14th Dec 2018 12:04
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: | 13 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: | 12,190,920 | 1.53% | 14,424,825 | 1.82% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 14,132,640 | 1.78% | 11,370,946 | 1.43% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 10,671,600 | 1.34% | 11,091,600 | 1.40% | |||||||
| (4) | |||||||||||
| TOTAL: | 36,995,160 | 4.66% | 36,887,371 | 4.64% | |||||||
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 | 300 | 17.4566 USD | ||||
| ADR | Purchase | 2,517 | 17.2800 USD | ||||
| ADR | Purchase | 17,912 | 17.3032 USD | ||||
| ADR | Sale | 300 | 17.4566 USD | ||||
| ADR | Sale | 3,545 | 17.2800 USD | ||||
| ADR | Sale | 17,912 | 17.3032 USD | ||||
| Ordinary NPV | Purchase | 100 | 3,849.0000 JPY | ||||
| Ordinary NPV | Purchase | 200 | 3,981.8500 JPY | ||||
| Ordinary NPV | Purchase | 300 | 3,978.0000 JPY | ||||
| Ordinary NPV | Purchase | 1,400 | 3,975.3928 JPY | ||||
| Ordinary NPV | Purchase | 1,500 | 3,987.8000 JPY | ||||
| Ordinary NPV | Purchase | 2,200 | 3,983.4545 JPY | ||||
| Ordinary NPV | Purchase | 2,800 | 3,979.5000 JPY | ||||
| Ordinary NPV | Purchase | 3,100 | 3,983.8419 JPY | ||||
| Ordinary NPV | Purchase | 3,500 | 3,980.7714 JPY | ||||
| Ordinary NPV | Purchase | 3,900 | 3,980.3333 JPY | ||||
| Ordinary NPV | Purchase | 5,400 | 4,000.0000 JPY | ||||
| Ordinary NPV | Purchase | 5,500 | 3,984.5000 JPY | ||||
| Ordinary NPV | Purchase | 6,400 | 3,984.5625 JPY | ||||
| Ordinary NPV | Purchase | 6,400 | 3,850.0000 JPY | ||||
| Ordinary NPV | Purchase | 6,400 | 3,981.4218 JPY | ||||
| Ordinary NPV | Purchase | 7,000 | 3,976.4228 JPY | ||||
| Ordinary NPV | Purchase | 9,950 | 3,980.0000 JPY | ||||
| Ordinary NPV | Purchase | 13,000 | 3,940.3538 JPY | ||||
| Ordinary NPV | Purchase | 14,100 | 3,983.7375 JPY | ||||
| Ordinary NPV | Purchase | 14,800 | 3,981.2770 JPY | ||||
| Ordinary NPV | Purchase | 15,000 | 3,986.8000 JPY | ||||
| Ordinary NPV | Purchase | 16,800 | 3,980.0238 JPY | ||||
| Ordinary NPV | Purchase | 17,200 | 3,960.5755 JPY | ||||
| Ordinary NPV | Purchase | 17,700 | 3,889.7231 JPY | ||||
| Ordinary NPV | Purchase | 25,000 | 3,937.0400 JPY | ||||
| Ordinary NPV | Purchase | 25,200 | 3,937.2063 JPY | ||||
| Ordinary NPV | Purchase | 26,200 | 3,981.8893 JPY | ||||
| Ordinary NPV | Purchase | 42,000 | 3,970.2190 JPY | ||||
| Ordinary NPV | Purchase | 51,200 | 3,985.4121 JPY | ||||
| Ordinary NPV | Purchase | 52,700 | 3,982.3074 JPY | ||||
| Ordinary NPV | Purchase | 71,400 | 3,982.7997 JPY | ||||
| Ordinary NPV | Purchase | 91,400 | 3,864.3501 JPY | ||||
| Ordinary NPV | Purchase | 110,900 | 3,975.5589 JPY | ||||
| Ordinary NPV | Purchase | 130,700 | 3,975.6170 JPY | ||||
| Ordinary NPV | Purchase | 265,100 | 3,978.0920 JPY | ||||
| Ordinary NPV | Purchase | 304,500 | 3,944.8834 JPY | ||||
| Ordinary NPV | Purchase | 365,100 | 3,859.2577 JPY | ||||
| Ordinary NPV | Purchase | 1,353,700 | 3,964.6053 JPY | ||||
| Ordinary NPV | Purchase | 1,561,300 | 3,965.4805 JPY | ||||
| Ordinary NPV | Sale | 41 | 3,875.5121 JPY | ||||
| Ordinary NPV | Sale | 82 | 3,866.6220 JPY | ||||
| Ordinary NPV | Sale | 100 | 3,981.0000 JPY | ||||
| Ordinary NPV | Sale | 152 | 3,871.7960 JPY | ||||
| Ordinary NPV | Sale | 233 | 3,877.1115 JPY | ||||
| Ordinary NPV | Sale | 394 | 3,876.4873 JPY | ||||
