21st Dec 2018 11:44
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 interest and short | ||||
| positions disclosed, if different from 1(a): | |||||
| (c) | Name of offeror/offeree in relation to whose | TAKEDA PHARMACEUTICAL CO LTD | |||
| relevant securities this form relates: | |||||
| (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: | 20 December 2018 | |||
| (f) | In addition to the company in 1(c) above, is the discloser making | YES: | |||
| disclosures in respect of any other party to the offer? | 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: | 11,854,958 | 1.49% | 15,628,354 | 1.97% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 15,679,753 | 1.97% | 11,640,841 | 1.46% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 10,514,600 | 1.32% | 10,514,600 | 1.32% | |||||||
| TOTAL: | 38,049,311 | 4.79% | 37,783,795 | 4.75% | |||||||
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 | 5,000 | 16.8000 USD | ||||
| ADR | Purchase | 16,800 | 16.7213 USD | ||||
| ADR | Purchase | 125,510 | 16.7540 USD | ||||
| ADR | Purchase | 363,945 | 16.7515 USD | ||||
| ADR | Sale | 1,027 | 16.7500 USD | ||||
| ADR | Sale | 2,500 | 16.8000 USD | ||||
| ADR | Sale | 16,800 | 16.7213 USD | ||||
| ADR | Sale | 489,455 | 16.7521 USD | ||||
| Ordinary NPV | Purchase | 100 | 3,832.0000 JPY | ||||
| Ordinary NPV | Purchase | 100 | 3,893.0000 JPY | ||||
| Ordinary NPV | Purchase | 500 | 3,786.0000 JPY | ||||
| Ordinary NPV | Purchase | 2,200 | 3,907.1363 JPY | ||||
| Ordinary NPV | Purchase | 3,700 | 3,803.3314 JPY | ||||
| Ordinary NPV | Purchase | 4,000 | 3,840.0000 JPY | ||||
| Ordinary NPV | Purchase | 4,100 | 3,819.9024 JPY | ||||
| Ordinary NPV | Purchase | 4,100 | 3,830.1707 JPY | ||||
| Ordinary NPV | Purchase | 4,300 | 3,684.5348 JPY | ||||
| Ordinary NPV | Purchase | 4,500 | 3,839.3333 JPY | ||||
| Ordinary NPV | Purchase | 4,700 | 3,639.0425 JPY | ||||
| Ordinary NPV | Purchase | 5,300 | 3,910.8113 JPY | ||||
| Ordinary NPV | Purchase | 5,900 | 3,829.3525 JPY | ||||
| Ordinary NPV | Purchase | 8,300 | 3,809.2650 JPY | ||||
| Ordinary NPV | Purchase | 9,200 | 3,837.7500 JPY | ||||
| Ordinary NPV | Purchase | 10,500 | 3,829.7619 JPY | ||||
| Ordinary NPV | Purchase | 13,300 | 3,812.7218 JPY | ||||
| Ordinary NPV | Purchase | 14,000 | 3,734.2857 JPY | ||||
| Ordinary NPV | Purchase | 16,600 | 3,761.1385 JPY | ||||
| Ordinary NPV | Purchase | 19,600 | 3,756.2653 JPY | ||||
| Ordinary NPV | Purchase | 23,300 | 3,838.8656 JPY | ||||
| Ordinary NPV | Purchase | 23,800 | 3,641.9033 JPY | ||||
| Ordinary NPV | Purchase | 24,900 | 3,817.2590 JPY | ||||
| Ordinary NPV | Purchase | 30,000 | 3,839.8186 JPY | ||||
| Ordinary NPV | Purchase | 30,700 | 3,813.4299 JPY | ||||
| Ordinary NPV | Purchase | 34,400 | 3,842.6133 JPY | ||||
| Ordinary NPV | Purchase | 41,600 | 3,695.1851 JPY | ||||
| Ordinary NPV | Purchase | 55,300 | 3,833.0605 JPY | ||||
| Ordinary NPV | Purchase | 63,000 | 3,830.4380 JPY | ||||
| Ordinary NPV | Purchase | 63,500 | 3,794.7488 JPY | ||||
| Ordinary NPV | Purchase | 73,300 | 3,821.8697 JPY | ||||
| Ordinary NPV | Purchase | 78,600 | 3,852.0114 JPY | ||||
