9th Nov 2018 09:57
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 8, 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: | 681,800 | 0.08 | ||
(2) Cash-settled derivatives: | 23,500 | 0.00 | 5,406,000 | 0.68 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 436,000 | 0.05 | 436,000 | 0.05 |
TOTAL: | 459,500 | 0.05 | 6,523,800 | 0.83 |
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 | Purchase | 100 | JPY 4597.00 |
Ordinary | Purchase | 100 | JPY 4601.00 |
Ordinary | Purchase | 100 | JPY 4604.00 |
Ordinary | Purchase | 100 | JPY 4605.00 |
Ordinary | Purchase | 200 | JPY 4607.00 |
Ordinary | Purchase | 100 | JPY 4610.00 |
Ordinary | Purchase | 100 | JPY 4612.00 |
Ordinary | Purchase | 200 | JPY 4614.00 |
Ordinary | Purchase | 100 | JPY 4615.00 |
Ordinary | Purchase | 300 | JPY 4618.00 |
Ordinary | Purchase | 100 | JPY 4620.00 |
Ordinary | Purchase | 300 | JPY 4623.00 |
Ordinary | Purchase | 500 | JPY 4624.00 |
Ordinary | Purchase | 200 | JPY 4625.00 |
Ordinary | Purchase | 100 | JPY 4626.00 |
Ordinary | Purchase | 300 | JPY 4627.00 |
Ordinary | Purchase | 400 | JPY 4631.00 |
Ordinary | Purchase | 100 | JPY 4632.00 |
Ordinary | Purchase | 100 | JPY 4635.00 |
Ordinary | Purchase | 100 | JPY 4637.00 |
Ordinary | Purchase | 100 | JPY 4642.00 |
Ordinary | Purchase | 200 | JPY 4647.00 |
Ordinary | Purchase | 100 | JPY 4648.00 |
Ordinary | Purchase | 100 | JPY 4651.00 |
Ordinary | Purchase | 300 | JPY 4652.00 |
Ordinary | Purchase | 100 | JPY 4654.00 |
Ordinary | Purchase | 200 | JPY 4656.00 |
Ordinary | Purchase | 200 | JPY 4657.00 |
Ordinary | Purchase | 400 | JPY 4658.00 |
Ordinary | Purchase | 200 | JPY 4659.00 |
Ordinary | Purchase | 200 | JPY 4660.00 |
Ordinary | Purchase | 200 | JPY 4661.00 |
Ordinary | Purchase | 100 | JPY 4664.00 |
Ordinary | Purchase | 500 | JPY 4666.00 |
Ordinary | Purchase | 100 | JPY 4708.00 |
Ordinary | Purchase | 300 | JPY 4710.00 |
(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 | 300 | JPY 4595.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4595.10 |
Ordinary | Swap | Increasing a short position | 1,700 | JPY 4596.00 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4597.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4597.10 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4597.20 |
Ordinary | Swap | Increasing a short position | 1,700 | JPY 4598.00 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4599.00 |
Ordinary | Swap | Increasing a short position | 1,000 | JPY 4600.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4600.10 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4600.50 |
Ordinary | Swap | Increasing a short position | 1,900 | JPY 4601.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4601.10 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4602.00 |
Ordinary | Swap | Increasing a short position | 900 | JPY 4603.00 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4604.00 |
Ordinary | Swap | Increasing a short position | 20,800 | JPY 4605.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4605.10 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4606.00 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4607.00 |
Ordinary | Swap | Increasing a short position | 1,100 | JPY 4608.00 |
Ordinary | Swap | Increasing a short position | 1,100 | JPY 4609.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4609.10 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4610.00 |
Ordinary | Swap | Increasing a short position | 1,100 | JPY 4611.00 |
Ordinary | Swap | Increasing a short position | 1,600 | JPY 4612.00 |
Ordinary | Swap | Increasing a short position | 1,500 | JPY 4613.00 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4614.00 |
Ordinary | Swap | Increasing a short position | 1,600 | JPY 4615.00 |
Ordinary | Swap | Increasing a short position | 900 | JPY 4616.00 |
Ordinary | Swap | Increasing a short position | 1,600 | JPY 4617.00 |
Ordinary | Swap | Increasing a short position | 3,100 | JPY 4618.00 |
Ordinary | Swap | Increasing a short position | 1,800 | JPY 4619.00 |
Ordinary | Swap | Increasing a short position | 1,500 | JPY 4620.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4620.50 |
Ordinary | Swap | Increasing a short position | 1,400 | JPY 4621.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4621.50 |
Ordinary | Swap | Increasing a short position | 3,500 | JPY 4622.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4622.30 |
Ordinary | Swap | Increasing a short position | 4,400 | JPY 4623.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4623.20 |
Ordinary | Swap | Increasing a short position | 2,400 | JPY 4624.00 |
Ordinary | Swap | Increasing a short position | 2,900 | JPY 4625.00 |
Ordinary | Swap | Increasing a short position | 2,100 | JPY 4626.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4626.20 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4626.50 |
Ordinary | Swap | Increasing a short position | 1,700 | JPY 4627.00 |
Ordinary | Swap | Increasing a short position | 3,800 | JPY 4628.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4629.00 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4630.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4631.00 |
