LONDON--(BUSINESS WIRE)--
FORM 8.3
Amendment to Purchases & 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: | 12 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: | 12,151,001 | 1.53% | 14,139,354 | 1.78% | |||||||
(2) | Cash-settled derivatives: | ||||||||||
13,911,990 | 1.75% | 11,146,635 | 1.40% | ||||||||
(3) | Stock-settled derivatives (including options) | ||||||||||
and agreements to purchase/sell: | 10,671,600 | 1.34% | 11,091,600 | 1.40% | |||||||
TOTAL: | 36,734,591 | 4.62% | 36,377,589 | 4.58% |
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 | 34,931 | 16.6240 USD | ||||
ADR | Sale | 11,135 | 16.7011 USD | ||||
ADR | Sale | 23,796 | 16.5880 USD | ||||
Ordinary NPV | Purchase | 300 | 3,734.3333 JPY | ||||
Ordinary NPV | Purchase | 300 | 3,741.5000 JPY | ||||
Ordinary NPV | Purchase | 600 | 3,734.1666 JPY | ||||
Ordinary NPV | Purchase | 700 | 3,746.5714 JPY | ||||
Ordinary NPV | Purchase | 735 | 3,742.5142 JPY | ||||
Ordinary NPV | Purchase | 892 | 3,729.2601 JPY | ||||
Ordinary NPV | Purchase | 1,000 | 3,727.5000 JPY | ||||
Ordinary NPV | Purchase | 1,100 | 3,728.6363 JPY | ||||
Ordinary NPV | Purchase | 2,220 | 3,739.0581 JPY | ||||
Ordinary NPV | Purchase | 2,800 | 3,732.2142 JPY | ||||
Ordinary NPV | Purchase | 3,475 | 3,737.5974 JPY | ||||
Ordinary NPV | Purchase | 4,000 | 3,730.2375 JPY | ||||
Ordinary NPV | Purchase | 4,260 | 3,741.7826 JPY | ||||
Ordinary NPV | Purchase | 4,900 | 3,728.9163 JPY | ||||
Ordinary NPV | Purchase | 5,600 | 3,729.7446 JPY | ||||
Ordinary NPV | Purchase | 6,300 | 3,709.3650 JPY | ||||
Ordinary NPV | Purchase | 6,500 | 3,734.6538 JPY | ||||
Ordinary NPV | Purchase | 7,847 | 3,733.9598 JPY | ||||
Ordinary NPV | Purchase | 9,100 | 3,673.0000 JPY | ||||
Ordinary NPV | Purchase | 9,933 | 3,729.5579 JPY | ||||
Ordinary NPV | Purchase | 10,200 | 3,736.9656 JPY | ||||
Ordinary NPV | Purchase | 12,966 | 3,744.0000 JPY | ||||
Ordinary NPV | Purchase | 14,400 | 3,728.7638 JPY | ||||
Ordinary NPV | Purchase | 14,900 | 3,666.7315 JPY | ||||
Ordinary NPV | Purchase | 17,200 | 3,716.6279 JPY | ||||
Ordinary NPV | Purchase | 18,500 | 3,729.6524 JPY | ||||
Ordinary NPV | Purchase | 19,838 | 3,732.3176 JPY | ||||
Ordinary NPV | Purchase | 22,100 | 3,733.6606 JPY | ||||
Ordinary NPV | Purchase | 23,000 | 3,718.0217 JPY | ||||
Ordinary NPV | Purchase | 30,300 | 3,736.1402 JPY | ||||
Ordinary NPV | Purchase | 46,800 | 3,718.0000 JPY | ||||
Ordinary NPV | Purchase | 74,800 | 3,725.5882 JPY | ||||
Ordinary NPV | Purchase | 123,100 | 3,711.3021 JPY | ||||
Ordinary NPV | Purchase | 283,700 | 3,713.5364 JPY | ||||
Ordinary NPV | Purchase | 650,500 | 3,717.0387 JPY | ||||
Ordinary NPV | Purchase | 682,000 | 3,716.5464 JPY | ||||
Ordinary NPV | Sale | 31 | 3,685.6452 JPY | ||||
Ordinary NPV | Sale | 31 | 3,689.6451 JPY | ||||
Ordinary NPV | Sale | 166 | 3,685.0481 JPY | ||||
Ordinary NPV | Sale | 289 | 3,673.9180 JPY | ||||
Ordinary NPV | Sale | 304 | 3,689.5921 JPY | ||||
Ordinary NPV | Sale | 385 | 3,689.1740 JPY | ||||
Ordinary NPV | Sale | 600 | 3,734.1666 JPY | ||||
Ordinary NPV | Sale | 952 | 3,691.4936 JPY | ||||
Ordinary NPV | Sale | 1,000 | 3,727.5000 JPY | ||||
Ordinary NPV | Sale | 1,040 | 3,682.7798 JPY | ||||
Ordinary NPV | Sale | 1,102 | 3,694.0608 JPY | ||||
Ordinary NPV | Sale | 1,400 | 3,718.3571 JPY | ||||
