REG-BARCLAYS PLC Form 8.3 - TAKEDA PHARMACEUTICAL CO LTD
. Form 8.3 - TAKEDA PHARMACEUTICAL CO LTD
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 | 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: | 27 July 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 |
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: | ORD | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 14,750,410 | 1.86% | 14,499,643 | 1.82% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 14,219,390 | 1.79% | 14,054,700 | 1.77% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 13,623,700 | 1.71% | 14,043,700 | 1.77% | |||||||
| TOTAL: | 42,593,500 | 5.36% | 42,598,043 | 5.36% | |||||||
| Class of relevant security: | ADR | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 0 | 0.00% | 190,720 | 0.02% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 0 | 0.00% | 0 | 0.00% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| TOTAL: | 0 | 0.00% | 190,720 | 0.02% | |||||||
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 | ||||||
| ORD | Purchase | 100 | 4,724.0000 JPY | ||||
| ORD | Purchase | 100 | 4,709.5000 JPY | ||||
| ORD | Purchase | 100 | 4,690.2000 JPY | ||||
| ORD | Purchase | 100 | 4,693.0000 JPY | ||||
| ORD | Purchase | 200 | 4,676.0000 JPY | ||||
| ORD | Purchase | 300 | 4,694.0000 JPY | ||||
| ORD | Purchase | 400 | 4,685.2500 JPY | ||||
| ORD | Purchase | 400 | 4,694.8750 JPY | ||||
| ORD | Purchase | 500 | 4,680.6000 JPY | ||||
| ORD | Purchase | 1,000 | 4,677.6000 JPY | ||||
| ORD | Purchase | 1,000 | 4,686.9000 JPY | ||||
| ORD | Purchase | 1,300 | 4,718.4615 JPY | ||||
| ORD | Purchase | 1,400 | 4,691.0000 JPY | ||||
| ORD | Purchase | 1,600 | 4,695.7500 JPY | ||||
| ORD | Purchase | 3,600 | 4,702.9305 JPY | ||||
| ORD | Purchase | 3,600 | 4,703.4722 JPY | ||||
| ORD | Purchase | 4,500 | 4,687.0311 JPY | ||||
| ORD | Purchase | 6,400 | 4,684.1484 JPY | ||||
| ORD | Purchase | 7,400 | 4,718.0675 JPY | ||||
| ORD | Purchase | 7,700 | 4,720.7922 JPY | ||||
| ORD | Purchase | 15,000 | 4,701.1466 JPY | ||||
| ADR | Purchase | 15,102 | 21.0826 USD | ||||
| ORD | Purchase | 39,400 | 4,704.7461 JPY | ||||
| ORD | Purchase | 54,900 | 4,690.7577 JPY | ||||
| ADR | Purchase | 100,680 | 20.9346 USD | ||||
| ORD | Purchase | 137,100 | 4,697.7629 JPY | ||||
| ORD | Purchase | 283,200 | 4,692.7408 JPY | ||||
| ORD | Sale | 61 | 4,697.4098 JPY | ||||
| ORD | Sale | 100 | 4,693.0000 JPY | ||||
| ORD | Sale | 100 | 4,723.0000 JPY | ||||
| ORD | Sale | 161 | 4,718.4907 JPY | ||||
| ORD | Sale | 201 | 4,687.6318 JPY | ||||
| ORD | Sale | 300 | 4,677.3333 JPY | ||||
| ORD | Sale | 400 | 4,685.2500 JPY | ||||
| ORD | Sale | 500 | 4,697.8000 JPY | ||||
| ORD | Sale | 702 | 4,682.6809 JPY | ||||
| ORD | Sale | 704 | 4,690.5667 JPY | ||||
| ORD | Sale | 785 | 4,690.6267 JPY | ||||
| ORD | Sale | 1,200 | 4,676.7500 JPY | ||||
| ORD | Sale | 1,400 | 4,691.0000 JPY | ||||
| ORD | Sale | 1,689 | 4,688.4120 JPY | ||||
| ORD | Sale | 1,700 | 4,678.2941 JPY | ||||
