19th Oct 2018 14:45
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 18, 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: | 200 | 0.00 | 653,900 | 0.08 |
(2) Cash-settled derivatives: | 23,500 | 0.00 | 4,339,100 | 0.55 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 436,000 | 0.05 | 436,000 | 0.05 |
TOTAL: | 459,700 | 0.05 | 5,429,000 | 0.69 |
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 | 700 | JPY 4688.00 |
Ordinary | Purchase | 800 | JPY 4690.00 |
Ordinary | Purchase | 500 | JPY 4692.00 |
Ordinary | Purchase | 1,500 | JPY 4694.00 |
Ordinary | Purchase | 200 | JPY 4695.00 |
Ordinary | Purchase | 1,700 | JPY 4696.00 |
Ordinary | Purchase | 1,700 | JPY 4697.00 |
Ordinary | Purchase | 2,400 | JPY 4698.00 |
Ordinary | Purchase | 1,500 | JPY 4699.00 |
Ordinary | Purchase | 3,200 | JPY 4700.00 |
Ordinary | Purchase | 3,700 | JPY 4701.00 |
Ordinary | Purchase | 1,700 | JPY 4702.00 |
Ordinary | Purchase | 1,700 | JPY 4703.00 |
Ordinary | Purchase | 2,200 | JPY 4704.00 |
Ordinary | Purchase | 2,100 | JPY 4705.00 |
Ordinary | Purchase | 2,100 | JPY 4706.00 |
Ordinary | Purchase | 3,500 | JPY 4707.00 |
Ordinary | Purchase | 1,600 | JPY 4708.00 |
Ordinary | Purchase | 1,700 | JPY 4709.00 |
Ordinary | Purchase | 1,000 | JPY 4710.00 |
Ordinary | Purchase | 200 | JPY 4711.00 |
Ordinary | Purchase | 2,500 | JPY 4712.00 |
Ordinary | Purchase | 1,800 | JPY 4713.00 |
Ordinary | Purchase | 3,600 | JPY 4714.00 |
Ordinary | Purchase | 1,600 | JPY 4715.00 |
Ordinary | Purchase | 4,900 | JPY 4716.00 |
Ordinary | Purchase | 1,300 | JPY 4717.00 |
Ordinary | Purchase | 2,000 | JPY 4718.00 |
Ordinary | Purchase | 600 | JPY 4719.00 |
Ordinary | Purchase | 1,100 | JPY 4720.00 |
Ordinary | Purchase | 700 | JPY 4721.00 |
Ordinary | Purchase | 1,000 | JPY 4722.00 |
Ordinary | Purchase | 1,500 | JPY 4723.00 |
Ordinary | Purchase | 2,200 | JPY 4724.00 |
Ordinary | Purchase | 2,500 | JPY 4725.00 |
Ordinary | Purchase | 1,500 | JPY 4726.00 |
Ordinary | Purchase | 1,600 | JPY 4727.00 |
Ordinary | Purchase | 2,000 | JPY 4728.00 |
Ordinary | Purchase | 800 | JPY 4729.00 |
Ordinary | Purchase | 700 | JPY 4730.00 |
Ordinary | Purchase | 1,000 | JPY 4731.00 |
Ordinary | Purchase | 900 | JPY 4732.00 |
Ordinary | Purchase | 1,100 | JPY 4733.00 |
Ordinary | Purchase | 100 | JPY 4734.00 |
Ordinary | Purchase | 1,300 | JPY 4735.00 |
Ordinary | Purchase | 900 | JPY 4736.00 |
Ordinary | Purchase | 400 | JPY 4737.00 |
Ordinary | Purchase | 3,400 | JPY 4738.00 |
Ordinary | Purchase | 1,600 | JPY 4739.00 |
Ordinary | Purchase | 400 | JPY 4740.00 |
Ordinary | Purchase | 1,400 | JPY 4741.00 |
Ordinary | Purchase | 2,000 | JPY 4742.00 |
Ordinary | Purchase | 600 | JPY 4743.00 |
Ordinary | Purchase | 700 | JPY 4744.00 |
Ordinary | Purchase | 700 | JPY 4745.00 |
Ordinary | Purchase | 1,900 | JPY 4746.00 |
Ordinary | Purchase | 900 | JPY 4747.00 |
Ordinary | Purchase | 3,000 | JPY 4748.00 |
Ordinary | Purchase | 2,100 | JPY 4749.00 |
Ordinary | Purchase | 200 | JPY 4751.00 |
Ordinary | Purchase | 1,300 | JPY 4752.00 |
