Last checked at 12 Dec 2018 08:22
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: | 05 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: | 11,733,835 | 1.50% | 12,956,977 | 1.63% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 12,647,286 | 1.59% | 10,661,900 | 1.34% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 10,521,600 | 1.32% | 10,941,600 | 1.38% | |||||||
| TOTAL: | 34,902,721 | 4.41% | 34,560,477 | 4.35% | |||||||
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 | ||||||
| Ordinary NPV | Purchase | 100 | 4,110.0000 JPY | ||||
| Ordinary NPV | Purchase | 200 | 4,233.7500 JPY | ||||
| Ordinary NPV | Purchase | 300 | 4,164.3333 JPY | ||||
| Ordinary NPV | Purchase | 300 | 4,218.6666 JPY | ||||
| Ordinary NPV | Purchase | 400 | 4,169.0000 JPY | ||||
| Ordinary NPV | Purchase | 600 | 4,195.3333 JPY | ||||
| Ordinary NPV | Purchase | 736 | 4,225.3355 JPY | ||||
| Ordinary NPV | Purchase | 800 | 4,212.5250 JPY | ||||
| Ordinary NPV | Purchase | 828 | 4,250.7396 JPY | ||||
| Ordinary NPV | Purchase | 966 | 4,222.6149 JPY | ||||
| Ordinary NPV | Purchase | 981 | 4,226.6044 JPY | ||||
| Ordinary NPV | Purchase | 1,000 | 4,283.1000 JPY | ||||
| Ordinary NPV | Purchase | 1,200 | 4,220.5000 JPY | ||||
| Ordinary NPV | Purchase | 1,200 | 4,212.3333 JPY | ||||
| Ordinary NPV | Purchase | 2,900 | 4,206.8068 JPY | ||||
| Ordinary NPV | Purchase | 3,053 | 4,211.3655 JPY | ||||
| Ordinary NPV | Purchase | 3,200 | 4,211.4062 JPY | ||||
| Ordinary NPV | Purchase | 4,400 | 4,178.0227 JPY | ||||
| Ordinary NPV | Purchase | 4,472 | 4,228.5315 JPY | ||||
| Ordinary NPV | Purchase | 4,700 | 4,225.9148 JPY | ||||
| Ordinary NPV | Purchase | 4,804 | 4,226.5534 JPY | ||||
| Ordinary NPV | Purchase | 5,184 | 4,218.0476 JPY | ||||
| Ordinary NPV | Purchase | 5,300 | 4,229.5471 JPY | ||||
| Ordinary NPV | Purchase | 6,394 | 4,229.9843 JPY | ||||
| Ordinary NPV | Purchase | 7,000 | 4,183.8785 JPY | ||||
| Ordinary NPV | Purchase | 9,800 | 4,196.4816 JPY | ||||
| Ordinary NPV | Purchase | 12,700 | 4,191.7480 JPY | ||||
| Ordinary NPV | Purchase | 18,300 | 4,187.3251 JPY | ||||
| Ordinary NPV | Purchase | 18,500 | 4,205.6108 JPY | ||||
| Ordinary NPV | Purchase | 19,100 | 4,202.5157 JPY | ||||
| Ordinary NPV | Purchase | 19,400 | 4,187.0876 JPY | ||||
| Ordinary NPV | Purchase | 19,900 | 4,121.0000 JPY | ||||
| Ordinary NPV | Purchase | 21,218 | 4,224.3654 JPY | ||||
| Ordinary NPV | Purchase | 26,400 | 4,175.8257 JPY | ||||
| Ordinary NPV | Purchase | 30,700 | 4,208.7475 JPY | ||||
| Ordinary NPV | Purchase | 36,900 | 4,223.2276 JPY | ||||
| Ordinary NPV | Purchase | 51,000 | 4,199.8019 JPY | ||||
| Ordinary NPV | Purchase | 115,300 | 4,179.4275 JPY | ||||
| Ordinary NPV | Purchase | 120,664 | 4,219.2524 JPY | ||||
| Ordinary NPV | Purchase | 372,600 | 4,198.3921 JPY | ||||
| Ordinary NPV | Purchase | 922,300 | 4,191.9650 JPY | ||||
| Ordinary NPV | Purchase | 1,413,800 | 4,194.8887 JPY | ||||
| Ordinary NPV | Purchase | 1,450,300 | 4,195.6794 JPY | ||||
| Ordinary NPV | Sale | 100 | 4,207.0000 JPY | ||||
| Ordinary NPV | Sale | 300 | 4,164.3333 JPY | ||||
| Ordinary NPV | Sale | 300 | 4,196.0000 JPY | ||||
| Ordinary NPV | Sale | 300 | 4,194.6666 JPY | ||||
| Ordinary NPV | Sale | 400 | 4,169.0000 JPY | ||||
| Ordinary NPV | Sale | 400 | 4,196.8750 JPY | ||||
| Ordinary NPV | Sale | 700 | 4,200.5714 JPY | ||||
| Ordinary NPV | Sale | 800 | 4,212.5250 JPY | ||||
| Ordinary NPV | Sale | 800 | 4,182.5000 JPY | ||||
| Ordinary NPV | Sale | 1,900 | 4,205.7894 JPY | ||||
| Ordinary NPV | Sale | 2,800 | 4,209.2107 JPY | ||||
| Ordinary NPV | Sale | 6,500 | 4,227.8769 JPY | ||||
| Ordinary NPV | Sale | 7,000 | 4,183.8785 JPY | ||||
