21st Nov 2018 12:48
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: | D. E. Shaw & Co., L.P. |
(b) Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named. | |
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Takeda Pharmaceutical Company Limited |
(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: For an opening position disclosure, state the latest practicable date prior to the disclosure | November 20, 2018 |
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state "N/A" | Yes: 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 | |||
| Interests | Short positions | ||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 705,900 | 0.09 | ||
(2) Cash-settled derivatives: | 23,500 | 0.00 | 6,276,600 | 0.80 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 436,000 | 0.05 | 436,000 | 0.05 |
TOTAL: | 459,500 | 0.05 | 7,418,500 | 0.94 |
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 security | Purchase/sale
| Number of securities | Price per unit |
Ordinary | Sale | 600 | JPY 4394.00 |
Ordinary | Sale | 200 | JPY 4395.00 |
Ordinary | Sale | 500 | JPY 4396.00 |
Ordinary | Sale | 500 | JPY 4397.00 |
Ordinary | Sale | 600 | JPY 4398.00 |
Ordinary | Sale | 200 | JPY 4399.00 |
Ordinary | Sale | 200 | JPY 4400.00 |
Ordinary | Sale | 100 | JPY 4401.00 |
Ordinary | Sale | 100 | JPY 4402.00 |
Ordinary | Sale | 600 | JPY 4403.00 |
Ordinary | Sale | 100 | JPY 4404.00 |
Ordinary | Sale | 700 | JPY 4405.00 |
Ordinary | Sale | 1,300 | JPY 4406.00 |
Ordinary | Sale | 800 | JPY 4407.00 |
Ordinary | Sale | 300 | JPY 4408.00 |
Ordinary | Sale | 700 | JPY 4409.00 |
Ordinary | Sale | 100 | JPY 4410.00 |
Ordinary | Sale | 400 | JPY 4411.00 |
Ordinary | Sale | 200 | JPY 4412.00 |
Ordinary | Sale | 200 | JPY 4413.00 |
Ordinary | Sale | 400 | JPY 4414.00 |
Ordinary | Sale | 500 | JPY 4415.00 |
Ordinary | Sale | 500 | JPY 4416.00 |
Ordinary | Sale | 400 | JPY 4417.00 |
Ordinary | Sale | 1,400 | JPY 4418.00 |
Ordinary | Sale | 1,200 | JPY 4419.00 |
Ordinary | Sale | 800 | JPY 4420.00 |
Ordinary | Sale | 600 | JPY 4421.00 |
Ordinary | Sale | 700 | JPY 4422.00 |
Ordinary | Sale | 700 | JPY 4423.00 |
Ordinary | Sale | 900 | JPY 4424.00 |
Ordinary | Sale | 500 | JPY 4425.00 |
Ordinary | Sale | 300 | JPY 4426.00 |
Ordinary | Sale | 800 | JPY 4427.00 |
Ordinary | Sale | 500 | JPY 4428.00 |
Ordinary | Sale | 100 | JPY 4430.00 |
Ordinary | Sale | 300 | JPY 4431.00 |
Ordinary | Sale | 100 | JPY 4434.00 |
Ordinary | Sale | 200 | JPY 4436.00 |
Ordinary | Sale | 100 | JPY 4443.00 |
Ordinary | Sale | 200 | JPY 4444.00 |
Ordinary | Sale | 800 | JPY 4450.00 |
Ordinary | Sale | 300 | JPY 4457.00 |
(b) Cash-settled derivative transactions
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
Ordinary | Swap | Increasing a short position | 14,300 | JPY 4370.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4374.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4379.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4387.00 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4390.00 |
Ordinary | Swap | Increasing a short position | 1,000 | JPY 4391.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4391.50 |
Ordinary | Swap | Increasing a short position | 1,900 | JPY 4392.00 |
Ordinary | Swap | Increasing a short position | 3,300 | JPY 4393.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4393.50 |
Ordinary | Swap | Increasing a short position | 3,200 | JPY 4394.00 |
Ordinary | Swap | Increasing a short position | 2,200 | JPY 4395.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4395.50 |
Ordinary | Swap | Increasing a short position | 2,100 | JPY 4396.00 |
Ordinary | Swap | Increasing a short position | 2,700 | JPY 4397.00 |
Ordinary | Swap | Increasing a short position | 1,200 | JPY 4398.00 |
Ordinary | Swap | Increasing a short position | 1,500 | JPY 4399.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4399.50 |
Ordinary | Swap | Increasing a short position | 1,500 | JPY 4400.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4400.50 |
Ordinary | Swap | Increasing a short position | 1,100 | JPY 4401.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4401.10 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4401.50 |
Ordinary | Swap | Increasing a short position | 2,600 | JPY 4402.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4402.50 |
Ordinary | Swap | Increasing a short position | 2,400 | JPY 4403.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4403.50 |
Ordinary | Swap | Increasing a short position | 3,500 | JPY 4404.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4404.50 |
Ordinary | Swap | Increasing a short position | 4,600 | JPY 4405.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4405.50 |
Ordinary | Swap | Increasing a short position | 4,200 | JPY 4406.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4406.50 |
Ordinary | Swap | Increasing a short position | 2,800 | JPY 4407.00 |
Ordinary | Swap | Increasing a short position | 2,200 | JPY 4408.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4408.10 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4408.50 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4408.70 |
Ordinary | Swap | Increasing a short position | 1,800 | JPY 4409.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4409.50 |
Ordinary | Swap | Increasing a short position | 1,900 | JPY 4410.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4410.10 |
Ordinary | Swap | Increasing a short position | 1,600 | JPY 4411.00 |
Ordinary | Swap | Increasing a short position | 1,600 | JPY 4412.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4412.50 |
Ordinary | Swap | Increasing a short position | 3,700 | JPY 4413.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4413.50 |
Ordinary | Swap | Increasing a short position | 3,700 | JPY 4414.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4414.50 |
Ordinary | Swap | Increasing a short position | 3,400 | JPY 4415.00 |
Ordinary | Swap | Increasing a short position | 3,600 | JPY 4416.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4416.50 |
Ordinary | Swap | Increasing a short position | 4,800 | JPY 4417.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4417.10 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4417.50 |
Ordinary | Swap | Increasing a short position | 6,700 | JPY 4418.00 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4418.50 |
Ordinary | Swap | Increasing a short position | 6,400 | JPY 4419.00 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4419.50 |