| Ordinary NPV | Purchase | 93,800 | 3,809.7249 JPY | ||||
| Ordinary NPV | Purchase | 150,000 | 3,857.2533 JPY | ||||
| Ordinary NPV | Purchase | 445,500 | 3,811.0936 JPY | ||||
| Ordinary NPV | Purchase | 934,100 | 3,808.7174 JPY | ||||
| Ordinary NPV | Purchase | 2,254,200 | 3,812.7546 JPY | ||||
| Ordinary NPV | Purchase | 2,324,000 | 3,811.6574 JPY | ||||
| Ordinary NPV | Sale | 18 | 3,908.3333 JPY | ||||
| Ordinary NPV | Sale | 100 | 3,840.8000 JPY | ||||
| Ordinary NPV | Sale | 100 | 3,799.0000 JPY | ||||
| Ordinary NPV | Sale | 200 | 3,789.5000 JPY | ||||
| Ordinary NPV | Sale | 200 | 3,789.7000 JPY | ||||
| Ordinary NPV | Sale | 500 | 3,786.0000 JPY | ||||
| Ordinary NPV | Sale | 682 | 3,805.0777 JPY | ||||
| Ordinary NPV | Sale | 768 | 3,725.2943 JPY | ||||
| Ordinary NPV | Sale | 1,000 | 3,847.1000 JPY | ||||
| Ordinary NPV | Sale | 1,580 | 3,749.0727 JPY | ||||
| Ordinary NPV | Sale | 1,600 | 3,799.1875 JPY | ||||
| Ordinary NPV | Sale | 1,640 | 3,765.0037 JPY | ||||
| Ordinary NPV | Sale | 1,954 | 3,832.9560 JPY | ||||
| Ordinary NPV | Sale | 2,100 | 3,785.0000 JPY | ||||
| Ordinary NPV | Sale | 2,300 | 3,815.8695 JPY | ||||
| Ordinary NPV | Sale | 4,100 | 3,830.1707 JPY | ||||
| Ordinary NPV | Sale | 4,239 | 3,788.4671 JPY | ||||
| Ordinary NPV | Sale | 4,400 | 3,877.0000 JPY | ||||
| Ordinary NPV | Sale | 4,860 | 3,843.2820 JPY | ||||
| Ordinary NPV | Sale | 5,987 | 3,764.3345 JPY | ||||
| Ordinary NPV | Sale | 6,000 | 3,829.5133 JPY | ||||
| Ordinary NPV | Sale | 6,200 | 3,837.5000 JPY | ||||
| Ordinary NPV | Sale | 6,830 | 3,849.0386 JPY | ||||
| Ordinary NPV | Sale | 8,000 | 3,836.9375 JPY | ||||
| Ordinary NPV | Sale | 12,808 | 3,728.0943 JPY | ||||
| Ordinary NPV | Sale | 13,800 | 3,730.4855 JPY | ||||
| Ordinary NPV | Sale | 14,500 | 3,805.0790 JPY | ||||
| Ordinary NPV | Sale | 19,200 | 3,838.7130 JPY | ||||
| Ordinary NPV | Sale | 23,300 | 3,838.6931 JPY | ||||
| Ordinary NPV | Sale | 23,318 | 3,802.6969 JPY | ||||
| Ordinary NPV | Sale | 25,100 | 3,817.6474 JPY | ||||
| Ordinary NPV | Sale | 27,100 | 3,828.2527 JPY | ||||
| Ordinary NPV | Sale | 29,700 | 3,820.1750 JPY | ||||
| Ordinary NPV | Sale | 30,000 | 3,839.8186 JPY | ||||
| Ordinary NPV | Sale | 63,500 | 3,794.7488 JPY | ||||
| Ordinary NPV | Sale | 73,300 | 3,821.8697 JPY | ||||
| Ordinary NPV | Sale | 75,000 | 3,839.4520 JPY | ||||
| Ordinary NPV | Sale | 93,800 | 3,809.7249 JPY | ||||
| Ordinary NPV | Sale | 137,100 | 3,833.7359 JPY | ||||
| Ordinary NPV | Sale | 153,700 | 3,827.9785 JPY | ||||
| Ordinary NPV | Sale | 176,900 | 3,794.7518 JPY | ||||
| Ordinary NPV | Sale | 445,500 | 3,810.3241 JPY | ||||
| Ordinary NPV | Sale | 1,026,400 | 3,814.9545 JPY | ||||
| Ordinary NPV | Sale | 2,207,300 | 3,813.7038 JPY | ||||
| Ordinary NPV | Sale | 2,259,600 | 3,812.9854 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 | 18 | 3,908.3263 JPY | |||||
| Ordinary NPV | SWAP | Long | 60 | 3,818.1181 JPY | |||||
| Ordinary NPV | SWAP | Long | 111 | 3,865.6134 JPY | |||||
| Ordinary NPV | SWAP | Long | 121 | 3,820.6179 JPY | |||||
| Ordinary NPV | SWAP | Long | 159 | 3,868.3096 JPY | |||||
| Ordinary NPV | SWAP | Long | 211 | 3,774.0159 JPY | |||||
