Last checked at 7 Dec 2018 14:14
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: | 06 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: | 12,088,609 | 1.52% | 13,433,355 | 1.69% | |
| (2) | Cash-settled derivatives: | ||||
| 13,103,638 | 1.65% | 10,881,300 | 1.37% | ||
| (3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 10,521,600 | 1.32% | 10,941,600 | 1.38% | |
| (4) | |||||
| TOTAL: | 35,713,847 | 4.49% | 35,256,255 | 4.44% |
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 | 12,142 | 17.7965 USD |
| ADR | Purchase | 13,000 | 17.4933 USD |
| ADR | Purchase | 14,873 | 17.7150 USD |
| ADR | Purchase | 28,342 | 17.5715 USD |
| ADR | Purchase | 40,000 | 17.6000 USD |
| ADR | Purchase | 50,000 | 17.7400 USD |
| ADR | Purchase | 64,837 | 17.5107 USD |
| ADR | Purchase | 75,510 | 17.5598 USD |
| ADR | Purchase | 106,326 | 17.6552 USD |
| ADR | Purchase | 250,000 | 17.5260 USD |
| ADR | Sale | 1,028 | 17.6500 USD |
| ADR | Sale | 6,500 | 17.4933 USD |
| ADR | Sale | 12,142 | 17.7965 USD |
| ADR | Sale | 14,873 | 17.7150 USD |
| ADR | Sale | 28,342 | 17.5715 USD |
| ADR | Sale | 30,000 | 17.4667 USD |
| ADR | Sale | 40,000 | 17.6000 USD |
| ADR | Sale | 42,178 | 17.4928 USD |
| ADR | Sale | 75,510 | 17.5597 USD |
| ADR | Sale | 250,000 | 17.5260 USD |
| Ordinary NPV | Purchase | 33 | 4,126.4200 JPY |
| Ordinary NPV | Purchase | 36 | 4,141.6944 JPY |
| Ordinary NPV | Purchase | 100 | 4,123.0000 JPY |
| Ordinary NPV | Purchase | 191 | 4,109.0262 JPY |
| Ordinary NPV | Purchase | 400 | 4,126.5750 JPY |
| Ordinary NPV | Purchase | 559 | 4,121.8872 JPY |
| Ordinary NPV | Purchase | 600 | 4,100.0000 JPY |
| Ordinary NPV | Purchase | 724 | 4,124.3618 JPY |
| Ordinary NPV | Purchase | 836 | 4,117.7428 JPY |
| Ordinary NPV | Purchase | 894 | 4,123.1991 JPY |
| Ordinary NPV | Purchase | 1,300 | 4,141.1838 JPY |
| Ordinary NPV | Purchase | 2,600 | 4,123.9538 JPY |
| Ordinary NPV | Purchase | 2,900 | 4,125.1379 JPY |
| Ordinary NPV | Purchase | 3,000 | 4,110.7266 JPY |
| Ordinary NPV | Purchase | 3,200 | 4,104.0000 JPY |
| Ordinary NPV | Purchase | 3,363 | 4,111.6693 JPY |
| Ordinary NPV | Purchase | 3,900 | 4,115.1589 JPY |
| Ordinary NPV | Purchase | 4,000 | 4,139.6500 JPY |
| Ordinary NPV | Purchase | 4,169 | 4,125.0309 JPY |
| Ordinary NPV | Purchase | 4,887 | 4,119.7215 JPY |
| Ordinary NPV | Purchase | 5,100 | 4,119.1764 JPY |
| Ordinary NPV | Purchase | 5,200 | 4,131.7211 JPY |
| Ordinary NPV | Purchase | 5,800 | 4,124.8103 JPY |
| Ordinary NPV | Purchase | 6,369 | 4,120.1135 JPY |
| Ordinary NPV | Purchase | 6,600 | 4,111.2878 JPY |
| Ordinary NPV | Purchase | 7,300 | 4,112.3424 JPY |
| Ordinary NPV | Purchase | 8,500 | 4,123.9352 JPY |
| Ordinary NPV | Purchase | 20,100 | 4,130.3631 JPY |
| Ordinary NPV | Purchase | 24,200 | 4,110.0165 JPY |
| Ordinary NPV | Purchase | 30,739 | 4,115.4911 JPY |
| Ordinary NPV | Purchase | 58,800 | 4,125.5578 JPY |
| Ordinary NPV | Purchase | 143,200 | 4,123.8805 JPY |
| Ordinary NPV | Purchase | 194,100 | 4,114.3307 JPY |
| Ordinary NPV | Purchase | 430,500 | 4,122.6125 JPY |
| Ordinary NPV | Purchase | 746,800 | 4,125.1037 JPY |
| Ordinary NPV | Purchase | 749,600 | 4,125.6579 JPY |
| Ordinary NPV | Sale | 100 | 4,123.0000 JPY |
| Ordinary NPV | Sale | 200 | 4,104.0000 JPY |
| Ordinary NPV | Sale | 200 | 4,112.0000 JPY |
