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 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. |
||
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(c) Name of offeror/offeree in relation to whose relevant securities
this form relates:
Use a separate form for each offeror/offeree |
TAKEDA PHARMACEUTICAL CO LTD |
|
| (d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree: | ||
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(e) Date position held/dealing undertaken:
For an opening position disclosure, state the latest practicable date prior to the disclosure |
21 August 2018 |
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(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 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: | 14,737,010 | 1.85% | 15,728,162 | 1.98% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 15,271,790 | 1.92% | 13,945,200 | 1.75% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 13,623,700 | 1.71% | 14,043,700 | 1.77% | |||||||
| (4) | |||||||||||
| TOTAL: | 43,632,500 | 5.49% | 43,717,062 | 5.50% | |||||||
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 | 10,234 | 20.8226 USD | ||||||
| ADR | Sale | 500 | 20.8720 USD | ||||||
| ADR | Sale | 9,734 | 20.8200 USD | ||||||
| Ordinary NPV | Purchase | 100 | 4,564.5000 JPY | ||||||
| Ordinary NPV | Purchase | 100 | 4,563.4500 JPY | ||||||
| Ordinary NPV | Purchase | 100 | 4,564.0000 JPY | ||||||
| Ordinary NPV | Purchase | 200 | 4,562.0000 JPY | ||||||
| Ordinary NPV | Purchase | 200 | 4,535.0000 JPY | ||||||
| Ordinary NPV | Purchase | 400 | 4,558.2500 JPY | ||||||
| Ordinary NPV | Purchase | 500 | 4,534.0000 JPY | ||||||
| Ordinary NPV | Purchase | 600 | 4,556.8333 JPY | ||||||
| Ordinary NPV | Purchase | 600 | 4,557.0000 JPY | ||||||
| Ordinary NPV | Purchase | 900 | 4,550.7778 JPY | ||||||
| Ordinary NPV | Purchase | 1,100 | 4,540.1363 JPY | ||||||
| Ordinary NPV | Purchase | 1,100 | 4,546.0000 JPY | ||||||
| Ordinary NPV | Purchase | 1,600 | 4,558.0000 JPY | ||||||
| Ordinary NPV | Purchase | 3,100 | 4,563.9032 JPY | ||||||
| Ordinary NPV | Purchase | 3,200 | 4,563.8437 JPY | ||||||
| Ordinary NPV | Purchase | 4,200 | 4,560.3690 JPY | ||||||
| Ordinary NPV | Purchase | 4,500 | 4,552.1333 JPY | ||||||
| Ordinary NPV | Purchase | 5,300 | 4,563.8301 JPY | ||||||
| Ordinary NPV | Purchase | 5,600 | 4,563.1428 JPY | ||||||
| Ordinary NPV | Purchase | 7,800 | 4,563.0910 JPY | ||||||
| Ordinary NPV | Purchase | 8,600 | 4,569.0000 JPY | ||||||
| Ordinary NPV | Purchase | 39,800 | 4,553.2311 JPY | ||||||
| Ordinary NPV | Purchase | 61,500 | 4,540.7626 JPY | ||||||
| Ordinary NPV | Purchase | 67,800 | 4,542.9365 JPY | ||||||
| Ordinary NPV | Purchase | 211,200 | 4,548.7528 JPY | ||||||
| Ordinary NPV | Sale | 100 | 4,564.0000 JPY | ||||||
| Ordinary NPV | Sale | 141 | 4,564.7943 JPY | ||||||
| Ordinary NPV | Sale | 212 | 4,564.3773 JPY | ||||||
| Ordinary NPV | Sale | 245 | 4,564.3551 JPY | ||||||
| Ordinary NPV | Sale | 278 | 4,566.9676 JPY | ||||||
| Ordinary NPV | Sale | 299 | 4,559.7826 JPY | ||||||
| Ordinary NPV | Sale | 400 | 4,564.5000 JPY | ||||||
| Ordinary NPV | Sale | 550 | 4,561.4545 JPY | ||||||