| Ordinary NPV | SWAP | Long | 242 | 3,811.3688 JPY | |||||
| Ordinary NPV | SWAP | Long | 336 | 3,856.2927 JPY | |||||
| Ordinary NPV | SWAP | Long | 360 | 3,804.6195 JPY | |||||
| Ordinary NPV | SWAP | Long | 502 | 3,865.7234 JPY | |||||
| Ordinary NPV | SWAP | Long | 616 | 3,867.2889 JPY | |||||
| Ordinary NPV | SWAP | Long | 745 | 3,814.1524 JPY | |||||
| Ordinary NPV | SWAP | Long | 768 | 3,725.2941 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,183 | 3,733.3870 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,207 | 3,820.1546 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,293 | 3,815.8874 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,344 | 3,865.2166 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,428 | 3,823.2254 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,580 | 3,749.0726 JPY | |||||
| Ordinary NPV | SWAP | Long | 2,054 | 3,834.0174 JPY | |||||
| Ordinary NPV | SWAP | Long | 2,300 | 3,801.5000 JPY | |||||
| Ordinary NPV | SWAP | Long | 2,687 | 3,862.0177 JPY | |||||
| Ordinary NPV | SWAP | Long | 2,772 | 3,819.4699 JPY | |||||
| Ordinary NPV | SWAP | Long | 2,835 | 3,751.4546 JPY | |||||
| Ordinary NPV | SWAP | Long | 4,164 | 3,732.9234 JPY | |||||
| Ordinary NPV | SWAP | Long | 4,534 | 3,857.8544 JPY | |||||
| Ordinary NPV | SWAP | Long | 5,400 | 3,801.5437 JPY | |||||
| Ordinary NPV | SWAP | Long | 5,570 | 3,859.4794 JPY | |||||
| Ordinary NPV | SWAP | Long | 9,100 | 3,807.1767 JPY | |||||
| Ordinary NPV | SWAP | Long | 12,808 | 3,728.0942 JPY | |||||
| Ordinary NPV | SWAP | Long | 14,976 | 3,778.4733 JPY | |||||
| Ordinary NPV | SWAP | Short | 200 | 3,798.5000 JPY | |||||
| Ordinary NPV | SWAP | Short | 2,300 | 3,801.5000 JPY | |||||
| Ordinary NPV | SWAP | Short | 3,700 | 3,803.3314 JPY | |||||
| Ordinary NPV | SWAP | Short | 27,600 | 3,841.6727 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: | 21 Dec 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.
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.
143221.01
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
| Identity of the person whose positions/dealings | Barclays PLC. | ||
| are being disclosed: | |||
| Name of offeror/offeree in relation to whose | TAKEDA PHARMACEUTICAL CO LTD | ||
| relevant securities this from relates: |
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 | 150,000 | 3889.0000 | American | 11 Jun 2021 | |||||||
| 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 | -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 | -150,000 | 3889.0000 | American | 11 Jun 2021 | |||||||
| 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 | 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 | 4206.0397 | European | 7 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -10,000,000 | 4206.0397 | European | 7 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Purchased | -10,000,000 | 4206.0397 | European | 7 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Written | 10,000,000 | 4206.0397 | European | 7 Jan 2019 |
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/20181221005195/en/
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