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

Takeda Pharmaceutical CoAnnouncement

12/11/2018 11:15

RNS Number : 0665H
Nomura Holdings, Inc
12 November 2018
 


FORM 8.4 (DD)
 
PUBLIC DEALING DISCL
OSURE 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:


09 November 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:


146,910


0.019


728,070


0.093




(2) Cash-settled derivatives:
 


728,070


0.093


133,000


0.017




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


0


0.000


130,800


0.017




 
     TOTAL:


874,980


0.112


991,870


0.127




 
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


739,600


4570.1828


4516.8949




Ordinary


Purchase


159,700


4581.5000


4497.0000




Ordinary


Sale


622,000


4644.6023


4509.7294




Ordinary


Sale


63,791


4570.0000


4497.0000




 
 (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


100


4510.0000




Ordinary shares


Swap


Long


4,500


4525.2030




Ordinary shares


Swap


Long


7,700


4529.1494




Ordinary shares


Swap


Long


11,400


4530.4430




Ordinary shares


Swap


Long


60,700


4531.4827




Ordinary shares


Swap


Long


17,200


4531.7616




Ordinary shares


Swap


Long


1,000


4532.7000




Ordinary shares


Swap


Long


20,600


4532.7388




Ordinary shares


Swap


Long


172,700


4535.0661




Ordinary shares


Swap


Long


253,500


4535.7112




Ordinary shares


Swap


Long


200


4542.5000




Ordinary shares


Swap


Long


1,400


4644.6023




Ordinary shares


Swap


Short


700


4516.7142




Ordinary shares


Swap


Short


200


4527.9528




Ordinary shares


Swap


Short


12,800


4528.8313




Ordinary shares


Swap


Short


81,100


4531.4624




Ordinary shares


Swap


Short


210,500


4532.6715




Ordinary shares


Swap


Short


4,200


4534.0476




Ordinary shares


Swap


Short


339,100


4535.4143




Ordinary shares


Swap


Short


12,100


4535.9215




Ordinary shares


Swap


Short


26,300


4536.0913




Ordinary shares


Swap


Short


34,700


4543.9855




Ordinary shares


Swap


Short


400


4547.5000




Ordinary shares


Swap


Short


300


4557.5900




Ordinary shares


Swap


Short


17,200


4570.0000




                                                                                                                       
(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:


12 November 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/0665H_1-2018-11-12.pdf
 
http://www.rns-pdf.londonstockexchange.com/rns/0665H_2-2018-11-12.pdf




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