary NPV | Sale | 8,400 | 4,014.0476 JPY | ||||
Ordinary NPV | Sale | 8,700 | 3,970.2701 JPY | ||||
Ordinary NPV | Sale | 8,700 | 3,974.0000 JPY | ||||
Ordinary NPV | Sale | 11,500 | 3,986.7834 JPY | ||||
Ordinary NPV | Sale | 11,700 | 3,971.4615 JPY | ||||
Ordinary NPV | Sale | 13,000 | 4,080.0000 JPY | ||||
Ordinary NPV | Sale | 100,000 | 3,975.4300 JPY | ||||
Ordinary NPV | Sale | 421,200 | 3,978.9399 JPY | ||||
Ordinary NPV | Sale | 846,100 | 3,979.8045 JPY | ||||
Ordinary NPV | Sale | 869,300 | 3,980.0473 JPY | ||||
Ordinary NPV | Sale | 1,033,600 | 3,978.4521 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 | 1,600 | 4,057.6300 JPY | |||||
Ordinary NPV | CFD | Long | 150,000 | 3,985.9913 JPY | |||||
Ordinary NPV | SWAP | Short | 2,800 | 3,969.6778 JPY | |||||
Ordinary NPV | CFD | Short | 8,300 | 3,993.8209 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
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: | 9 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 | 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 | 150,000 | 3889.0000 | American | 11 Jun 2021 | |||||||
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 | -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 | -150,000 | 3889.0000 | American | 11 Jun 2021 | |||||||
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 | 104,700 | 5065.8300 | European | 17 Apr 2019 | |||||||
Ordinary NPV | Put Options | Written | 114,000 | 4750.0200 | European | 14 May 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.
View source version on businesswire.com: https://www.businesswire.com/news/home/20190109005528/en/
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