Ordinary | Purchase | 200 | JPY 4753.00 |
Ordinary | Sale | 500 | JPY 4695.00 |
Ordinary | Sale | 100 | JPY 4698.00 |
Ordinary | Sale | 700 | JPY 4699.00 |
Ordinary | Sale | 1,100 | JPY 4700.00 |
Ordinary | Sale | 500 | JPY 4701.00 |
Ordinary | Sale | 400 | JPY 4702.00 |
Ordinary | Sale | 600 | JPY 4703.00 |
Ordinary | Sale | 200 | JPY 4704.00 |
Ordinary | Sale | 400 | JPY 4705.00 |
Ordinary | Sale | 900 | JPY 4706.00 |
Ordinary | Sale | 1,200 | JPY 4707.00 |
Ordinary | Sale | 200 | JPY 4708.00 |
Ordinary | Sale | 800 | JPY 4709.00 |
Ordinary | Sale | 200 | JPY 4710.00 |
Ordinary | Sale | 500 | JPY 4711.00 |
Ordinary | Sale | 400 | JPY 4713.00 |
Ordinary | Sale | 600 | JPY 4714.00 |
Ordinary | Sale | 300 | JPY 4715.00 |
Ordinary | Sale | 400 | JPY 4716.00 |
Ordinary | Sale | 1,300 | JPY 4717.00 |
Ordinary | Sale | 600 | JPY 4718.00 |
Ordinary | Sale | 100 | JPY 4720.00 |
Ordinary | Sale | 100 | JPY 4721.00 |
Ordinary | Sale | 200 | JPY 4722.00 |
Ordinary | Sale | 400 | JPY 4724.00 |
Ordinary | Sale | 300 | JPY 4725.00 |
Ordinary | Sale | 100 | JPY 4726.00 |
Ordinary | Sale | 700 | JPY 4727.00 |
Ordinary | Sale | 300 | JPY 4728.00 |
Ordinary | Sale | 200 | JPY 4729.00 |
Ordinary | Sale | 200 | JPY 4730.00 |
Ordinary | Sale | 300 | JPY 4731.00 |
Ordinary | Sale | 100 | JPY 4732.00 |
Ordinary | Sale | 100 | JPY 4735.00 |
Ordinary | Sale | 100 | JPY 4738.00 |
Ordinary | Sale | 300 | JPY 4739.00 |
Ordinary | Sale | 600 | JPY 4741.00 |
Ordinary | Sale | 500 | JPY 4743.00 |
Ordinary | Sale | 200 | JPY 4745.00 |
Ordinary | Sale | 400 | JPY 4746.00 |
Ordinary | Sale | 800 | JPY 4748.00 |
Ordinary | Sale | 100 | JPY 4753.00 |
(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 | Swaps | Increasing a Short Position | 100 | JPY 4690.00 |
Ordinary | Swaps | Increasing a Short Position | 800 | JPY 4691.00 |
Ordinary | Swaps | Increasing a Short Position | 1,000 | JPY 4692.00 |
Ordinary | Swaps | Increasing a Short Position | 1,600 | JPY 4694.00 |
Ordinary | Swaps | Increasing a Short Position | 2,000 | JPY 4695.00 |
Ordinary | Swaps | Increasing a Short Position | 2,000 | JPY 4696.00 |
Ordinary | Swaps | Increasing a Short Position | 2,500 | JPY 4697.00 |
Ordinary | Swaps | Increasing a Short Position | 1,900 | JPY 4698.00 |
Ordinary | Swaps | Increasing a Short Position | 1,300 | JPY 4699.00 |
Ordinary | Swaps | Increasing a Short Position | 7,200 | JPY 4700.00 |
Ordinary | Swaps | Increasing a Short Position | 1,500 | JPY 4701.00 |
Ordinary | Swaps | Increasing a Short Position | 1,800 | JPY 4702.00 |
Ordinary | Swaps | Increasing a Short Position | 2,500 | JPY 4703.00 |
Ordinary | Swaps | Increasing a Short Position | 14,500 | JPY 4704.00 |
Ordinary | Swaps | Increasing a Short Position | 3,300 | JPY 4705.00 |
Ordinary | Swaps | Increasing a Short Position | 2,800 | JPY 4706.00 |
Ordinary | Swaps | Increasing a Short Position | 1,500 | JPY 4707.00 |
Ordinary | Swaps | Increasing a Short Position | 3,200 | JPY 4708.00 |
Ordinary | Swaps | Increasing a Short Position | 2,500 | JPY 4709.00 |
