18th Dec 2018 12:43
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 | 17 Dec 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: | 12,025,717 | 1.51% | 14,766,300 | 1.86% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 14,417,774 | 1.81% | 11,302,846 | 1.42% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 10,514,600 | 1.32% | 10,514,600 | 1.32% | |||||||
| (4) | |||||||||||
| TOTAL: | 36,958,091 | 4.65% | 36,583,746 | 4.60% | |||||||
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 | 23,100 | 16.6390 USD | ||||||
| ADR | Purchase | 58,500 | 16.3800 USD | ||||||
| ADR | Purchase | 65,815 | 16.6238 USD | ||||||
| ADR | Purchase | 194,018 | 16.5890 USD | ||||||
| ADR | Sale | 23,100 | 16.6390 USD | ||||||
| ADR | Sale | 25,170 | 16.5117 USD | ||||||
| ADR | Sale | 30,204 | 16.5829 USD | ||||||
| ADR | Sale | 62,500 | 16.5327 USD | ||||||
| ADR | Sale | 65,815 | 16.6238 USD | ||||||
| ADR | Sale | 100,680 | 16.6010 USD | ||||||
| ADR | Sale | 117,000 | 16.3800 USD | ||||||
| ADR | Sale | 194,018 | 16.5890 USD | ||||||
| Ordinary NPV | Purchase | 57 | 3,931.7894 JPY | ||||||
| Ordinary NPV | Purchase | 100 | 3,980.0000 JPY | ||||||
| Ordinary NPV | Purchase | 100 | 3,948.0000 JPY | ||||||
| Ordinary NPV | Purchase | 200 | 3,946.5000 JPY | ||||||
| Ordinary NPV | Purchase | 212 | 3,932.0235 JPY | ||||||
| Ordinary NPV | Purchase | 213 | 3,940.3051 JPY | ||||||
| Ordinary NPV | Purchase | 400 | 3,943.6500 JPY | ||||||
| Ordinary NPV | Purchase | 800 | 3,945.1250 JPY | ||||||
| Ordinary NPV | Purchase | 900 | 3,944.7666 JPY | ||||||
| Ordinary NPV | Purchase | 900 | 3,947.2222 JPY | ||||||
| Ordinary NPV | Purchase | 1,000 | 3,943.0000 JPY | ||||||
| Ordinary NPV | Purchase | 1,500 | 3,951.2000 JPY | ||||||
| Ordinary NPV | Purchase | 2,200 | 3,954.7045 JPY | ||||||
| Ordinary NPV | Purchase | 2,218 | 3,934.0635 JPY | ||||||
| Ordinary NPV | Purchase | 3,200 | 3,947.7812 JPY | ||||||
| Ordinary NPV | Purchase | 3,900 | 3,946.3333 JPY | ||||||
| Ordinary NPV | Purchase | 4,100 | 3,947.9268 JPY | ||||||
| Ordinary NPV | Purchase | 5,000 | 3,969.8200 JPY | ||||||
| Ordinary NPV | Purchase | 6,100 | 3,939.6229 JPY | ||||||
| Ordinary NPV | Purchase | 6,800 | 3,947.6912 JPY | ||||||
| Ordinary NPV | Purchase | 8,900 | 3,945.6404 JPY | ||||||
| Ordinary NPV | Purchase | 8,900 | 3,945.3539 JPY | ||||||
| Ordinary NPV | Purchase | 18,700 | 3,946.2406 JPY | ||||||
| Ordinary NPV | Purchase | 22,300 | 3,944.9282 JPY | ||||||
| Ordinary NPV | Purchase | 29,400 | 3,946.0442 JPY | ||||||
| Ordinary NPV | Purchase | 33,100 | 3,942.6253 JPY | ||||||
| Ordinary NPV | Purchase | 39,200 | 3,956.3494 JPY | ||||||
| Ordinary NPV | Purchase | 42,300 | 3,945.8368 JPY | ||||||
| Ordinary NPV | Purchase | 43,400 | 3,944.0783 JPY | ||||||
| Ordinary NPV | Purchase | 51,400 | 3,947.7821 JPY | ||||||
| Ordinary NPV | Purchase | 56,200 | 3,951.7304 JPY | ||||||
| Ordinary NPV | Purchase | 81,000 | 3,950.0209 JPY | ||||||
| Ordinary NPV | Purchase | 92,000 | 3,934.0000 JPY | ||||||
| Ordinary NPV | Purchase | 228,100 | 3,946.0171 JPY | ||||||
| Ordinary NPV | Purchase | 306,000 | 3,946.1660 JPY | ||||||
| Ordinary NPV | Purchase | 671,800 | 3,948.2064 JPY | ||||||
| Ordinary NPV | Purchase | 702,200 | 3,948.1405 JPY | ||||||
| Ordinary NPV | Sale | 38 | 3,948.6052 JPY | ||||||
| Ordinary NPV | Sale | 68 | 3,949.2205 JPY | ||||||
| Ordinary NPV | Sale | 100 | 3,948.0000 JPY | ||||||
| Ordinary NPV | Sale | 100 | 3,930.3000 JPY | ||||||
| Ordinary NPV | Sale | 129 | 3,960.5348 JPY | ||||||
