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Pin to quick picksBarclays Regulatory News (BARC)

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Form 8.3 - TAKEDA PHARMACEUTICAL CO LTD

10 Oct 2018 14:44

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: 09 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: 11,293,531 1.42% 11,985,394 1.51%
(2) Cash-settled derivatives:
11,765,916 1.48% 10,291,600 1.30%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 10,569,600 1.33% 10,989,600 1.38%
(4)
TOTAL: 33,629,047 4.23% 33,266,594 4.19%

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 8,000 19.9363 USD
ADR Purchase 14,572 19.9001 USD
ADR Purchase 14,600 19.7375 USD
ADR Purchase 15,500 19.7969 USD
ADR Sale 8,000 19.9362 USD
ADR Sale 14,572 19.9001 USD
ADR Sale 14,600 19.7375 USD
ADR Sale 15,500 19.7969 USD
Ordinary NPV Purchase 46 4,525.4347 JPY
Ordinary NPV Purchase 183 4,538.2022 JPY
Ordinary NPV Purchase 200 4,507.6000 JPY
Ordinary NPV Purchase 300 4,541.0000 JPY
Ordinary NPV Purchase 318 4,542.5943 JPY
Ordinary NPV Purchase 400 4,517.8750 JPY
Ordinary NPV Purchase 415 4,530.3277 JPY
Ordinary NPV Purchase 500 4,518.6000 JPY
Ordinary NPV Purchase 693 4,533.0138 JPY
Ordinary NPV Purchase 696 4,540.6264 JPY
Ordinary NPV Purchase 737 4,534.5292 JPY
Ordinary NPV Purchase 1,100 4,502.0000 JPY
Ordinary NPV Purchase 1,112 4,535.2329 JPY
Ordinary NPV Purchase 1,400 4,498.4285 JPY
Ordinary NPV Purchase 1,400 4,513.4285 JPY
Ordinary NPV Purchase 1,600 4,521.8125 JPY
Ordinary NPV Purchase 1,900 4,522.3947 JPY
Ordinary NPV Purchase 2,500 4,528.5400 JPY
Ordinary NPV Purchase 2,900 4,500.0000 JPY
Ordinary NPV Purchase 5,400 4,519.9074 JPY
Ordinary NPV Purchase 5,700 4,525.7543 JPY
Ordinary NPV Purchase 5,900 4,517.3322 JPY
Ordinary NPV Purchase 7,200 4,508.3388 JPY
Ordinary NPV Purchase 8,300 4,517.1927 JPY
Ordinary NPV Purchase 9,600 4,528.9166 JPY
Ordinary NPV Purchase 10,000 4,522.5300 JPY
Ordinary NPV Purchase 24,400 4,504.1393 JPY
Ordinary NPV Purchase 24,700 4,520.1012 JPY
Ordinary NPV Purchase 27,500 4,524.7854 JPY
Ordinary NPV Purchase 32,000 4,520.2011 JPY
Ordinary NPV Purchase 41,900 4,524.4677 JPY
Ordinary NPV Purchase 55,200 4,499.8242 JPY
Ordinary NPV Purchase 163,100 4,523.4715 JPY
Ordinary NPV Purchase 399,100 4,522.8266 JPY
Ordinary NPV Purchase 416,400 4,525.7694 JPY
Ordinary NPV Purchase 444,600 4,520.1151 JPY
Ordinary NPV Sale 100 4,507.0000 JPY
Ordinary NPV Sale 200 4,499.5000 JPY
Ordinary NPV Sale 500 4,518.6000 JPY
Ordinary NPV Sale 1,400 4,510.7857 JPY
Ordinary NPV Sale 1,600 4,521.8125 JPY
Ordinary NPV Sale 1,900 4,522.3947 JPY
Ordinary NPV Sale 2,300 4,528.7391 JPY
Ordinary NPV Sale 2,500 4,497.0000 JPY
Ordinary NPV Sale 2,500 4,528.5400 JPY
Ordinary NPV Sale 5,700 4,525.7543 JPY
Ordinary NPV Sale 6,100 4,517.0131 JPY
Ordinary NPV Sale 6,200 4,504.5161 JPY
Ordinary NPV Sale 7,200 4,508.3388 JPY
Ordinary NPV Sale 10,000 4,528.4750 JPY
Ordinary NPV Sale 10,100 4,526.9207 JPY
Ordinary NPV Sale 12,800 4,508.0156 JPY
Ordinary NPV Sale 13,300 4,526.1654 JPY
Ordinary NPV Sale 18,200 4,504.0109 JPY
Ordinary NPV Sale 41,900 4,523.3675 JPY
Ordinary NPV Sale 60,000 4,500.0000 JPY
Ordinary NPV Sale 164,500 4,520.5574 JPY
Ordinary NPV Sale 331,000 4,520.0450 JPY
Ordinary NPV Sale 400,400 4,522.3356 JPY
Ordinary NPV Sale 448,600 4,520.3078 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 15,800 4,500.0000 JPY
Ordinary NPV CFD Long 20,000 4,499.5500 JPY
Ordinary NPV SWAP Short 46 4,525.4525 JPY
Ordinary NPV SWAP Short 183 4,538.2037 JPY
Ordinary NPV SWAP Short 318 4,542.5970 JPY
Ordinary NPV SWAP Short 415 4,530.3325 JPY
Ordinary NPV SWAP Short 693 4,533.0146 JPY
Ordinary NPV SWAP Short 696 4,540.6278 JPY
Ordinary NPV SWAP Short 737 4,534.5293 JPY
Ordinary NPV SWAP Short 1,112 4,535.2331 JPY
Ordinary NPV SWAP Short 32,000 4,520.2011 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: 10 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 48,000 4625.0000 European 12 Oct 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 -48,000 4625.0000 European 12 Oct 2018
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/20181010005583/en/

Copyright Business Wire 2018

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