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.
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