| Ordinary NPV | Sale | 136 | 3,945.0294 JPY | ||||||
| Ordinary NPV | Sale | 300 | 3,948.1000 JPY | ||||||
| Ordinary NPV | Sale | 562 | 3,948.5907 JPY | ||||||
| Ordinary NPV | Sale | 666 | 3,970.0810 JPY | ||||||
| Ordinary NPV | Sale | 900 | 3,944.2222 JPY | ||||||
| Ordinary NPV | Sale | 1,029 | 3,942.6647 JPY | ||||||
| Ordinary NPV | Sale | 1,200 | 3,937.9166 JPY | ||||||
| Ordinary NPV | Sale | 1,392 | 3,947.8232 JPY | ||||||
| Ordinary NPV | Sale | 1,500 | 3,951.2000 JPY | ||||||
| Ordinary NPV | Sale | 1,988 | 3,947.9537 JPY | ||||||
| Ordinary NPV | Sale | 2,371 | 3,953.5905 JPY | ||||||
| Ordinary NPV | Sale | 2,457 | 3,946.6777 JPY | ||||||
| Ordinary NPV | Sale | 4,300 | 3,948.9767 JPY | ||||||
| Ordinary NPV | Sale | 4,300 | 3,947.0906 JPY | ||||||
| Ordinary NPV | Sale | 5,500 | 3,941.3272 JPY | ||||||
| Ordinary NPV | Sale | 8,700 | 3,946.6896 JPY | ||||||
| Ordinary NPV | Sale | 8,800 | 3,945.1022 JPY | ||||||
| Ordinary NPV | Sale | 11,900 | 3,939.9087 JPY | ||||||
| Ordinary NPV | Sale | 12,500 | 3,945.1200 JPY | ||||||
| Ordinary NPV | Sale | 17,064 | 3,948.5012 JPY | ||||||
| Ordinary NPV | Sale | 20,900 | 3,947.1315 JPY | ||||||
| Ordinary NPV | Sale | 29,400 | 3,946.0442 JPY | ||||||
| Ordinary NPV | Sale | 30,800 | 3,943.7792 JPY | ||||||
| Ordinary NPV | Sale | 39,200 | 3,956.1887 JPY | ||||||
| Ordinary NPV | Sale | 43,400 | 3,944.0783 JPY | ||||||
| Ordinary NPV | Sale | 51,400 | 3,947.7821 JPY | ||||||
| Ordinary NPV | Sale | 56,200 | 3,951.7304 JPY | ||||||
| Ordinary NPV | Sale | 671,800 | 3,948.2064 JPY | ||||||
| Ordinary NPV | Sale | 702,200 | 3,948.1405 JPY | ||||||
| Ordinary NPV | Sale | 900,700 | 3,945.5833 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 | 38 | 3,948.6051 JPY | |||||
| Ordinary NPV | SWAP | Long | 68 | 3,949.2235 JPY | |||||
| Ordinary NPV | SWAP | Long | 129 | 3,960.5380 JPY | |||||
| Ordinary NPV | SWAP | Long | 136 | 3,945.0258 JPY | |||||
| Ordinary NPV | SWAP | Long | 562 | 3,948.5892 JPY | |||||
| Ordinary NPV | SWAP | Long | 666 | 3,970.0804 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,029 | 3,942.6647 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,300 | 3,933.8230 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,392 | 3,947.8235 JPY | |||||
| Ordinary NPV | SWAP | Long | 1,988 | 3,947.9534 JPY | |||||
| Ordinary NPV | SWAP | Long | 2,371 | 3,953.5903 JPY | |||||
| Ordinary NPV | SWAP | Long | 2,457 | 3,946.6777 JPY | |||||
| Ordinary NPV | SWAP | Long | 11,900 | 3,939.9087 JPY | |||||
| Ordinary NPV | SWAP | Long | 17,064 | 3,948.5012 JPY | |||||
| Ordinary NPV | SWAP | Long | 19,900 | 3,940.0000 JPY | |||||
| Ordinary NPV | CFD | Long | 21,900 | 3,933.6066 JPY | |||||
| Ordinary NPV | CFD | Long | 180,000 | 3,941.4527 JPY | |||||
| Ordinary NPV | SWAP | Short | 57 | 3,931.7752 JPY | |||||
| Ordinary NPV | SWAP | Short | 212 | 3,932.0295 JPY | |||||
| Ordinary NPV | SWAP | Short | 213 | 3,940.3030 JPY | |||||
| Ordinary NPV | SWAP | Short | 300 | 3,953.1666 JPY | |||||
| Ordinary NPV | SWAP | Short | 2,218 | 3,934.0635 JPY | |||||
| Ordinary NPV | SWAP | Short | 19,900 | 3,940.0000 JPY | |||||
| Ordinary NPV | SWAP Expires 20/02/2019 | Short | 92,000 | 4,304.0000 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: | 18 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 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 | 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.
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