Barclays Regulatory News (BARC)

8 Jan 2019 13:18

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:		07 January 2019
(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		(%)
		Relevant securities owned
		and/or controlled:		11,639,665		1.46%		18,916,042		2.38%
(2)		Cash-settled derivatives:
				8,788,961		1.11%		1,675,035		0.21%
(3)		Stock-settled derivatives (including options)
		and agreements to purchase/sell:		514,600		0.06%		514,600		0.06%
(4)
		TOTAL:		20,943,226		2.64%		21,105,677		2.66%

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		19		18.6000 USD
ADR		Purchase		47		18.5600 USD
ADR		Purchase		100		18.4900 USD
ADR		Purchase		100		18.6250 USD
ADR		Purchase		300		18.5500 USD
ADR		Purchase		1,100		18.5845 USD
ADR		Purchase		2,400		18.5725 USD
ADR		Purchase		6,100		18.5111 USD
ADR		Purchase		6,600		18.5657 USD
ADR		Purchase		68,400		18.5630 USD
ADR		Purchase		74,900		18.5633 USD
ADR		Purchase		170,800		18.5662 USD
ADR		Sale		19		18.6000 USD
ADR		Sale		100		18.5250 USD
ADR		Sale		100		18.6250 USD
ADR		Sale		100		18.4750 USD
ADR		Sale		200		18.5850 USD
ADR		Sale		246		18.6100 USD
ADR		Sale		300		18.5700 USD
ADR		Sale		300		18.5050 USD
ADR		Sale		400		18.5175 USD
ADR		Sale		600		18.5083 USD
ADR		Sale		800		18.5112 USD
ADR		Sale		1,200		18.5095 USD
ADR		Sale		1,300		18.5115 USD
ADR		Sale		1,300		18.5146 USD
ADR		Sale		3,900		18.5720 USD
ADR		Sale		4,200		18.6650 USD
ADR		Sale		4,500		18.5550 USD
ADR		Sale		4,703		18.5552 USD
ADR		Sale		5,100		18.5452 USD
ADR		Sale		7,200		18.5470 USD
ADR		Sale		8,298		18.5682 USD
ADR		Sale		9,100		18.5728 USD
ADR		Sale		11,714		18.5457 USD
ADR		Sale		19,645		18.5660 USD
ADR		Sale		19,883		18.5673 USD
ADR		Sale		39,500		18.5521 USD
ADR		Sale		47,748		18.5693 USD
ADR		Sale		65,900		18.5621 USD
ADR		Sale		77,009		18.5756 USD
Ordinary NPV		Purchase		800		3,978.6875 JPY
Ordinary NPV		Purchase		1,000		3,951.1000 JPY
Ordinary NPV		Purchase		1,000		3,978.4000 JPY
Ordinary NPV		Purchase		1,700		3,987.4058 JPY
Ordinary NPV		Purchase		1,700		3,990.2764 JPY
Ordinary NPV		Purchase		1,900		3,992.5789 JPY
Ordinary NPV		Purchase		2,400		3,966.4166 JPY
Ordinary NPV		Purchase		3,100		3,991.0000 JPY
Ordinary NPV		Purchase		3,100		3,987.1871 JPY
Ordinary NPV		Purchase		3,500		3,991.1714 JPY
Ordinary NPV		Purchase		4,300		3,977.2790 JPY
Ordinary NPV		Purchase		4,500		3,963.4777 JPY
Ordinary NPV		Purchase		4,600		3,941.3260 JPY
Ordinary NPV		Purchase		4,800		4,035.7500 JPY
Ordinary NPV		Purchase		5,800		3,984.0000 JPY
Ordinary NPV		Purchase		7,700		3,978.6883 JPY
Ordinary NPV		Purchase		8,700		3,970.2701 JPY
Ordinary NPV		Purchase		9,700		3,915.8762 JPY
Ordinary NPV		Purchase		9,900		3,987.6666 JPY
Ordinary NPV		Purchase		11,500		3,986.7834 JPY
Ordinary NPV		Purchase		11,900		3,971.6890 JPY
Ordinary NPV		Purchase		12,900		3,979.8062 JPY
Ordinary NPV		Purchase		13,000		3,975.1538 JPY
Ordinary NPV		Purchase		17,600		3,981.8636 JPY
Ordinary NPV		Purchase		19,400		3,978.5670 JPY
Ordinary NPV		Purchase		30,000		3,981.0266 JPY
Ordinary NPV		Purchase		31,200		3,978.2115 JPY
Ordinary NPV		Purchase		47,300		3,980.2304 JPY
Ordinary NPV		Purchase		98,200		3,990.7841 JPY
Ordinary NPV		Purchase		190,000		3,954.4900 JPY
Ordinary NPV		Purchase		421,200		3,979.5439 JPY
Ordinary NPV		Purchase		456,700		3,980.0102 JPY
Ordinary NPV		Purchase		859,100		3,981.3206 JPY
Ordinary NPV		Purchase		866,900		3,980.0862 JPY
Ordinary NPV		Sale		400		3,966.0000 JPY
Ordinary NPV		Sale		400		3,998.7500 JPY
Ordinary NPV		Sale		1,000		3,945.8000 JPY
Ordinary NPV		Sale		1,000		3,951.1000 JPY
Ordinary NPV		Sale		1,000		4,006.9000 JPY
Ordinary NPV		Sale		1,600		3,991.6000 JPY
Ordinary NPV		Sale		1,700		3,990.2764 JPY
Ordinary NPV		Sale		2,000		4,034.6500 JPY
Ordinary NPV		Sale		2,400		3,966.4166 JPY
Ordinary NPV		Sale		2,800		3,989.5357 JPY
Ordinary NPV		Sale		4,100		3,981.4097 JPY
Ordinary NPV		Sale		4,300		3,977.2790 JPY
Ordinary NPV		Sale		6,700		3,966.3432 JPY
Ordinary NPV		Sale		8,400		4,014.0476 JPY
Ordinary NPV		Sale		8,700		3,970.2701 JPY
Ordinary NPV		Sale		8,700		3,974.0000 JPY
Ordinary NPV		Sale		11,500		3,986.7834 JPY
Ordinary NPV		Sale		11,700		3,971.4615 JPY
Ordinary NPV		Sale		13,000		4,080.0000 JPY
Ordinary NPV		Sale		100,000		3,975.4300 JPY
Ordinary NPV		Sale		421,200		3,978.9399 JPY
Ordinary NPV		Sale		846,100		3,979.8045 JPY
Ordinary NPV		Sale		869,300		3,980.0473 JPY
Ordinary NPV		Sale		1,033,600		3,978.4521 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		1,600		4,057.6300 JPY
Ordinary NPV		CFD		Long		150,000		3,985.9913 JPY
Ordinary NPV		SWAP		Short		2,800		3,969.6778 JPY
Ordinary NPV		CFD		Short		8,300		3,993.8209 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:		8 Jan 2019
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

150,000

3889.0000

American

11 Jun 2021

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

-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

-150,000

3889.0000

American

11 Jun 2021

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

104,700

5065.8300

European

17 Apr 2019

Ordinary NPV

Put Options

Written

114,000

4750.0200

European

14 May 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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