Ordinary | Swaps | Increasing a Short Position | 3,900 | JPY 4710.00 |
Ordinary | Swaps | Increasing a Short Position | 1,200 | JPY 4711.00 |
Ordinary | Swaps | Increasing a Short Position | 3,100 | JPY 4712.00 |
Ordinary | Swaps | Increasing a Short Position | 1,500 | JPY 4713.00 |
Ordinary | Swaps | Increasing a Short Position | 400 | JPY 4714.00 |
Ordinary | Swaps | Increasing a Short Position | 5,700 | JPY 4715.00 |
Ordinary | Swaps | Increasing a Short Position | 1,700 | JPY 4716.00 |
Ordinary | Swaps | Increasing a Short Position | 3,100 | JPY 4717.00 |
Ordinary | Swaps | Increasing a Short Position | 700 | JPY 4718.00 |
Ordinary | Swaps | Increasing a Short Position | 1,100 | JPY 4719.00 |
Ordinary | Swaps | Increasing a Short Position | 2,900 | JPY 4720.00 |
Ordinary | Swaps | Increasing a Short Position | 1,300 | JPY 4721.00 |
Ordinary | Swaps | Increasing a Short Position | 1,000 | JPY 4722.00 |
Ordinary | Swaps | Increasing a Short Position | 900 | JPY 4723.00 |
Ordinary | Swaps | Increasing a Short Position | 1,700 | JPY 4724.00 |
Ordinary | Swaps | Increasing a Short Position | 1,900 | JPY 4725.00 |
Ordinary | Swaps | Increasing a Short Position | 600 | JPY 4726.00 |
Ordinary | Swaps | Increasing a Short Position | 1,200 | JPY 4727.00 |
Ordinary | Swaps | Increasing a Short Position | 700 | JPY 4728.00 |
Ordinary | Swaps | Increasing a Short Position | 1,500 | JPY 4729.00 |
Ordinary | Swaps | Increasing a Short Position | 2,400 | JPY 4730.00 |
Ordinary | Swaps | Increasing a Short Position | 400 | JPY 4731.00 |
Ordinary | Swaps | Increasing a Short Position | 500 | JPY 4733.00 |
Ordinary | Swaps | Increasing a Short Position | 200 | JPY 4734.00 |
Ordinary | Swaps | Increasing a Short Position | 1,000 | JPY 4735.00 |
Ordinary | Swaps | Increasing a Short Position | 800 | JPY 4737.00 |
Ordinary | Swaps | Increasing a Short Position | 1,000 | JPY 4738.00 |
Ordinary | Swaps | Increasing a Short Position | 1,200 | JPY 4739.00 |
Ordinary | Swaps | Increasing a Short Position | 300 | JPY 4740.00 |
Ordinary | Swaps | Increasing a Short Position | 1,200 | JPY 4741.00 |
Ordinary | Swaps | Increasing a Short Position | 1,300 | JPY 4742.00 |
Ordinary | Swaps | Increasing a Short Position | 100 | JPY 4744.00 |
Ordinary | Swaps | Increasing a Short Position | 400 | JPY 4745.00 |
Ordinary | Swaps | Increasing a Short Position | 200 | JPY 4746.00 |
Ordinary | Swaps | Increasing a Short Position | 500 | JPY 4747.00 |
Ordinary | Swaps | Increasing a Short Position | 1,400 | JPY 4748.00 |
Ordinary | Swaps | Increasing a Short Position | 1,300 | JPY 4749.00 |
Ordinary | Swaps | Increasing a Short Position | 1,100 | JPY 4750.00 |
Ordinary | Swaps | Increasing a Short Position | 100 | JPY 4751.00 |
Ordinary | Swaps | Increasing a Short Position | 100 | JPY 4753.00 |
Ordinary | Swaps | Increasing a Short Position | 100 | JPY 4754.00 |
(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: | October 19, 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