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

Takeda Pharmaceutical CoAnnouncement

10/09/2018 10:50

RNS Number : 2757A
Nomura Holdings, Inc
10 September 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:


07 September 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:


401,467


0.051


283,970


0.036




(2) Cash-settled derivatives:
 


283,970


0.036


96,600


0.012




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


0


0.000


112,700


0.014




 
     TOTAL:


685,437


0.087


493,270


0.062




 
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


609,700


4390.7362


4361.9926




Ordinary


Purchase


10,780


4422.5000


4347.0000




Ordinary


Sale


562,900


4390.3507


4370.4902




Ordinary


Sale


32,300


4397.0000


4374.0000




 
 (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


29,700


4370.6650




Ordinary shares


Swap


Long


100


4374.0000




Ordinary shares


Swap


Long


34,500


4376.6983




Ordinary shares


Swap


Long


100


4378.0000




Ordinary shares


Swap


Long


167,200


4378.8248




Ordinary shares


Swap


Long


17,100


4381.1061




Ordinary shares


Swap


Long


87,200


4381.2064




Ordinary shares


Swap


Long


100


4382.0000




Ordinary shares


Swap


Long


23,600


4382.0551




Ordinary shares


Swap


Long


147,300


4382.2295




Ordinary shares


Swap


Long


54,100


4385.9752




Ordinary shares


Swap


Long


1,900


4390.5263




Ordinary shares


Swap


Short


2,200


4361.8181




Ordinary shares


Swap


Short


27,100


4366.9701




Ordinary shares


Swap


Short


190,900


4372.0613




Ordinary shares


Swap


Short


1,200


4373.5833




Ordinary shares


Swap


Short


25,600


4375.7578




Ordinary shares


Swap


Short


19,500


4376.1513




Ordinary shares


Swap


Short


166,200


4376.5066




Ordinary shares


Swap


Short


1,000


4376.5188




Ordinary shares


Swap


Short


7,900


4376.5958




Ordinary shares


Swap


Short


100


4381.0000




Ordinary shares


Swap


Short


111,500


4382.0108




Ordinary shares


Swap


Short


56,500


4390.5605




                                                                                                                       
(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 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:


10 September  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/2757A_1-2018-9-10.pdf
 
http://www.rns-pdf.londonstockexchange.com/rns/2757A_2-2018-9-10.pdf




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