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 |
4 Jan 2019 |
|
|
(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: | 11,957,858 | 1.50% | 18,767,336 | 2.36% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 18,647,261 | 2.35% | 11,673,835 | 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: | 41,119,719 | 5.17% | 40,955,771 | 5.15% |
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 | 13 | 17.7200 USD | ||||||
| ADR | Purchase | 21 | 17.6200 USD | ||||||
| ADR | Purchase | 700 | 17.2485 USD | ||||||
| ADR | Purchase | 2,200 | 17.6854 USD | ||||||
| ADR | Purchase | 2,341 | 17.6248 USD | ||||||
| ADR | Purchase | 2,500 | 17.7000 USD | ||||||
| ADR | Purchase | 3,579 | 17.5596 USD | ||||||
| ADR | Purchase | 4,380 | 17.5840 USD | ||||||
| ADR | Purchase | 5,771 | 17.5169 USD | ||||||
| ADR | Purchase | 5,800 | 17.5058 USD | ||||||
| ADR | Purchase | 8,327 | 17.4618 USD | ||||||
| ADR | Purchase | 8,909 | 17.5405 USD | ||||||
| ADR | Purchase | 10,177 | 17.5844 USD | ||||||
| ADR | Purchase | 16,771 | 17.8702 USD | ||||||
| ADR | Purchase | 20,000 | 17.1545 USD | ||||||
| ADR | Purchase | 22,264 | 17.5257 USD | ||||||
| ADR | Purchase | 45,939 | 17.5093 USD | ||||||
| ADR | Purchase | 130,700 | 17.3140 USD | ||||||
| ADR | Purchase | 131,400 | 17.3137 USD | ||||||
| ADR | Purchase | 233,566 | 16.8200 USD | ||||||
| ADR | Sale | 21 | 17.6200 USD | ||||||
| ADR | Sale | 200 | 17.1600 USD | ||||||
| ADR | Sale | 1,300 | 17.1500 USD | ||||||
| ADR | Sale | 2,200 | 17.6854 USD | ||||||
| ADR | Sale | 2,500 | 17.7000 USD | ||||||
| ADR | Sale | 2,730 | 17.9920 USD | ||||||
| ADR | Sale | 8,500 | 17.1550 USD | ||||||
| ADR | Sale | 10,000 | 17.1545 USD | ||||||
| ADR | Sale | 14,041 | 17.8465 USD | ||||||
| ADR | Sale | 27,600 | 17.3743 USD | ||||||
| ADR | Sale | 103,800 | 17.2976 USD | ||||||
| ADR | Sale | 117,500 | 17.5247 USD | ||||||
| ADR | Sale | 131,400 | 17.3137 USD | ||||||
| ADR | Sale | 233,566 | 16.8200 USD | ||||||
| Ordinary NPV | Purchase | 100 | 3,690.1000 JPY | ||||||
| Ordinary NPV | Purchase | 800 | 3,697.9125 JPY | ||||||
| Ordinary NPV | Purchase | 1,100 | 3,701.8181 JPY | ||||||
| Ordinary NPV | Purchase | 1,400 | 3,715.0000 JPY | ||||||
| Ordinary NPV | Purchase | 1,400 | 3,694.8714 JPY | ||||||
| Ordinary NPV | Purchase | 1,700 | 3,703.2058 JPY | ||||||
| Ordinary NPV | Purchase | 2,500 | 3,737.8000 JPY | ||||||
| Ordinary NPV | Purchase | 2,900 | 3,726.7241 JPY | ||||||
| Ordinary NPV | Purchase | 3,600 | 3,691.7500 JPY | ||||||
| Ordinary NPV | Purchase | 4,100 | 3,690.9000 JPY | ||||||
| Ordinary NPV | Purchase | 4,800 | 3,643.7708 JPY | ||||||
| Ordinary NPV | Purchase | 5,100 | 3,709.1176 JPY | ||||||
| Ordinary NPV | Purchase | 7,300 | 3,755.1506 JPY | ||||||
| Ordinary NPV | Purchase | 7,600 | 3,701.9802 JPY | ||||||
| Ordinary NPV | Purchase | 9,800 | 3,717.8775 JPY | ||||||
| Ordinary NPV | Purchase | 13,200 | 3,700.9810 JPY | ||||||
| Ordinary NPV | Purchase | 14,400 | 3,720.7083 JPY | ||||||
| Ordinary NPV | Purchase | 16,000 | 3,707.6687 JPY | ||||||
| Ordinary NPV | Purchase | 17,400 | 3,737.2069 JPY | ||||||
| Ordinary NPV | Purchase | 46,100 | 3,691.7331 JPY | ||||||
| Ordinary NPV | Purchase | 58,200 | 3,708.4192 JPY | ||||||
| Ordinary NPV | Purchase | 119,900 | 3,724.3995 JPY | ||||||
| Ordinary NPV | Purchase | 176,900 | 3,696.6766 JPY | ||||||
