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REG-BARCLAYS PLC FORM 8.3 - TAKEDA PHARMACEUTICAL CO LTD

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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: 28 December 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: 11,778,199 1.48% 18,521,477 2.33%
           
(2) Cash-settled derivatives:
18,453,661 2.32% 11,648,735 1.47%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 10,514,600 1.32% 10,514,600 1.32%
           
(4)
TOTAL: 40,746,460 5.13% 40,684,812 5.12%

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 200 16.7625 USD
ADR Purchase 400 16.7113 USD
ADR Purchase 786 16.7400 USD
ADR Purchase 15,400 16.7669 USD
ADR Purchase 16,000 16.7654 USD
ADR Sale 400 16.7112 USD
ADR Sale 786 16.7400 USD
ADR Sale 5,300 16.7268 USD
ADR Sale 10,300 16.7874 USD
ADR Sale 16,000 16.7654 USD
Ordinary NPV Purchase 300 3,712.0000 JPY
Ordinary NPV Purchase 300 3,707.0333 JPY
Ordinary NPV Purchase 1,300 3,708.5076 JPY
Ordinary NPV Purchase 1,400 3,719.0428 JPY
Ordinary NPV Purchase 1,900 3,705.0000 JPY
Ordinary NPV Purchase 2,100 3,729.2857 JPY
Ordinary NPV Purchase 3,400 3,761.6470 JPY
Ordinary NPV Purchase 3,600 3,708.1944 JPY
Ordinary NPV Purchase 3,800 3,751.6842 JPY
Ordinary NPV Purchase 5,500 3,696.3981 JPY
Ordinary NPV Purchase 8,600 3,728.8430 JPY
Ordinary NPV Purchase 9,000 3,723.8722 JPY
Ordinary NPV Purchase 13,900 3,712.0755 JPY
Ordinary NPV Purchase 18,800 3,718.6063 JPY
Ordinary NPV Purchase 38,200 3,741.2199 JPY
Ordinary NPV Purchase 49,300 3,700.3123 JPY
Ordinary NPV Purchase 51,600 3,728.5833 JPY
Ordinary NPV Purchase 57,400 3,743.9721 JPY
Ordinary NPV Purchase 107,100 3,701.4005 JPY
Ordinary NPV Purchase 135,300 3,738.1692 JPY
Ordinary NPV Purchase 159,200 3,737.0515 JPY
Ordinary NPV Purchase 242,700 3,726.4919 JPY
Ordinary NPV Purchase 536,200 3,727.0261 JPY
Ordinary NPV Purchase 544,600 3,727.1028 JPY
Ordinary NPV Sale 300 3,712.0000 JPY
Ordinary NPV Sale 800 3,698.0000 JPY
Ordinary NPV Sale 1,100 3,720.6363 JPY
Ordinary NPV Sale 1,300 3,708.5076 JPY
Ordinary NPV Sale 2,900 3,760.0000 JPY
Ordinary NPV Sale 3,000 3,719.2366 JPY
Ordinary NPV Sale 3,400 3,753.2647 JPY
Ordinary NPV Sale 3,700 3,726.5540 JPY
Ordinary NPV Sale 3,800 3,748.5789 JPY
Ordinary NPV Sale 3,900 3,742.0256 JPY
Ordinary NPV Sale 5,500 3,696.3981 JPY
Ordinary NPV Sale 6,500 3,707.9692 JPY
Ordinary NPV Sale 8,100 3,728.7469 JPY
Ordinary NPV Sale 9,000 3,701.5444 JPY
Ordinary NPV Sale 9,000 3,694.4444 JPY
Ordinary NPV Sale 9,000 3,723.8722 JPY
Ordinary NPV Sale 13,900 3,712.0755 JPY
Ordinary NPV Sale 31,300 3,701.6453 JPY
Ordinary NPV Sale 135,300 3,737.6637 JPY
Ordinary NPV Sale 536,200 3,727.0261 JPY
Ordinary NPV Sale 584,500 3,728.0920 JPY
Ordinary NPV Sale 922,600 3,727.4908 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 3,761.0000 JPY
Ordinary NPV CFD Long 300,000 3,724.2825 JPY
Ordinary NPV SWAP Short 2,300 3,719.1404 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: 31 Dec 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.

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
Ordinary NPV Call Options Purchased 10,000,000 4206.0397 European 7 Jan 2019
Ordinary NPV Call Options Written -10,000,000 4206.0397 European 7 Jan 2019
Ordinary NPV Put Options Purchased -10,000,000 4206.0397 European 7 Jan 2019
Ordinary NPV Put Options Written 10,000,000 4206.0397 European 7 Jan 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.

BARCLAYS PLC

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