31st Oct 2018 12:05
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 | October 30, 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: | 479,200 | 0.06 | ||
(2) Cash-settled derivatives: | 23,500 | 0.00 | 5,041,600 | 0.64 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 436,000 | 0.05 | 436,000 | 0.05 |
TOTAL: | 459,500 | 0.05 | 5,956,800 | 0.75 |
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 4450 |
Ordinary | Purchase | 300 | JPY 4452 |
Ordinary | Purchase | 200 | JPY 4454 |
Ordinary | Purchase | 200 | JPY 4455 |
Ordinary | Purchase | 600 | JPY 4457 |
Ordinary | Purchase | 600 | JPY 4462 |
Ordinary | Purchase | 600 | JPY 4464 |
Ordinary | Purchase | 200 | JPY 4466 |
Ordinary | Purchase | 200 | JPY 4467 |
Ordinary | Purchase | 200 | JPY 4469 |
Ordinary | Purchase | 300 | JPY 4471 |
Ordinary | Purchase | 600 | JPY 4472 |
Ordinary | Purchase | 600 | JPY 4473 |
Ordinary | Purchase | 200 | JPY 4474 |
Ordinary | Purchase | 100 | JPY 4475 |
Ordinary | Purchase | 1100 | JPY 4476 |
Ordinary | Purchase | 600 | JPY 4477 |
Ordinary | Purchase | 900 | JPY 4478 |
Ordinary | Purchase | 1300 | JPY 4479 |
Ordinary | Purchase | 1800 | JPY 4480 |
Ordinary | Purchase | 1100 | JPY 4481 |
Ordinary | Purchase | 1800 | JPY 4482 |
Ordinary | Purchase | 1600 | JPY 4483 |
Ordinary | Purchase | 2400 | JPY 4484 |
Ordinary | Purchase | 2700 | JPY 4485 |
Ordinary | Purchase | 5000 | JPY 4486 |
Ordinary | Purchase | 2500 | JPY 4487 |
Ordinary | Purchase | 2500 | JPY 4488 |
Ordinary | Purchase | 800 | JPY 4489 |
Ordinary | Purchase | 1900 | JPY 4490 |
Ordinary | Purchase | 2700 | JPY 4491 |
Ordinary | Purchase | 3000 | JPY 4492 |
Ordinary | Purchase | 3500 | JPY 4493 |
Ordinary | Purchase | 5300 | JPY 4494 |
Ordinary | Purchase | 3200 | JPY 4495 |
Ordinary | Purchase | 4300 | JPY 4496 |
Ordinary | Purchase | 2300 | JPY 4497 |
Ordinary | Purchase | 2100 | JPY 4498 |
Ordinary | Purchase | 1000 | JPY 4499 |
Ordinary | Purchase | 1300 | JPY 4500 |
Ordinary | Purchase | 700 | JPY 4501 |
Ordinary | Purchase | 1100 | JPY 4502 |
Ordinary | Purchase | 2700 | JPY 4503 |
Ordinary | Purchase | 2500 | JPY 4504 |
Ordinary | Purchase | 1800 | JPY 4505 |
Ordinary | Purchase | 1900 | JPY 4506 |
Ordinary | Purchase | 500 | JPY 4507 |
Ordinary | Purchase | 400 | JPY 4508 |
Ordinary | Purchase | 2300 | JPY 4509 |
Ordinary | Purchase | 300 | JPY 4510 |
Ordinary | Purchase | 1700 | JPY 4511 |
Ordinary | Purchase | 1500 | JPY 4512 |
Ordinary | Purchase | 1400 | JPY 4513 |
Ordinary | Purchase | 2900 | JPY 4514 |
Ordinary | Purchase | 1700 | JPY 4515 |
Ordinary | Purchase | 2200 | JPY 4516 |
Ordinary | Purchase | 2000 | JPY 4517 |
Ordinary | Purchase | 1400 | JPY 4518 |
Ordinary | Purchase | 2400 | JPY 4519 |
Ordinary | Purchase | 1000 | JPY 4520 |
Ordinary | Purchase | 1900 | JPY 4521 |
Ordinary | Purchase | 600 | JPY 4522 |
Ordinary | Purchase | 400 | JPY 4523 |
Ordinary | Purchase | 800 | JPY 4524 |
Ordinary | Purchase | 1100 | JPY 4525 |
Ordinary | Purchase | 1100 | JPY 4526 |
Ordinary | Purchase | 1400 | JPY 4527 |
Ordinary | Purchase | 600 | JPY 4528 |
Ordinary | Purchase | 100 | JPY 4529 |