| Ordinary NPV | Purchase | 190,800 | 3,734.7547 JPY | ||||||
| Ordinary NPV | Purchase | 285,700 | 3,659.7273 JPY | ||||||
| Ordinary NPV | Purchase | 1,320,500 | 3,706.9141 JPY | ||||||
| Ordinary NPV | Purchase | 1,334,000 | 3,705.5814 JPY | ||||||
| Ordinary NPV | Sale | 43 | 3,679.6512 JPY | ||||||
| Ordinary NPV | Sale | 48 | 3,673.6250 JPY | ||||||
| Ordinary NPV | Sale | 111 | 3,638.7927 JPY | ||||||
| Ordinary NPV | Sale | 179 | 3,681.3631 JPY | ||||||
| Ordinary NPV | Sale | 399 | 3,661.8771 JPY | ||||||
| Ordinary NPV | Sale | 700 | 3,653.8571 JPY | ||||||
| Ordinary NPV | Sale | 800 | 3,624.4750 JPY | ||||||
| Ordinary NPV | Sale | 800 | 3,697.9125 JPY | ||||||
| Ordinary NPV | Sale | 1,400 | 3,694.8714 JPY | ||||||
| Ordinary NPV | Sale | 1,596 | 3,666.6510 JPY | ||||||
| Ordinary NPV | Sale | 1,835 | 3,647.7689 JPY | ||||||
| Ordinary NPV | Sale | 2,000 | 3,652.1000 JPY | ||||||
| Ordinary NPV | Sale | 2,900 | 3,763.7241 JPY | ||||||
| Ordinary NPV | Sale | 4,000 | 3,613.8250 JPY | ||||||
| Ordinary NPV | Sale | 4,800 | 3,632.6250 JPY | ||||||
| Ordinary NPV | Sale | 7,400 | 3,710.7027 JPY | ||||||
| Ordinary NPV | Sale | 7,600 | 3,701.9802 JPY | ||||||
| Ordinary NPV | Sale | 8,300 | 3,715.9638 JPY | ||||||
| Ordinary NPV | Sale | 9,300 | 3,721.3440 JPY | ||||||
| Ordinary NPV | Sale | 9,900 | 3,700.1515 JPY | ||||||
| Ordinary NPV | Sale | 13,200 | 3,700.9810 JPY | ||||||
| Ordinary NPV | Sale | 15,867 | 3,672.5060 JPY | ||||||
| Ordinary NPV | Sale | 18,900 | 3,648.5978 JPY | ||||||
| Ordinary NPV | Sale | 19,000 | 3,704.2736 JPY | ||||||
| Ordinary NPV | Sale | 23,522 | 3,625.5808 JPY | ||||||
| Ordinary NPV | Sale | 37,800 | 3,717.7989 JPY | ||||||
| Ordinary NPV | Sale | 976,700 | 3,689.9559 JPY | ||||||
| Ordinary NPV | Sale | 1,315,100 | 3,706.4003 JPY | ||||||
| Ordinary NPV | Sale | 1,320,500 | 3,706.9141 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 | 43 | 3,679.6320 JPY | |||||
| Ordinary NPV | SWAP | Long | 43 | 3,689.6310 JPY | |||||
| Ordinary NPV | SWAP | Long | 48 | 3,673.6326 JPY | |||||
| Ordinary NPV | SWAP | Long | 68 | 3,606.6393 JPY | |||||
| Ordinary NPV | SWAP | Long | 81 | 3,631.4146 JPY | |||||
| Ordinary NPV | SWAP | Long | 179 | 3,681.3633 JPY | |||||
| Ordinary NPV | SWAP | Long | 298 | 3,630.6590 JPY | |||||
| Ordinary NPV | SWAP | Long | 300 | 3,641.1700 JPY | |||||
| Ordinary NPV | SWAP | Long | 318 | 3,669.6377 JPY | |||||
| Ordinary NPV | SWAP | Long | 813 | 3,625.3723 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,022 | 3,665.5849 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,298 | 3,674.9144 JPY | |||||
| Ordinary NPV | SWAP | Long | 3,182 | 3,652.7027 JPY | |||||
| Ordinary NPV | SWAP | Long | 3,300 | 3,619.8389 JPY | |||||
| Ordinary NPV | SWAP | Long | 12,567 | 3,686.3359 JPY | |||||
| Ordinary NPV | SWAP | Long | 20,340 | 3,621.3379 JPY | |||||
| Ordinary NPV | CFD | Long | 150,000 | 3,699.6477 JPY | |||||
| Ordinary NPV | SWAP | Short | 25,400 | 3,728.4539 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: |
7 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 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 | 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.
View source version on businesswire.com: https://www.businesswire.com/news/home/20190107005543/en/
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