| Ordinary NPV | Sale | 600 | 4,125.0000 JPY |
| Ordinary NPV | Sale | 800 | 4,111.6250 JPY |
| Ordinary NPV | Sale | 2,600 | 4,123.9538 JPY |
| Ordinary NPV | Sale | 2,900 | 4,125.1379 JPY |
| Ordinary NPV | Sale | 3,300 | 4,136.1818 JPY |
| Ordinary NPV | Sale | 3,400 | 4,112.5911 JPY |
| Ordinary NPV | Sale | 3,500 | 4,127.6571 JPY |
| Ordinary NPV | Sale | 3,900 | 4,115.1589 JPY |
| Ordinary NPV | Sale | 4,000 | 4,133.8750 JPY |
| Ordinary NPV | Sale | 5,200 | 4,131.9038 JPY |
| Ordinary NPV | Sale | 5,800 | 4,124.8103 JPY |
| Ordinary NPV | Sale | 6,700 | 4,109.9402 JPY |
| Ordinary NPV | Sale | 7,100 | 4,112.3521 JPY |
| Ordinary NPV | Sale | 8,500 | 4,123.9352 JPY |
| Ordinary NPV | Sale | 11,800 | 4,120.2923 JPY |
| Ordinary NPV | Sale | 11,900 | 4,103.4873 JPY |
| Ordinary NPV | Sale | 17,500 | 4,110.0457 JPY |
| Ordinary NPV | Sale | 25,500 | 4,137.1568 JPY |
| Ordinary NPV | Sale | 25,700 | 4,104.1400 JPY |
| Ordinary NPV | Sale | 81,400 | 4,110.6646 JPY |
| Ordinary NPV | Sale | 143,200 | 4,123.1920 JPY |
| Ordinary NPV | Sale | 746,800 | 4,125.1037 JPY |
| Ordinary NPV | Sale | 753,600 | 4,125.5563 JPY |
| Ordinary NPV | Sale | 1,106,700 | 4,121.9396 JPY |
(b) Cash-settled derivative transactions
| Class of | Product | Nature of dealing | Number of | Price per |
| relevant | description | reference | unit | |
| security | securities | |||
| Ordinary NPV | CFD | Long | 159,900 | 4,125.3009 JPY |
| Ordinary NPV | CFD | Long | 160,100 | 4,125.3573 JPY |
| Ordinary NPV | SWAP Expires 13/12/2018 | Long | 339,100 | 4,141.0000 JPY |
| Ordinary NPV | SWAP | Short | 12 | 4,131.5183 JPY |
| Ordinary NPV | SWAP | Short | 24 | 4,119.4026 JPY |
| Ordinary NPV | SWAP | Short | 25 | 4,133.1218 JPY |
| Ordinary NPV | SWAP | Short | 33 | 4,126.4126 JPY |
| Ordinary NPV | SWAP | Short | 36 | 4,141.7474 JPY |
| Ordinary NPV | SWAP | Short | 58 | 4,131.7407 JPY |
| Ordinary NPV | SWAP | Short | 91 | 4,117.5268 JPY |
| Ordinary NPV | SWAP | Short | 107 | 4,127.1933 JPY |
| Ordinary NPV | SWAP | Short | 110 | 4,129.1256 JPY |
| Ordinary NPV | SWAP | Short | 191 | 4,109.0304 JPY |
| Ordinary NPV | SWAP | Short | 200 | 4,121.5000 JPY |
| Ordinary NPV | SWAP | Short | 400 | 4,119.0000 JPY |
| Ordinary NPV | SWAP | Short | 547 | 4,121.6760 JPY |
| Ordinary NPV | SWAP | Short | 699 | 4,124.0502 JPY |
| Ordinary NPV | SWAP | Short | 812 | 4,117.6941 JPY |
| Ordinary NPV | SWAP | Short | 836 | 4,122.6081 JPY |
| Ordinary NPV | SWAP | Short | 1,300 | 4,141.1842 JPY |
| Ordinary NPV | SWAP | Short | 1,572 | 4,132.8659 JPY |
| Ordinary NPV | SWAP | Short | 3,363 | 4,111.6697 JPY |
| Ordinary NPV | SWAP | Short | 4,059 | 4,124.9203 JPY |
| Ordinary NPV | SWAP | Short | 4,780 | 4,119.5541 JPY |
| Ordinary NPV | SWAP | Short | 6,278 | 4,120.1513 JPY |
| Ordinary NPV | SWAP | Short | 29,167 | 4,114.5546 JPY |
| Ordinary NPV | SWAP Expires 06/12/2018 | Short | 339,100 | 4,562.0000 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: | 7 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 OPTION AND DERIVATIVE 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. | OPTIONS AND DERIVATIVES | |||||||||
| 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 | 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: | |
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