| Ordinary NPV | Sale | 9,800 | 4,196.4816 JPY | ||||
| Ordinary NPV | Sale | 12,200 | 4,177.3032 JPY | ||||
| Ordinary NPV | Sale | 17,000 | 4,207.7882 JPY | ||||
| Ordinary NPV | Sale | 18,300 | 4,187.3251 JPY | ||||
| Ordinary NPV | Sale | 18,500 | 4,205.6108 JPY | ||||
| Ordinary NPV | Sale | 19,200 | 4,189.8958 JPY | ||||
| Ordinary NPV | Sale | 30,900 | 4,208.9093 JPY | ||||
| Ordinary NPV | Sale | 37,700 | 4,252.0344 JPY | ||||
| Ordinary NPV | Sale | 43,300 | 4,191.6212 JPY | ||||
| Ordinary NPV | Sale | 1,500 | 4,140.0000 JPY | ||||
| Ordinary NPV | Sale | 58,900 | 4,166.4821 JPY | ||||
| Ordinary NPV | Sale | 69,637 | 4,136.6849 JPY | ||||
| Ordinary NPV | Sale | 71,315 | 4,150.0020 JPY | ||||
| Ordinary NPV | Sale | 107,600 | 4,223.4516 JPY | ||||
| Ordinary NPV | Sale | 372,600 | 4,197.3668 JPY | ||||
| Ordinary NPV | Sale | 901,800 | 4,186.0617 JPY | ||||
| Ordinary NPV | Sale | 1,415,600 | 4,194.1763 JPY | ||||
| Ordinary NPV | Sale | 1,434,500 | 4,193.8212 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 | 1,100 | 4,237.0000 JPY | |||||
| Ordinary NPV | CFD | Long | 4,900 | 4,139.5861 JPY | |||||
| Ordinary NPV | CFD | Long | 69,637 | 4,136.6849 JPY | |||||
| Ordinary NPV | CFD | Long | 71,315 | 4,150.0021 JPY | |||||
| Ordinary NPV | SWAP | Short | 16 | 4,233.9233 JPY | |||||
| Ordinary NPV | SWAP | Short | 18 | 4,208.7541 JPY | |||||
| Ordinary NPV | SWAP | Short | 36 | 4,206.0062 JPY | |||||
| Ordinary NPV | SWAP | Short | 42 | 4,230.6283 JPY | |||||
| Ordinary NPV | SWAP | Short | 43 | 4,222.6819 JPY | |||||
| Ordinary NPV | SWAP | Short | 45 | 4,250.7186 JPY | |||||
| Ordinary NPV | SWAP | Short | 47 | 4,220.9513 JPY | |||||
| Ordinary NPV | SWAP | Short | 49 | 4,233.6069 JPY | |||||
| Ordinary NPV | SWAP | Short | 66 | 4,222.2897 JPY | |||||
| Ordinary NPV | SWAP | Short | 100 | 4,150.1800 JPY | |||||
| Ordinary NPV | SWAP | Short | 139 | 4,211.7222 JPY | |||||
| Ordinary NPV | SWAP | Short | 167 | 4,218.2140 JPY | |||||
| Ordinary NPV | SWAP | Short | 169 | 4,215.1408 JPY | |||||
| Ordinary NPV | SWAP | Short | 170 | 4,214.5068 JPY | |||||
| Ordinary NPV | SWAP | Short | 202 | 4,228.7628 JPY | |||||
| Ordinary NPV | SWAP | Short | 218 | 4,226.2161 JPY | |||||
| Ordinary NPV | SWAP | Short | 275 | 4,215.3598 JPY | |||||
| Ordinary NPV | SWAP | Short | 292 | 4,229.8205 JPY | |||||
| Ordinary NPV | SWAP | Short | 300 | 4,207.6666 JPY | |||||
| Ordinary NPV | SWAP | Short | 474 | 4,218.8536 JPY | |||||
| Ordinary NPV | SWAP | Short | 669 | 4,225.1780 JPY | |||||
| Ordinary NPV | SWAP | Short | 783 | 4,250.7408 JPY | |||||
| Ordinary NPV | SWAP | Short | 887 | 4,223.2858 JPY | |||||
| Ordinary NPV | SWAP | Short | 892 | 4,226.7141 JPY | |||||
| Ordinary NPV | SWAP | Short | 1,164 | 4,221.9720 JPY | |||||
| Ordinary NPV | SWAP | Short | 2,842 | 4,217.6026 JPY | |||||
| Ordinary NPV | SWAP | Short | 2,848 | 4,211.0952 JPY | |||||
| Ordinary NPV | SWAP | Short | 4,101 | 4,229.0723 JPY | |||||
| Ordinary NPV | SWAP | Short | 4,416 | 4,227.0340 JPY | |||||
| Ordinary NPV | SWAP | Short | 4,893 | 4,218.1469 JPY | |||||
| Ordinary NPV | SWAP | Short | 5,935 | 4,230.3236 JPY | |||||
| Ordinary NPV | SWAP | Short | 6,626 | 4,215.5168 JPY | |||||
| Ordinary NPV | SWAP | Short | 19,580 | 4,224.6411 JPY | |||||
| Ordinary NPV | CFD | Short | 90,000 | 4,154.7591 JPY | |||||
| Ordinary NPV | SWAP | Short | 111,196 | 4,219.5172 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: | 12 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 | 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: |
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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