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Pin to quick picksBarclays Regulatory News (BARC)

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Form 8.3 - TAKEDA PHARMACEUTICAL CO LTD

25 Oct 2018 13:42

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: 24 October 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: 11,067,731 1.39% 12,200,277 1.54%
(2) Cash-settled derivatives:
11,872,286 1.49% 10,256,500 1.29%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 10,521,600 1.32% 10,941,600 1.38%
TOTAL: 33,461,617 4.21% 33,398,377 4.20%

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 1,784 19.8292 USD
ADR Purchase 42,285 19.8066 USD
ADR Purchase 49,332 19.8734 USD
ADR Purchase 51,365 19.5932 USD
ADR Sale 12,355 19.8292 USD
ADR Sale 14,095 19.9066 USD
ADR Sale 51,365 19.5932 USD
ADR Sale 100,866 19.6580 USD
Ordinary NPV Purchase 100 4,526.0000 JPY
Ordinary NPV Purchase 300 4,515.6666 JPY
Ordinary NPV Purchase 300 4,524.0000 JPY
Ordinary NPV Purchase 400 4,536.5000 JPY
Ordinary NPV Purchase 500 4,527.2000 JPY
Ordinary NPV Purchase 600 4,532.5000 JPY
Ordinary NPV Purchase 600 4,515.0000 JPY
Ordinary NPV Purchase 1,000 4,527.5000 JPY
Ordinary NPV Purchase 1,000 4,520.4900 JPY
Ordinary NPV Purchase 2,100 4,518.6904 JPY
Ordinary NPV Purchase 2,300 4,511.1304 JPY
Ordinary NPV Purchase 3,200 4,528.0000 JPY
Ordinary NPV Purchase 3,500 4,512.9428 JPY
Ordinary NPV Purchase 3,800 4,514.2105 JPY
Ordinary NPV Purchase 5,200 4,510.0480 JPY
Ordinary NPV Purchase 5,900 4,523.3559 JPY
Ordinary NPV Purchase 5,900 4,513.6271 JPY
Ordinary NPV Purchase 7,400 4,524.5351 JPY
Ordinary NPV Purchase 7,500 4,540.0000 JPY
Ordinary NPV Purchase 7,800 4,522.0512 JPY
Ordinary NPV Purchase 7,800 4,523.1025 JPY
Ordinary NPV Purchase 11,700 4,510.8034 JPY
Ordinary NPV Purchase 13,000 4,508.0000 JPY
Ordinary NPV Purchase 18,000 4,502.1500 JPY
Ordinary NPV Purchase 23,900 4,515.5188 JPY
Ordinary NPV Purchase 24,300 4,535.9958 JPY
Ordinary NPV Purchase 87,800 4,516.2585 JPY
Ordinary NPV Purchase 366,300 4,517.1654 JPY
Ordinary NPV Purchase 538,300 4,521.8201 JPY
Ordinary NPV Purchase 743,100 4,522.6346 JPY
Ordinary NPV Sale 100 4,526.0000 JPY
Ordinary NPV Sale 300 4,489.0000 JPY
Ordinary NPV Sale 300 4,515.6666 JPY
Ordinary NPV Sale 1,000 4,527.5000 JPY
Ordinary NPV Sale 1,100 4,495.4545 JPY
Ordinary NPV Sale 1,100 4,530.0909 JPY
Ordinary NPV Sale 1,500 4,507.8000 JPY
Ordinary NPV Sale 2,300 4,511.1304 JPY
Ordinary NPV Sale 2,700 4,517.8703 JPY
Ordinary NPV Sale 3,500 4,509.6571 JPY
Ordinary NPV Sale 3,800 4,514.2105 JPY
Ordinary NPV Sale 5,200 4,510.0480 JPY
Ordinary NPV Sale 5,900 4,523.3559 JPY
Ordinary NPV Sale 7,800 4,523.1025 JPY
Ordinary NPV Sale 8,400 4,524.0535 JPY
Ordinary NPV Sale 9,100 4,525.7033 JPY
Ordinary NPV Sale 11,600 4,525.8965 JPY
Ordinary NPV Sale 21,700 4,540.0000 JPY
Ordinary NPV Sale 38,700 4,508.0000 JPY
Ordinary NPV Sale 39,300 4,518.1552 JPY
Ordinary NPV Sale 43,200 4,524.0787 JPY
Ordinary NPV Sale 87,800 4,515.6674 JPY
Ordinary NPV Sale 174,500 4,526.9054 JPY
Ordinary NPV Sale 201,100 4,514.2635 JPY
Ordinary NPV Sale 366,100 4,517.1095 JPY
Ordinary NPV Sale 366,300 4,517.1654 JPY
Ordinary NPV Sale 377,000 4,528.0000 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 Short 1,100 4,513.0000 JPY
Ordinary NPV CFD Short 13,000 4,508.0000 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: 25 Oct 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 82,000 5264.7000 European 25 Oct 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 6 Nov 2018

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/20181025005524/en/

Copyright Business Wire 2018

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