| Ordinary NPV | Sale | 705 | 4,571.0000 JPY | ||||||
| Ordinary NPV | Sale | 1,100 | 4,553.4545 JPY | ||||||
| Ordinary NPV | Sale | 1,100 | 4,539.9090 JPY | ||||||
| Ordinary NPV | Sale | 1,200 | 4,557.0000 JPY | ||||||
| Ordinary NPV | Sale | 1,200 | 4,542.1666 JPY | ||||||
| Ordinary NPV | Sale | 1,270 | 4,563.5362 JPY | ||||||
| Ordinary NPV | Sale | 1,700 | 4,560.0629 JPY | ||||||
| Ordinary NPV | Sale | 3,700 | 4,560.1078 JPY | ||||||
| Ordinary NPV | Sale | 3,800 | 4,560.0657 JPY | ||||||
| Ordinary NPV | Sale | 4,300 | 4,562.3023 JPY | ||||||
| Ordinary NPV | Sale | 5,300 | 4,563.8301 JPY | ||||||
| Ordinary NPV | Sale | 7,800 | 4,563.0910 JPY | ||||||
| Ordinary NPV | Sale | 8,600 | 4,569.0000 JPY | ||||||
| Ordinary NPV | Sale | 10,200 | 4,550.3725 JPY | ||||||
| Ordinary NPV | Sale | 11,100 | 4,558.0000 JPY | ||||||
| Ordinary NPV | Sale | 20,000 | 4,559.9400 JPY | ||||||
| Ordinary NPV | Sale | 67,800 | 4,543.1091 JPY | ||||||
| Ordinary NPV | Sale | 200,800 | 4,544.0448 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 | 141 | 4,564.7934 JPY | |||||
| Ordinary NPV | SWAP | Long | 212 | 4,564.3768 JPY | |||||
| Ordinary NPV | SWAP | Long | 245 | 4,564.3557 JPY | |||||
| Ordinary NPV | SWAP | Long | 278 | 4,566.9677 JPY | |||||
| Ordinary NPV | SWAP | Long | 299 | 4,559.3266 JPY | |||||
| Ordinary NPV | SWAP | Long | 550 | 4,561.4533 JPY | |||||
| Ordinary NPV | SWAP | Long | 705 | 4,570.6800 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,270 | 4,563.5364 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,700 | 4,560.0624 JPY | |||||
| Ordinary NPV | SWAP | Long | 2,100 | 4,564.0000 JPY | |||||
| Ordinary NPV | SWAP | Long | 3,700 | 4,560.1078 JPY | |||||
| Ordinary NPV | SWAP | Long | 7,100 | 4,562.5000 JPY | |||||
| Ordinary NPV | SWAP | Short | 100 | 4,563.4563 JPY | |||||
| Ordinary NPV | SWAP | Short | 600 | 4,557.0000 JPY | |||||
| Ordinary NPV | SWAP | Short | 2,100 | 4,564.0000 JPY | |||||
| Ordinary NPV | SWAP | Short | 7,100 | 4,562.5000 JPY | |||||
| Ordinary NPV | CFD | Short | 20,400 | 4,535.1397 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: |
22 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 monitoring@disclosure.org.uk. 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: |
TAKEDA PHARMACEUTICAL CO LTD |
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 | 48,000 | 4625.0000 | European | 12 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 | Put Options | Purchased | -48,000 | 4625.0000 | European | 12 Oct 2018 | |||||||
| Ordinary NPV | Put Options | Purchased | -39,000 | 5781.0000 | European | 14 Dec 2018 | |||||||
| 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 | 13,200,000 | 4799.0427 | European | 5 Sep 2018 | |||||||
| Ordinary NPV | Call Options | Written | -13,200,000 | 4799.0427 | European | 5 Sep 2018 | |||||||
| Ordinary NPV | Put Options | Purchased | -13,200,000 | 4799.0427 | European | 5 Sep 2018 | |||||||
| Ordinary NPV | Put Options | Written | 13,200,000 | 4799.0427 | European | 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.
View source version on businesswire.com: https://www.businesswire.com/news/home/20180822005366/en/
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