Ordinary NPV | Sale | 1,679 | 3,690.4604 JPY | ||||
Ordinary NPV | Sale | 2,000 | 3,672.6000 JPY | ||||
Ordinary NPV | Sale | 2,800 | 3,673.0000 JPY | ||||
Ordinary NPV | Sale | 3,021 | 3,682.6521 JPY | ||||
Ordinary NPV | Sale | 4,000 | 3,730.2375 JPY | ||||
Ordinary NPV | Sale | 4,200 | 3,710.1428 JPY | ||||
Ordinary NPV | Sale | 4,600 | 3,733.5434 JPY | ||||
Ordinary NPV | Sale | 4,900 | 3,728.9163 JPY | ||||
Ordinary NPV | Sale | 5,600 | 3,729.7446 JPY | ||||
Ordinary NPV | Sale | 6,500 | 3,734.6538 JPY | ||||
Ordinary NPV | Sale | 6,600 | 3,707.2272 JPY | ||||
Ordinary NPV | Sale | 6,900 | 3,719.9710 JPY | ||||
Ordinary NPV | Sale | 7,900 | 3,700.0000 JPY | ||||
Ordinary NPV | Sale | 10,200 | 3,736.9656 JPY | ||||
Ordinary NPV | Sale | 14,300 | 3,728.6678 JPY | ||||
Ordinary NPV | Sale | 18,500 | 3,729.6524 JPY | ||||
Ordinary NPV | Sale | 30,100 | 3,717.7940 JPY | ||||
Ordinary NPV | Sale | 30,100 | 3,709.5647 JPY | ||||
Ordinary NPV | Sale | 30,600 | 3,736.1928 JPY | ||||
Ordinary NPV | Sale | 40,500 | 3,728.5061 JPY | ||||
Ordinary NPV | Sale | 55,300 | 3,718.0000 JPY | ||||
Ordinary NPV | Sale | 123,100 | 3,710.8091 JPY | ||||
Ordinary NPV | Sale | 452,100 | 3,715.1767 JPY | ||||
Ordinary NPV | Sale | 665,400 | 3,715.9122 JPY | ||||
Ordinary NPV | Sale | 674,100 | 3,716.7403 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 | 31 | 3,685.6314 JPY | |||||
Ordinary NPV | SWAP | Long | 31 | 3,689.6310 JPY | |||||
Ordinary NPV | SWAP | Long | 166 | 3,685.0491 JPY | |||||
Ordinary NPV | SWAP | Long | 289 | 3,673.9180 JPY | |||||
Ordinary NPV | SWAP | Long | 304 | 3,689.5920 JPY | |||||
Ordinary NPV | SWAP | Long | 385 | 3,689.1739 JPY | |||||
Ordinary NPV | SWAP | Long | 952 | 3,691.4933 JPY | |||||
Ordinary NPV | CFD | Long | 1,000 | 3,744.7760 JPY | |||||
Ordinary NPV | SWAP | Long | 1,040 | 3,682.7807 JPY | |||||
Ordinary NPV | SWAP | Long | 1,102 | 3,694.0615 JPY | |||||
Ordinary NPV | SWAP | Long | 1,600 | 3,718.0000 JPY | |||||
Ordinary NPV | SWAP | Long | 1,679 | 3,690.4599 JPY | |||||
Ordinary NPV | SWAP | Long | 3,021 | 3,682.6523 JPY | |||||
Ordinary NPV | SWAP | Long | 5,400 | 3,721.9807 JPY | |||||
Ordinary NPV | CFD | Long | 6,000 | 3,672.6328 JPY | |||||
Ordinary NPV | CFD | Long | 180,000 | 3,712.6072 JPY | |||||
Ordinary NPV | SWAP | Short | 100 | 3,709.0000 JPY | |||||
Ordinary NPV | SWAP | Short | 400 | 3,728.6250 JPY | |||||
Ordinary NPV | SWAP | Short | 735 | 3,742.5140 JPY | |||||
Ordinary NPV | SWAP | Short | 892 | 3,729.2608 JPY | |||||
Ordinary NPV | SWAP | Short | 2,220 | 3,739.0587 JPY | |||||
Ordinary NPV | SWAP | Short | 3,475 | 3,737.5978 JPY | |||||
Ordinary NPV | SWAP | Short | 4,260 | 3,741.7830 JPY | |||||
Ordinary NPV | SWAP | Short | 4,900 | 3,669.1651 JPY | |||||
Ordinary NPV | SWAP | Short | 7,847 | 3,733.9599 JPY | |||||
Ordinary NPV | SWAP | Short | 9,933 | 3,729.5579 JPY | |||||
Ordinary NPV | SWAP | Short | 19,838 | 3,732.3176 JPY | |||||
Ordinary NPV | CFD | Short | 45,000 | 3,718.0000 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: | 14 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 | Purchased | 150,000 | 3889.0000 | American | 11 Jun 2021 | |||||||
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 | -150,000 | 3889.0000 | American | 11 Jun 2021 | |||||||
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.