| ORD | Sale | 2,081 | 4,687.3796 JPY | ||||
| ORD | Sale | 2,415 | 4,683.6447 JPY | ||||
| ORD | Sale | 3,600 | 4,702.9305 JPY | ||||
| ORD | Sale | 4,600 | 4,687.1000 JPY | ||||
| ORD | Sale | 4,900 | 4,707.4285 JPY | ||||
| ORD | Sale | 5,600 | 4,700.0000 JPY | ||||
| ORD | Sale | 6,400 | 4,684.1484 JPY | ||||
| ORD | Sale | 14,601 | 4,685.6823 JPY | ||||
| ORD | Sale | 14,700 | 4,678.0000 JPY | ||||
| ADR | Sale | 15,102 | 21.0826 USD | ||||
| ADR | Sale | 15,102 | 21.0217 USD | ||||
| ORD | Sale | 71,300 | 4,687.1388 JPY | ||||
| ADR | Sale | 85,578 | 20.9084 USD | ||||
| ORD | Sale | 140,100 | 4,696.5610 JPY | ||||
| ORD | Sale | 269,400 | 4,698.8904 JPY |
(b) Cash-settled derivative transactions
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | securities | ||||||||
| ORD | SWAP | Long | 61 | 4,697.4154 JPY | |||||
| ORD | SWAP | Long | 161 | 4,718.4881 JPY | |||||
| ORD | SWAP | Long | 201 | 4,687.6311 JPY | |||||
| ORD | SWAP | Long | 702 | 4,682.6808 JPY | |||||
| ORD | SWAP | Long | 704 | 4,690.5668 JPY | |||||
| ORD | SWAP | Long | 785 | 4,690.6266 JPY | |||||
| ORD | SWAP | Long | 1,689 | 4,688.4120 JPY | |||||
| ORD | SWAP | Long | 2,081 | 4,687.3795 JPY | |||||
| ORD | SWAP | Long | 2,415 | 4,683.6448 JPY | |||||
| ORD | SWAP | Long | 14,601 | 4,685.6822 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: | 30 Jul 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.
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
| 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 | |||||||||||||
| ORD | Call Options | Purchased | 13,200,000 | 4625.0373 | European | 6 Aug 2018 | |||||||
| ORD | Put Options | Purchased | -39,000 | 5781.0000 | European | 14 Dec 2018 | |||||||
| ORD | Put Options | Written | 13,200,000 | 4625.0373 | European | 6 Aug 2018 | |||||||
| ORD | Call Options | Purchased | 48,000 | 4625.0000 | European | 12 Oct 2018 | |||||||
| ORD | Call Options | Purchased | 40,000 | 6182.0000 | European | 14 Dec 2018 | |||||||
| ORD | Call Options | Purchased | 39,000 | 5781.0000 | European | 14 Dec 2018 | |||||||
| ORD | Call Options | Written | -78,000 | 5781.0000 | European | 14 Dec 2018 | |||||||
| ORD | Put Options | Purchased | -13,200,000 | 4625.0373 | European | 6 Aug 2018 | |||||||
| ORD | Call Options | Written | -460,000 | 6182.0000 | European | 14 Dec 2018 | |||||||
| ORD | Call Options | Written | -104,700 | 5065.8300 | European | 17 Apr 2019 | |||||||
| ORD | Put Options | Written | 104,700 | 5065.8300 | European | 17 Apr 2019 | |||||||
| ORD | Put Options | Purchased | -48,000 | 4625.0000 | European | 12 Oct 2018 | |||||||
| ORD | Call Options | Written | -13,200,000 | 4625.0373 | European | 6 Aug 2018 | |||||||
| ORD | Put Options | Written | 78,000 | 5781.0000 | European | 14 Dec 2018 | |||||||
| ORD | Put Options | Written | 114,000 | 4750.0200 | European | 14 May 2019 | |||||||
| ORD | Call 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/20180730005413/en/
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