Form 8.3 - TAKEDA PHARMACEUTICAL CO LTD

2nd Nov 2018 14:32

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.
(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:
(e) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure		1 Nov 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 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:		11,054,064		1.39%		12,137,779		1.53%
(2)		Cash-settled derivatives:
				11,747,886		1.48%		10,255,300		1.29%
(3)		Stock-settled derivatives (including options)
		and agreements to purchase/sell:		10,521,600		1.32%		10,941,600		1.38%
(4)
		TOTAL:		33,323,550		4.19%		33,334,679		4.19%

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		22,300		20.3491 USD
ADR		Purchase		22,300		20.5394 USD
ADR		Sale		5,600		20.3991 USD
ADR		Sale		16,700		20.5864 USD
ADR		Sale		22,300		20.3491 USD
Ordinary NPV		Purchase		300		4,610.5333 JPY
Ordinary NPV		Purchase		400		4,640.5000 JPY
Ordinary NPV		Purchase		600		4,627.9000 JPY
Ordinary NPV		Purchase		700		4,575.4857 JPY
Ordinary NPV		Purchase		800		4,593.1250 JPY
Ordinary NPV		Purchase		1,000		4,591.0000 JPY
Ordinary NPV		Purchase		1,400		4,649.9285 JPY
Ordinary NPV		Purchase		1,700		4,615.3235 JPY
Ordinary NPV		Purchase		2,000		4,616.8500 JPY
Ordinary NPV		Purchase		2,300		4,673.1304 JPY
Ordinary NPV		Purchase		2,300		4,658.6521 JPY
Ordinary NPV		Purchase		3,200		4,638.8437 JPY
Ordinary NPV		Purchase		4,000		4,705.9250 JPY
Ordinary NPV		Purchase		4,100		4,608.2439 JPY
Ordinary NPV		Purchase		4,800		4,653.5208 JPY
Ordinary NPV		Purchase		8,000		4,624.2250 JPY
Ordinary NPV		Purchase		9,500		4,629.9157 JPY
Ordinary NPV		Purchase		9,800		4,643.0408 JPY
Ordinary NPV		Purchase		14,400		4,576.8611 JPY
Ordinary NPV		Purchase		14,900		4,590.4093 JPY
Ordinary NPV		Purchase		44,500		4,584.9528 JPY
Ordinary NPV		Purchase		47,800		4,616.6610 JPY
Ordinary NPV		Purchase		78,600		4,593.9783 JPY
Ordinary NPV		Purchase		166,500		4,587.0000 JPY
Ordinary NPV		Purchase		220,500		4,643.0594 JPY
Ordinary NPV		Purchase		458,700		4,633.5515 JPY
Ordinary NPV		Purchase		461,700		4,633.8453 JPY
Ordinary NPV		Purchase		640,100		4,665.4088 JPY
Ordinary NPV		Sale		300		4,610.5333 JPY
Ordinary NPV		Sale		400		4,722.0000 JPY
Ordinary NPV		Sale		600		4,627.9000 JPY
Ordinary NPV		Sale		700		4,575.4857 JPY
Ordinary NPV		Sale		1,700		4,615.3235 JPY
Ordinary NPV		Sale		1,900		4,603.4210 JPY
Ordinary NPV		Sale		2,000		4,616.8500 JPY
Ordinary NPV		Sale		2,500		4,568.0000 JPY
Ordinary NPV		Sale		2,700		4,575.1111 JPY
Ordinary NPV		Sale		3,200		4,638.8437 JPY
Ordinary NPV		Sale		4,000		4,575.1500 JPY
Ordinary NPV		Sale		4,800		4,659.6458 JPY
Ordinary NPV		Sale		4,900		4,605.7755 JPY
Ordinary NPV		Sale		6,300		4,602.7301 JPY
Ordinary NPV		Sale		12,100		4,606.7603 JPY
Ordinary NPV		Sale		13,900		4,648.6402 JPY
Ordinary NPV		Sale		20,000		4,587.0000 JPY
Ordinary NPV		Sale		34,600		4,657.7774 JPY
Ordinary NPV		Sale		80,200		4,644.7693 JPY
Ordinary NPV		Sale		220,500		4,642.4217 JPY
Ordinary NPV		Sale		458,700		4,633.5515 JPY
Ordinary NPV		Sale		461,700		4,633.8453 JPY
Ordinary NPV		Sale		531,000		4,624.5967 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		100		4,639.0000 JPY
Ordinary NPV		CFD		Long		20,000		4,587.0000 JPY
Ordinary NPV		SWAP		Short		166,500		4,587.0000 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:		2 Nov 2018
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 [email protected]. 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

39,000

5781.0000

European

14 Dec 2018

Ordinary NPV

Call Options

Purchased

40,000

6182.0000

European

14 Dec 2018

Ordinary NPV

Call Options

Written

-460,000

6182.0000

European

14 Dec 2018

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

-78,000

5781.0000

European

14 Dec 2018

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

-39,000

5781.0000

European

14 Dec 2018

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

78,000

5781.0000

European

14 Dec 2018

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

4620.0372

European

6 Nov 2018

Ordinary NPV

Call Options

Written

-10,000,000

4620.0372

European

6 Nov 2018

Ordinary NPV

Put Options

Purchased

-10,000,000

4620.0372

European

6 Nov 2018

Ordinary NPV

Put Options

Written

10,000,000

4620.0372

European

0 Jan 1900

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/20181102005367/en/

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