REG - Nomura Holdings, Inc Takeda Pharma.Co.Ltd - Form 8 (DD) - Takeda Pharmaceutical Company Ltd

Takeda Pharmaceutical CoAnnouncement

23/08/2018 11:30

RNS Number : 7089Y
Nomura Holdings, Inc
23 August 2018
 


FORM 8.4 (DD)
 
PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)
Rules 8.1, 8.2 and 8.4 of the Takeover Code (the "Code")
 
1.         KEY INFORMATION
 




(a) Full name of discloser:


Nomura Holdings Inc.




(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.


NA




(c) Name of offeror/offeree in relation to whose relevant securities this form relates:
     Use a separate form for each offeror/offeree


Takeda Pharmaceutical Company Limited




(d) Status of person making the disclosure:
     e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)


Joint Financial Advisor to Takeda Pharmaceutical Company Limited




(e) Date dealing undertaken:


22 August 2018




(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 / NO / N/A
If YES, specify which: NO




 
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
 




Class of relevant security: JP3463000004
                                                                                                                                                                                                              


Ordinary shares




 
 


Interests


Short positions




Number


%


Number


%




(1) Relevant securities owned and/or controlled:


636,053


0.081


216,070


0.028




(2) Cash-settled derivatives:
 


216,070


0.028


330,200


0.042




(3) Stock-settled derivatives (including options) and agreements to purchase/sell:


0


0.000


112,700


0.014




 
     TOTAL:


852,123


0.109


658,970


0.084




 
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).
 
Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).
 
(b)        Rights to subscribe for new securities (including directors' and other employee options)
                                   




Class of relevant security in relation to which subscription right exists:


Nil




Details, including nature of the rights concerned and relevant percentages:


Nil




 
3.         DEALINGS 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
 
(i)         Party to an offer or person acting in concert (except for a principal trader in the same group as a connected adviser)
 




Class of relevant security


Purchase/sale
 


Number of securities


Price per unit








 
 












 
(ii)        Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected adviser
 




Class of relevant security


Purchases/ sales
 


Total number of securities


Highest price per unit paid/received


Lowest price per unit paid/received




Ordinary


Purchase


209,500


4566.1270


4535.3628




Ordinary


Purchase


33,100


4574.0000


4563.0100




Ordinary


Sale


194,400


4573.3008


4545.3896




Ordinary


Sale


34,100


4574.0000


4574.0000




 
 (b)       Cash-settled derivative transactions
 




Class of relevant security


Product description
e.g. CFD


Nature of dealing
e.g. opening/closing a long/short position, increasing/reducing a long/short position


Number of reference securities


Price per unit




Ordinary shares


Swap


Long


700


4545.5714




Ordinary shares


Swap


Long


1,000


4550.5449




Ordinary shares


Swap


Long


17,100


4552.6023




Ordinary shares


Swap


Long


5,800


4559.3448




Ordinary shares


Swap


Long


21,500


4559.6418




Ordinary shares


Swap


Long


40,100


4560.2868




Ordinary shares


Swap


Long


32,100


4561.6978




Ordinary shares


Swap


Long


44,300


4562.0840




Ordinary shares


Swap


Long


8,500


4563.7588




Ordinary shares


Swap


Long


22,400


4564.8259




Ordinary shares


Swap


Long


900


4573.6667




Ordinary shares


Swap


Short


100


4535.0000




Ordinary shares


Swap


Short


33,300


4556.4715




Ordinary shares


Swap


Short


69,000


4557.7333




Ordinary shares


Swap


Short


30,100


4559.4528




Ordinary shares


Swap


Short


4,600


4559.8261




Ordinary shares


Swap


Short


4,900


4561.6296




Ordinary shares


Swap


Short


8,700


4561.8660




Ordinary shares


Swap


Short


8,600


4561.9930




Ordinary shares


Swap


Short


40,500


4563.5160




Ordinary shares


Swap


Short


9,700


4565.9443




                                                                                                                       
(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




Ordinary


Put Option


Purchasing


6,500


4,564


European


30-Aug-21


N/A




 
(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 party to the offer or person acting in concert making the disclosure and any other person:
Irrevocable commitments and letters of intent should not be included.  If there are no such agreements, arrangements or understandings, state "none"




 
NA
 




 
(b)        Agreements, arrangements or understandings relating to options or derivatives
 




Details of any agreement, arrangement or understanding, formal or informal, between the party to the offer or person acting in concert 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"




 
NA
 




 
(c)        Attachments
 
Are any Supplemental Forms attached?
 




Supplemental Form 8 (Open Positions)


YES




Supplemental Form 8 (SBL)


YES




 
 




Date of disclosure:


23 August  2018




Contact name:


Kyere Tabiri




Telephone number:


020 7102 1267




 
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 dealing disclosure requirements on +44 (0)20 7638 0129.
 
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
 
http://www.rns-pdf.londonstockexchange.com/rns/7089Y_1-2018-8-23.pdf
http://www.rns-pdf.londonstockexchange.com/rns/7089Y_2-2018-8-23.pdf




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