Form 8.3 - TAKEDA PHARMACEUTICAL CO LTD

LONDON--()--

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: 03 August 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

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:       ORD            
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 14,755,410 1.86% 14,694,526 1.85%
           
(2) Cash-settled derivatives:
14,225,390 1.79% 14,035,300 1.77%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 13,623,700 1.71% 14,043,700 1.77%
           
 
TOTAL: 42,604,500 5.36% 42,773,526 5.38%

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  
ORD Purchase 98 4,729.6429 JPY
ORD Purchase 100 4,753.0000 JPY
ORD Purchase 170 4,743.0294 JPY
ORD Purchase 187 4,735.1443 JPY
ORD Purchase 400 4,740.7500 JPY
ORD Purchase 551 4,748.8257 JPY
ORD Purchase 600 4,764.5000 JPY
ORD Purchase 700 4,754.2857 JPY
ORD Purchase 1,000 4,753.7000 JPY
ORD Purchase 1,600 4,747.3750 JPY
ORD Purchase 1,677 4,747.4041 JPY
ORD Purchase 2,217 4,737.7533 JPY
ORD Purchase 2,300 4,760.0000 JPY
ORD Purchase 2,700 4,759.4074 JPY
ORD Purchase 2,700 4,751.5926 JPY
ORD Purchase 4,100 4,741.4975 JPY
ORD Purchase 4,800 4,751.2187 JPY
ORD Purchase 5,500 4,749.1272 JPY
ORD Purchase 5,600 4,744.5892 JPY
ORD Purchase 6,000 4,749.0366 JPY
ORD Purchase 7,000 4,753.9571 JPY
ORD Purchase 8,000 4,753.0875 JPY
ORD Purchase 13,100 4,751.4961 JPY
ADR Purchase 20,136 21.3800 USD
ORD Purchase 36,300 4,757.0330 JPY
ORD Purchase 40,400 4,757.5396 JPY
ORD Purchase 91,600 4,747.2303 JPY
ADR Purchase 201,360 21.3826 USD
ORD Purchase 234,200 4,750.6567 JPY
ORD Purchase 272,200 4,752.2905 JPY
ORD Sale 400 4,740.7500 JPY
ORD Sale 600 4,763.8333 JPY
ORD Sale 600 4,756.1666 JPY
ORD Sale 600 4,740.5000 JPY
ORD Sale 1,000 4,753.7000 JPY
ORD Sale 2,400 4,736.5833 JPY
ORD Sale 2,700 4,759.4074 JPY
ORD Sale 3,200 4,750.5937 JPY
ORD Sale 4,100 4,741.4975 JPY
ORD Sale 4,800 4,751.2187 JPY
ORD Sale 5,500 4,749.1272 JPY
ORD Sale 6,100 4,749.1016 JPY
ORD Sale 6,600 4,759.0000 JPY
ORD Sale 7,500 4,761.1200 JPY
ORD Sale 8,100 4,741.0123 JPY
ORD Sale 13,100 4,751.4961 JPY
ORD Sale 14,100 4,771.0000 JPY
ORD Sale 16,600 4,761.3855 JPY
ADR Sale 100,680 21.3826 USD
ADR Sale 120,816 21.3822 USD
ORD Sale 223,800 4,750.5201 JPY
ORD Sale 522,900 4,750.8114 JPY

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD CFD Long 6,500 4,759.0000 JPY
ORD CFD Long 10,800 4,770.5229 JPY
ORD SWAP Short 47 4,744.4744 JPY
ORD SWAP Short 98 4,729.6565 JPY
ORD SWAP Short 140 4,744.9744 JPY
ORD SWAP Short 170 4,743.0360 JPY
ORD SWAP Short 187 4,735.1401 JPY
ORD SWAP Short 200 4,778.1550 JPY
ORD SWAP Short 411 4,750.1371 JPY
ORD SWAP Short 513 4,744.9368 JPY
ORD SWAP Short 1,164 4,748.4915 JPY
ORD SWAP Short 2,170 4,737.6080 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: 6 Aug 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.

143221.01

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      
ORD Call Options Purchased 13,200,000 4625.0373 European 6 Aug 2018
ORD Put Options Purchased -39,000 5781.0000 European 14 Dec 2018
ORD Put Options Written 13,200,000 4625.0373 European 6 Aug 2018
ORD Call Options Purchased 48,000 4625.0000 European 12 Oct 2018
ORD Call Options Purchased 40,000 6182.0000 European 14 Dec 2018
ORD Call Options Purchased 39,000 5781.0000 European 14 Dec 2018
ORD Call Options Written -78,000 5781.0000 European 14 Dec 2018
ORD Put Options Purchased -13,200,000 4625.0373 European 6 Aug 2018
ORD Call Options Written -460,000 6182.0000 European 14 Dec 2018
ORD Call Options Written -104,700 5065.8300 European 17 Apr 2019
ORD Put Options Written 104,700 5065.8300 European 17 Apr 2019
ORD Put Options Purchased -48,000 4625.0000 European 12 Oct 2018
ORD Call Options Written -13,200,000 4625.0373 European 6 Aug 2018
ORD Put Options Written 78,000 5781.0000 European 14 Dec 2018
ORD Put Options Written 114,000 4750.0200 European 14 May 2019
ORD Call 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.

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 652906
Time of Receipt (offset from UTC): 20180806T133217+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC