Last checked at 31 Oct 2018 08:04
FORM 8.3 AMENDMENT TO SALES
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: | 25 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: | 11,214,407 | 1.43% | 12,297,856 | 1.55% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 11,807,686 | 1.49% | 10,256,200 | 1.29% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 10,521,600 | 1.32% | 10,941,600 | 1.38% | |||||||
| TOTAL: | 33,543,693 | 4.24% | 33,495,656 | 4.21% | |||||||
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 | 1,000 | 19.2790 USD | ||||
| ADR | Purchase | 29,088 | 19.4364 USD | ||||
| ADR | Purchase | 49,159 | 19.3930 USD | ||||
| ADR | Purchase | 82,195 | 19.4454 USD | ||||
| ADR | Purchase | 112,310 | 19.4443 USD | ||||
| ADR | Sale | 1,000 | 19.2790 USD | ||||
| ADR | Sale | 29,088 | 19.4364 USD | ||||
| ADR | Sale | 49,159 | 19.3931 USD | ||||
| ADR | Sale | 82,195 | 19.4454 USD | ||||
| ADR | Sale | 112,310 | 19.4444 USD | ||||
| Ordinary NPV | Purchase | 100 | 4,394.0000 JPY | ||||
| Ordinary NPV | Purchase | 100 | 4,329.0000 JPY | ||||
| Ordinary NPV | Purchase | 300 | 4,345.3000 JPY | ||||
| Ordinary NPV | Purchase | 300 | 4,396.1933 JPY | ||||
| Ordinary NPV | Purchase | 900 | 4,310.3333 JPY | ||||
| Ordinary NPV | Purchase | 1,100 | 4,337.3636 JPY | ||||
| Ordinary NPV | Purchase | 1,600 | 4,315.8750 JPY | ||||
| Ordinary NPV | Purchase | 1,800 | 4,335.8333 JPY | ||||
| Ordinary NPV | Purchase | 2,700 | 4,340.3703 JPY | ||||
| Ordinary NPV | Purchase | 3,400 | 4,332.5000 JPY | ||||
| Ordinary NPV | Purchase | 3,800 | 4,362.6315 JPY | ||||
| Ordinary NPV | Purchase | 4,300 | 4,335.3372 JPY | ||||
| Ordinary NPV | Purchase | 4,300 | 4,340.0860 JPY | ||||
| Ordinary NPV | Purchase | 4,500 | 4,321.6177 JPY | ||||
| Ordinary NPV | Purchase | 6,400 | 4,348.4531 JPY | ||||
| Ordinary NPV | Purchase | 8,300 | 4,396.0000 JPY | ||||
| Ordinary NPV | Purchase | 10,800 | 4,353.5416 JPY | ||||
| Ordinary NPV | Purchase | 11,400 | 4,368.2017 JPY | ||||
| Ordinary NPV | Purchase | 15,000 | 4,353.5000 JPY | ||||
| Ordinary NPV | Purchase | 24,100 | 4,331.9709 JPY | ||||
| Ordinary NPV | Purchase | 35,900 | 4,337.7576 JPY | ||||
| Ordinary NPV | Purchase | 96,700 | 4,339.4953 JPY | ||||
| Ordinary NPV | Purchase | 100,700 | 4,346.6037 JPY | ||||
| Ordinary NPV | Purchase | 252,200 | 4,334.2236 JPY | ||||
| Ordinary NPV | Purchase | 452,500 | 4,343.6402 JPY | ||||
| Ordinary NPV | Purchase | 457,200 | 4,343.3458 JPY | ||||
| Ordinary NPV | Sale | 37 | 4,334.0540 JPY | ||||
| Ordinary NPV | Sale | 72 | 4,331.3194 JPY | ||||
| Ordinary NPV | Sale | 91 | 4,332.6703 JPY | ||||
| Ordinary NPV | Sale | 100 | 4,323.7300 JPY | ||||
| Ordinary NPV | Sale | 300 | 4,345.3000 JPY | ||||
| Ordinary NPV | Sale | 700 | 4,304.5000 JPY | ||||
| Ordinary NPV | Sale | 800 | 4,319.7500 JPY | ||||
| Ordinary NPV | Sale | 1,100 | 4,337.3636 JPY | ||||
| Ordinary NPV | Sale | 1,800 | 4,335.8333 JPY | ||||
| Ordinary NPV | Sale | 1,900 | 4,331.3157 JPY | ||||
| Ordinary NPV | Sale | 2,200 | 4,333.5909 JPY | ||||
| Ordinary NPV | Sale | 2,600 | 4,303.4615 JPY | ||||
| Ordinary NPV | Sale | 2,700 | 4,339.7592 JPY | ||||
| Ordinary NPV | Sale | 2,800 | 4,336.4286 JPY | ||||
| Ordinary NPV | Sale | 2,800 | 4,342.6429 JPY | ||||
| Ordinary NPV | Sale | 3,700 | 4,303.0000 JPY | ||||
| Ordinary NPV | Sale | 3,800 | 4,359.7631 JPY | ||||
| Ordinary NPV | Sale | 4,200 | 4,326.0000 JPY | ||||
| Ordinary NPV | Sale | 4,300 | 4,340.0860 JPY | ||||
| Ordinary NPV | Sale | 4,300 | 4,335.3372 JPY | ||||
| Ordinary NPV | Sale | 4,500 | 4,321.6177 JPY | ||||
| Ordinary NPV | Sale | 6,200 | 4,396.0000 JPY | ||||
| Ordinary NPV | Sale | 6,300 | 4,342.4285 JPY | ||||
| Ordinary NPV | Sale | 6,400 | 4,348.4531 JPY | ||||
| Ordinary NPV | Sale | 6,700 | 4,336.8656 JPY | ||||
| Ordinary NPV | Sale | 7,400 | 4,320.0000 JPY | ||||
| Ordinary NPV | Sale | 10,800 | 4,353.5416 JPY | ||||
| Ordinary NPV | Sale | 15,200 | 4,377.0921 JPY | ||||
| Ordinary NPV | Sale | 15,700 | 4,358.9172 JPY | ||||
| Ordinary NPV | Sale | 23,100 | 4,303.4329 JPY | ||||
| Ordinary NPV | Sale | 70,700 | 4,316.0523 JPY | ||||
| Ordinary NPV | Sale | 100,700 | 4,346.0178 JPY | ||||
| Ordinary NPV | Sale | 343,600 | 4,344.5518 JPY | ||||
| Ordinary NPV | Sale | 457,200 | 4,343.3458 JPY | ||||
| Ordinary NPV | Sale | 539,200 | 4,343.5888 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 | 37 | 4,334.0792 JPY | |||||
| Ordinary NPV | SWAP | Long | 72 | 4,331.3152 JPY | |||||
| Ordinary NPV | SWAP | Long | 91 | 4,332.6715 JPY | |||||
| Ordinary NPV | SWAP | Long | 100 | 4,323.7305 JPY | |||||
| Ordinary NPV | SWAP | Long | 300 | 4,348.3333 JPY | |||||
| Ordinary NPV | CFD | Long | 17,400 | 4,395.5604 JPY | |||||
| Ordinary NPV | SWAP | Short | 300 | 4,396.1956 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: | 31 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 | 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.
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