Ordinary | Purchase | 1400 | JPY 4530 |
Ordinary | Purchase | 300 | JPY 4531 |
Ordinary | Purchase | 100 | JPY 4532 |
Ordinary | Sale | 300 | JPY 4460 |
Ordinary | Sale | 200 | JPY 4462 |
Ordinary | Sale | 100 | JPY 4463 |
Ordinary | Sale | 500 | JPY 4464 |
Ordinary | Sale | 200 | JPY 4465 |
Ordinary | Sale | 100 | JPY 4466 |
Ordinary | Sale | 100 | JPY 4467 |
Ordinary | Sale | 100 | JPY 4468 |
Ordinary | Sale | 500 | JPY 4470 |
Ordinary | Sale | 28700 | JPY 4473 |
Ordinary | Sale | 100 | JPY 4474 |
Ordinary | Sale | 700 | JPY 4475 |
Ordinary | Sale | 1200 | JPY 4476 |
Ordinary | Sale | 800 | JPY 4477 |
Ordinary | Sale | 1200 | JPY 4478 |
Ordinary | Sale | 1900 | JPY 4479 |
Ordinary | Sale | 1100 | JPY 4480 |
Ordinary | Sale | 100 | JPY 4480.5 |
Ordinary | Sale | 3300 | JPY 4481 |
Ordinary | Sale | 100 | JPY 4481.5 |
Ordinary | Sale | 3900 | JPY 4482 |
Ordinary | Sale | 100 | JPY 4482.5 |
Ordinary | Sale | 3100 | JPY 4483 |
Ordinary | Sale | 5300 | JPY 4484 |
Ordinary | Sale | 2300 | JPY 4485 |
Ordinary | Sale | 3300 | JPY 4486 |
Ordinary | Sale | 300 | JPY 4486.5 |
Ordinary | Sale | 3600 | JPY 4487 |
Ordinary | Sale | 500 | JPY 4487.5 |
Ordinary | Sale | 1400 | JPY 4488 |
Ordinary | Sale | 100 | JPY 4488.5 |
Ordinary | Sale | 800 | JPY 4489 |
Ordinary | Sale | 300 | JPY 4489.5 |
Ordinary | Sale | 900 | JPY 4490 |
Ordinary | Sale | 100 | JPY 4490.5 |
Ordinary | Sale | 1300 | JPY 4491 |
Ordinary | Sale | 1200 | JPY 4492 |
Ordinary | Sale | 1900 | JPY 4493 |
Ordinary | Sale | 2400 | JPY 4494 |
Ordinary | Sale | 3600 | JPY 4495 |
Ordinary | Sale | 2900 | JPY 4496 |
Ordinary | Sale | 3400 | JPY 4497 |
Ordinary | Sale | 2300 | JPY 4498 |
Ordinary | Sale | 2700 | JPY 4499 |
Ordinary | Sale | 1800 | JPY 4500 |
Ordinary | Sale | 2700 | JPY 4501 |
Ordinary | Sale | 2300 | JPY 4502 |
Ordinary | Sale | 1500 | JPY 4503 |
Ordinary | Sale | 2400 | JPY 4504 |
Ordinary | Sale | 2600 | JPY 4505 |
Ordinary | Sale | 1500 | JPY 4506 |
Ordinary | Sale | 900 | JPY 4507 |
Ordinary | Sale | 1000 | JPY 4508 |
Ordinary | Sale | 2100 | JPY 4509 |
Ordinary | Sale | 5600 | JPY 4510 |
Ordinary | Sale | 2700 | JPY 4511 |
Ordinary | Sale | 100 | JPY 4511.1 |
Ordinary | Sale | 1300 | JPY 4512 |
Ordinary | Sale | 3700 | JPY 4513 |
Ordinary | Sale | 3000 | JPY 4514 |
Ordinary | Sale | 4700 | JPY 4515 |
Ordinary | Sale | 4800 | JPY 4516 |
Ordinary | Sale | 5500 | JPY 4517 |
Ordinary | Sale | 1300 | JPY 4518 |
Ordinary | Sale | 2100 | JPY 4519 |
Ordinary | Sale | 1800 | JPY 4520 |
Ordinary | Sale | 3900 | JPY 4521 |
Ordinary | Sale | 3900 | JPY 4522 |
Ordinary | Sale | 2800 | JPY 4523 |
Ordinary | Sale | 200 | JPY 4523.5 |
Ordinary | Sale | 1300 | JPY 4524 |
Ordinary | Sale | 700 | JPY 4525 |
Ordinary | Sale | 1200 | JPY 4526 |
Ordinary | Sale | 1300 | JPY 4527 |
Ordinary | Sale | 2200 | JPY 4528 |
Ordinary | Sale | 700 | JPY 4529 |
Ordinary | Sale | 300 | JPY 4531 |
Ordinary | Sale | 600 | JPY 4532 |
Ordinary | Sale | 300 | JPY 4533 |
(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 |
(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: | October 31, 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