Ordinary | Swap | Increasing a short position | 1,200 | JPY 4632.00 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4633.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4634.00 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4635.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4636.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4637.00 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4638.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4639.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4640.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4641.00 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4642.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4643.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4644.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4644.50 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4645.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4646.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4647.00 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4648.00 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4649.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4650.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4650.20 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4650.50 |
Ordinary | Swap | Increasing a short position | 1,300 | JPY 4651.00 |
Ordinary | Swap | Increasing a short position | 900 | JPY 4652.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4652.50 |
Ordinary | Swap | Increasing a short position | 2,900 | JPY 4653.00 |
Ordinary | Swap | Increasing a short position | 2,300 | JPY 4654.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4654.50 |
Ordinary | Swap | Increasing a short position | 4,300 | JPY 4655.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4655.50 |
Ordinary | Swap | Increasing a short position | 4,800 | JPY 4656.00 |
Ordinary | Swap | Increasing a short position | 5,300 | JPY 4657.00 |
Ordinary | Swap | Increasing a short position | 2,400 | JPY 4658.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4658.10 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4658.50 |
Ordinary | Swap | Increasing a short position | 4,100 | JPY 4659.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4659.50 |
Ordinary | Swap | Increasing a short position | 3,300 | JPY 4660.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4660.10 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4660.50 |
Ordinary | Swap | Increasing a short position | 2,900 | JPY 4661.00 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4661.50 |
Ordinary | Swap | Increasing a short position | 2,700 | JPY 4662.00 |
Ordinary | Swap | Increasing a short position | 1,800 | JPY 4663.00 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4664.00 |
Ordinary | Swap | Increasing a short position | 1,300 | JPY 4665.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4666.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4666.50 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4667.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4667.50 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4668.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4669.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4669.50 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4670.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4671.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4673.50 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4674.00 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4675.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4675.50 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4676.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4676.50 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4677.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4677.50 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4678.00 |
Ordinary | Swap | Increasing a short position | 8,000 | JPY 4679.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4680.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4681.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4682.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4682.50 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4683.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4684.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4685.00 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4686.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4686.50 |
Ordinary | Swap | Increasing a short position | 900 | JPY 4687.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4688.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4688.50 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4689.00 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4690.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4691.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4692.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4693.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4693.50 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4694.00 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4695.00 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4696.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4697.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4697.50 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4698.00 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4699.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4699.50 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4700.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4702.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4703.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4705.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4706.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4707.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4708.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4709.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4711.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4712.00 |
(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 9, 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