Source - BUS

Form 8.3 - TAKEDA PHARMACEUTICAL CO LTD

BARCLAYS PLC

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: 08 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 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:       ORD
Interests   Short Positions
    Number   (%) Number   (%)
(1) Relevant securities owned
and/or controlled: 14,785,210 1.86% 14,694,226 1.85%
           
(2) Cash-settled derivatives:
14,225,090 1.79% 874,900 0.11%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 13,623,700 1.71% 843,700 0.11%
           
(4)
TOTAL: 42,634,000 5.36% 16,412,826 2.07%

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 15 4,772.4666 JPY
ORD Purchase 29 4,752.0000 JPY
ORD Purchase 167 4,764.7545 JPY
ORD Purchase 185 4,758.6108 JPY
ORD Purchase 400 4,747.4725 JPY
ORD Purchase 692 4,761.0520 JPY
ORD Purchase 695 4,759.5769 JPY
ORD Purchase 755 4,760.3841 JPY
ORD Purchase 846 4,758.9952 JPY
ORD Purchase 900 4,760.8888 JPY
ORD Purchase 1,000 4,761.6000 JPY
ORD Purchase 1,000 4,755.9000 JPY
ORD Purchase 1,100 4,749.4545 JPY
ORD Purchase 1,200 4,765.2500 JPY
ORD Purchase 1,200 4,765.7500 JPY
ORD Purchase 1,600 4,760.8750 JPY
ORD Purchase 2,116 4,766.4510 JPY
ORD Purchase 2,300 4,770.0000 JPY
ORD Purchase 2,400 4,753.8416 JPY
ORD Purchase 2,500 4,753.2200 JPY
ORD Purchase 2,800 4,749.4285 JPY
ORD Purchase 3,200 4,756.9250 JPY
ORD Purchase 15,000 4,750.0000 JPY
ADS Purchase 31,714 21.3764 USD
ORD Purchase 71,400 4,760.5714 JPY
ORD Purchase 152,100 4,759.2518 JPY
ADS Purchase 190,720 21.3349 USD
ORD Purchase 210,600 4,757.9686 JPY
ORD Sale 100 4,771.9000 JPY
ORD Sale 300 4,757.0000 JPY
ORD Sale 600 4,753.8333 JPY
ORD Sale 900 4,763.0000 JPY
ORD Sale 900 4,753.1111 JPY
ORD Sale 1,000 4,755.9000 JPY
ORD Sale 1,000 4,761.6000 JPY
ORD Sale 1,100 4,748.9090 JPY
ORD Sale 1,200 4,765.2500 JPY
ORD Sale 1,300 4,759.6923 JPY
ORD Sale 1,600 4,760.8750 JPY
ORD Sale 1,900 4,747.6842 JPY
ORD Sale 2,400 4,753.8416 JPY
ORD Sale 2,500 4,753.2200 JPY
ORD Sale 3,100 4,756.4419 JPY
ORD Sale 3,900 4,758.1025 JPY
ORD Sale 17,100 4,749.8421 JPY
ADS Sale 31,714 21.3764 USD
ORD Sale 33,600 4,758.3363 JPY
ORD Sale 151,500 4,758.8165 JPY
ADS Sale 190,720 21.3349 USD
ORD Sale 267,600 4,758.7888 JPY

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Short 15 4,772.4772 JPY
ORD SWAP Short 29 4,752.4752 JPY
ORD SWAP Short 167 4,764.7608 JPY
ORD SWAP Short 185 4,758.6109 JPY
ORD CFD Short 300 4,770.4766 JPY
ORD SWAP Short 400 4,747.4747 JPY
ORD SWAP Short 692 4,761.0530 JPY
ORD SWAP Short 695 4,759.5766 JPY
ORD SWAP Short 755 4,760.3850 JPY
ORD SWAP Short 846 4,758.9970 JPY
ORD SWAP Short 900 4,770.1192 JPY
ORD SWAP Short 1,216 4,763.7362 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: 9 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.

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 Put Options Purchased -39,000 5781.0000 European 14 Dec 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 Call Options Written -460,000 6182.0000 European 14 Dec 2018
ORD Put Options Written 13,200,000 4799.0427 European 5 Sep 2018
ORD Call Options Purchased 13,200,000 4799.0427 European 5 Sep 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 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.