Ordinary | Swap | Increasing a short position | 5,400 | JPY 4420.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4420.50 |
Ordinary | Swap | Increasing a short position | 5,900 | JPY 4421.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4421.50 |
Ordinary | Swap | Increasing a short position | 6,600 | JPY 4422.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4422.10 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4422.50 |
Ordinary | Swap | Increasing a short position | 4,900 | JPY 4423.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4423.50 |
Ordinary | Swap | Increasing a short position | 4,400 | JPY 4424.00 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4424.50 |
Ordinary | Swap | Increasing a short position | 2,900 | JPY 4425.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4425.50 |
Ordinary | Swap | Increasing a short position | 1,800 | JPY 4426.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4426.50 |
Ordinary | Swap | Increasing a short position | 3,700 | JPY 4427.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4427.50 |
Ordinary | Swap | Increasing a short position | 2,600 | JPY 4428.00 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4428.50 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4429.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4429.50 |
Ordinary | Swap | Increasing a short position | 1,100 | JPY 4430.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4430.50 |
Ordinary | Swap | Increasing a short position | 1,000 | JPY 4431.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4432.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4432.50 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4433.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4433.50 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4434.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4434.50 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4435.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4435.50 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4436.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4436.50 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4437.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4437.50 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4438.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4438.10 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4438.50 |
Ordinary | Swap | Increasing a short position | 1,100 | JPY 4439.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4439.10 |
Ordinary | Swap | Increasing a short position | 1,200 | JPY 4440.00 |
Ordinary | Swap | Increasing a short position | 1,500 | JPY 4441.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4441.10 |
Ordinary | Swap | Increasing a short position | 1,600 | JPY 4442.00 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4443.00 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4444.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4445.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4447.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4448.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4448.50 |
Ordinary | Swap | Increasing a short position | 900 | JPY 4449.00 |
Ordinary | Swap | Increasing a short position | 2,000 | JPY 4449.50 |
Ordinary | Swap | Increasing a short position | 3,700 | JPY 4450.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4450.50 |
Ordinary | Swap | Increasing a short position | 1,000 | JPY 4451.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4451.10 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4451.50 |
Ordinary | Swap | Increasing a short position | 900 | JPY 4452.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4453.00 |
Ordinary | Swap | Increasing a short position | 1,000 | JPY 4454.00 |
Ordinary | Swap | Increasing a short position | 2,000 | JPY 4455.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4456.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4457.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4458.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4458.50 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4459.00 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4459.50 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4460.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4462.00 |
Ordinary | Swap | Increasing a short position | 1,000 | JPY 4463.00 |
Ordinary | Swap | Increasing a short position | 2,900 | JPY 4464.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4464.10 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4465.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4466.00 |
Ordinary | Swap | Increasing a short position | 18,300 | JPY 4476.00 |
(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: | November 21, 2018 |
| Contact name: | Kevin Krist (Compliance Department) |
| Telephone number: | +44 (0) 20 7409 4420 |
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
Full name of person making disclosure: | D. E. Shaw & Co., L.P. |
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: | Takeda Pharmaceutical Company Limited |
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class of relevant security | Product description e.g. call option | Written or purchased | Number of securities to which option or derivative relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date |
Ordinary | OTC Call Option | Purchased | 104,700 | JPY 5065.83 | European | 17/04/2019 |
Ordinary | OTC Put Option | Purchased | -104,700 | JPY 5065.83 | European | 17/04/2019 |
Ordinary | OTC Call Option | Purchased | 73,000 | JPY 4455.61 | European | 07/05/2019 |
Ordinary | OTC Put Option | Purchased | -73,000 | JPY 4455.61 | European | 07/05/2019 |
Ordinary | OTC Call Option | Purchased | 68,400 | JPY 4798 | European | 14/05/2019 |
Ordinary | OTC Put Option | Purchased | -68,400 | JPY 4798 | European | 14/05/2019 |
Ordinary | OTC Call Option | Purchased | 114,000 | JPY 4750.02 | European | 14/05/2019 |
Ordinary | OTC Put Option | Purchased | -114,000 | JPY 4750.02 | European | 14/05/2019 |
Ordinary | OTC Call Option | Purchased | 75,900 | JPY 4286.52 | European | 06/09/2019 |
Ordinary | OTC Put Option | Purchased | -75,900 | JPY 4286.52 | European | 06/09/2019 |
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: |
None
|
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.
Related Shares:
Shire