REG - Nomura Holdings, Inc Takeda Pharma.Co.Ltd - Form 8 (DD) - Takeda Pharmaceutical Company Ltd
RNS Number : 5668LNomura Holdings, Inc27 December 2018FORM 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:
26 December 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:
699,003
0.089
1,508,085
0.192
(2) Cash-settled derivatives:
1,508,085
0.192
287,700
0.037
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
0
0.000
131,800
0.017
TOTAL:
2,207,088
0.281
1,927,585
0.246
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
505,700
3711.3711
3667.3667
Ordinary
Purchase
26,100
3718.0000
3676.0000
Ordinary
Sale
545,600
3702.7778
3667.8533
Ordinary
Sale
12,400
3723.0000
3676.0000
(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
3668.0000
Ordinary shares
Swap
Long
2,600
3670.7290
Ordinary shares
Swap
Long
8,300
3685.1435
Ordinary shares
Swap
Long
3,900
3688.1718
Ordinary shares
Swap
Long
8,800
3691.1932
Ordinary shares
Swap
Long
286,700
3693.6502
Ordinary shares
Swap
Long
91,100
3697.9238
Ordinary shares
Swap
Long
35,500
3699.2394
Ordinary shares
Swap
Long
107,600
3702.1682
Ordinary shares
Swap
Long
1,000
3703.0000
Ordinary shares
Swap
Short
100
3667.0000
Ordinary shares
Swap
Short
11,000
3687.0455
Ordinary shares
Swap
Short
3,700
3687.3811
Ordinary shares
Swap
Short
6,500
3687.7154
Ordinary shares
Swap
Short
3,000
3691.0000
Ordinary shares
Swap
Short
246,000
3693.8872
Ordinary shares
Swap
Short
3,400
3694.1470
Ordinary shares
Swap
Short
95,800
3695.5135
Ordinary shares
Swap
Short
1,800
3696.7307
Ordinary shares
Swap
Short
300
3697.9333
Ordinary shares
Swap
Short
4,300
3699.3510
Ordinary shares
Swap
Short
100,200
3700.4860
Ordinary shares
Swap
Short
23,500
3700.9277
Ordinary shares
Swap
Short
6,000
3701.9833
Ordinary shares
Swap
Short
100
3711.3711
(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:
27 December 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.
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:
Nomura Holdings Inc.
Name of offeror/offeree in relation to whose relevant securities the disclosure relates:
Takeda Pharmaceutical Company Limited
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class of relevant security
Product description e.g. call option
Written or purchased
Number of securities to which option or derivative relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Ordinary
Call
Written
-21,700
4,847
European
7-Jun-21
Ordinary
Put
Purchased
-11,800
4,460
European
10-Jan-19
Ordinary
Put
Purchased
-6,700
4,450
European
17-Apr-20
Ordinary
Put
Purchased
-6,000
4,727
European
31-July-20
Ordinary
Put
Purchased
-6,500
4,564
European
30-Aug-21
Ordinary
Put
Purchased
-10,300
4,827
European
28-Dec-21
Ordinary
Put
Purchased
-22,900
4,350
European
21-Jun-23
Ordinary
Put
Purchased
-6,400
4,626
European
11-Jul-23
Ordinary
Put
Purchased
-21,000
4,739
European
4-Aug-23
Ordinary
Put
Purchased
-11,400
4,367
European
24-Oct-23
Ordinary
Put
Purchased
-7,100
4,208
European
04-Dec-23
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.
SUPPLEMENTAL FORM 8 (SBL)
DETAILS OF SECURITIES BORROWING AND LENDING AND
FINANCIAL CO LLATERAL ARRANGEMENTS BY
PARTIES TO AN OFFER AND PERSONS ACTING IN CONCERT
Note 5(l) on Rule 8 of the Takeover Code (the "Code")
1. KEY INFORMATION
Full name of person making disclosure:
Nomura Holdings Inc.
Name of offeror/offeree in relation to whose relevant securities this form relates:
Takeda Pharmaceutical Company Limited
2. SECURITIES BORROWING AND LENDING/FINANCIAL COLLATERAL POSITIONS
Class of relevant security: JP3463000004
Ordinary shares
Number
%
Securities borrowed:
4,849,842
0.618
Securities lent (including securities subject to a security financial collateral arrangement with right of use or a title transfer collateral arrangement):
-1,625,425
-0.207
Details of borrowed relevant securities which have been either on-lent or sold do not need to be disclosed.
3. SECURITIES BORROWING AND LENDING/FINANCIAL COLLATERAL TRANSACTIONS
Class of relevant security
Nature of transaction
e.g. securities lending/borrowing, delivery/receipt of recalled securities, entering into financial collateral arrangement with right of use, entering into title transfer collateral arrangement etc.
Number of securities
Ordinary
Borrow
1,172,476
Ordinary
Borrow (Full return)
-1,911,321
Ordinary
Loan
-1,043,894
Ordinary
Loan (Full return)
2,322,694
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.
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