| Ordinary NPV | Sale | 400 | 3,984.0000 JPY | ||||
| Ordinary NPV | Sale | 400 | 3,983.0000 JPY | ||||
| Ordinary NPV | Sale | 1,078 | 3,876.5839 JPY | ||||
| Ordinary NPV | Sale | 1,400 | 3,975.3928 JPY | ||||
| Ordinary NPV | Sale | 1,500 | 3,987.8000 JPY | ||||
| Ordinary NPV | Sale | 1,800 | 3,980.0000 JPY | ||||
| Ordinary NPV | Sale | 2,800 | 3,979.5000 JPY | ||||
| Ordinary NPV | Sale | 3,100 | 3,983.8419 JPY | ||||
| Ordinary NPV | Sale | 6,800 | 3,976.7058 JPY | ||||
| Ordinary NPV | Sale | 7,000 | 3,976.4228 JPY | ||||
| Ordinary NPV | Sale | 16,700 | 3,980.0179 JPY | ||||
| Ordinary NPV | Sale | 17,600 | 3,889.9090 JPY | ||||
| Ordinary NPV | Sale | 20,500 | 3,982.1473 JPY | ||||
| Ordinary NPV | Sale | 26,300 | 3,951.1520 JPY | ||||
| Ordinary NPV | Sale | 42,000 | 3,970.2190 JPY | ||||
| Ordinary NPV | Sale | 51,200 | 3,984.5546 JPY | ||||
| Ordinary NPV | Sale | 67,600 | 3,976.1982 JPY | ||||
| Ordinary NPV | Sale | 96,000 | 3,925.8333 JPY | ||||
| Ordinary NPV | Sale | 98,720 | 3,973.2740 JPY | ||||
| Ordinary NPV | Sale | 110,900 | 3,975.5589 JPY | ||||
| Ordinary NPV | Sale | 130,700 | 3,969.2486 JPY | ||||
| Ordinary NPV | Sale | 132,600 | 3,975.2398 JPY | ||||
| Ordinary NPV | Sale | 144,900 | 3,976.4102 JPY | ||||
| Ordinary NPV | Sale | 876,000 | 3,943.9121 JPY | ||||
| Ordinary NPV | Sale | 1,356,300 | 3,964.6348 JPY | ||||
| Ordinary NPV | Sale | 1,493,700 | 3,964.9955 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 | 11 | 3,866.7293 JPY | |||||
| Ordinary NPV | SWAP | Long | 30 | 3,878.7284 JPY | |||||
| Ordinary NPV | SWAP | Long | 62 | 3,870.6129 JPY | |||||
| Ordinary NPV | SWAP | Long | 82 | 3,866.6132 JPY | |||||
| Ordinary NPV | SWAP | Long | 82 | 3,873.8000 JPY | |||||
| Ordinary NPV | SWAP | Long | 90 | 3,872.6127 JPY | |||||
| Ordinary NPV | SWAP | Long | 97 | 3,887.6112 JPY | |||||
| Ordinary NPV | SWAP | Long | 151 | 3,878.9120 JPY | |||||
| Ordinary NPV | SWAP | Long | 212 | 3,874.9031 JPY | |||||
| Ordinary NPV | SWAP | Long | 297 | 3,872.8540 JPY | |||||
| Ordinary NPV | SWAP | Long | 866 | 3,876.9948 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,600 | 3,980.0000 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,700 | 3,850.4152 JPY | |||||
| Ordinary NPV | SWAP | Long | 45,220 | 3,974.2114 JPY | |||||
| Ordinary NPV | SWAP | Long | 53,500 | 3,972.4816 JPY | |||||
| Ordinary NPV | CFD | Long | 260,000 | 3,920.9220 JPY | |||||
| Ordinary NPV | SWAP | Short | 300 | 3,982.6666 JPY | |||||
| Ordinary NPV | SWAP | Short | 1,200 | 3,999.1791 JPY | |||||
| Ordinary NPV | CFD | Short | 9,950 | 3,980.0000 JPY | |||||
| Ordinary NPV | CFD | Short | 17,400 | 3,850.3850 JPY | |||||
| Ordinary NPV | SWAP Expires 13/12/2018 | Short | 339,100 | 4,141.0000 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: | 14 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.
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 | 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 | Purchased | 150,000 | 3889.0000 | American | 11 Jun 2021 | |||||||
| 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 | -150,000 | 3889.0000 | American | 11 Jun 2021 | |||||||
| 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 | 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/20181214005193/en/
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