4th Dec 2018 12:55
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 | December 3, 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: | 677,900 | 0.08 | ||
(2) Cash-settled derivatives: | 23,500 | 0.00 | 6,736,300 | 0.85 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 436,000 | 0.05 | 436,000 | 0.05 |
TOTAL: | 459,500 | 0.05 | 7,850,200 | 1.00 |
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 4209.00 |
Ordinary | Purchase | 200 | JPY 4216.00 |
Ordinary | Purchase | 400 | JPY 4217.00 |
Ordinary | Purchase | 500 | JPY 4218.00 |
Ordinary | Purchase | 100 | JPY 4219.00 |
Ordinary | Purchase | 200 | JPY 4220.00 |
Ordinary | Purchase | 700 | JPY 4221.00 |
Ordinary | Purchase | 200 | JPY 4222.00 |
Ordinary | Purchase | 300 | JPY 4223.00 |
Ordinary | Purchase | 500 | JPY 4224.00 |
Ordinary | Purchase | 700 | JPY 4225.00 |
Ordinary | Purchase | 200 | JPY 4226.00 |
Ordinary | Purchase | 1,800 | JPY 4227.00 |
Ordinary | Purchase | 500 | JPY 4228.00 |
Ordinary | Purchase | 500 | JPY 4229.00 |
Ordinary | Purchase | 900 | JPY 4230.00 |
Ordinary | Purchase | 200 | JPY 4231.00 |
Ordinary | Purchase | 600 | JPY 4233.00 |
Ordinary | Purchase | 200 | JPY 4234.00 |
Ordinary | Purchase | 200 | JPY 4235.00 |
Ordinary | Purchase | 1,200 | JPY 4236.00 |
Ordinary | Purchase | 100 | JPY 4237.00 |
Ordinary | Purchase | 700 | JPY 4238.00 |
Ordinary | Purchase | 200 | JPY 4239.00 |
Ordinary | Purchase | 300 | JPY 4240.00 |
Ordinary | Purchase | 100 | JPY 4241.00 |
Ordinary | Purchase | 100 | JPY 4243.00 |
Ordinary | Purchase | 100 | JPY 4244.00 |
Ordinary | Purchase | 700 | JPY 4246.00 |
Ordinary | Purchase | 100 | JPY 4247.50 |
Ordinary | Purchase | 100 | JPY 4251.00 |
Ordinary | Purchase | 300 | JPY 4252.00 |
Ordinary | Purchase | 300 | JPY 4253.00 |
Ordinary | Purchase | 200 | JPY 4254.00 |
Ordinary | Purchase | 100 | JPY 4255.00 |
Ordinary | Purchase | 400 | JPY 4256.00 |
Ordinary | Purchase | 100 | JPY 4258.00 |
Ordinary | Purchase | 100 | JPY 4259.00 |
Ordinary | Purchase | 100 | JPY 4261.00 |
(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 | 100 | JPY 4210.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4213.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4214.00 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4216.00 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4217.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4217.50 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4218.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4218.50 |
Ordinary | Swap | Increasing a short position | 1,700 | JPY 4219.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4219.50 |
Ordinary | Swap | Increasing a short position | 1,300 | JPY 4220.00 |
Ordinary | Swap | Increasing a short position | 2,100 | JPY 4221.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4221.50 |
Ordinary | Swap | Increasing a short position | 2,300 | JPY 4222.00 |
Ordinary | Swap | Increasing a short position | 2,700 | JPY 4223.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4223.50 |
Ordinary | Swap | Increasing a short position | 2,600 | JPY 4224.00 |
Ordinary | Swap | Increasing a short position | 2,500 | JPY 4225.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4225.10 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4225.50 |
Ordinary | Swap | Increasing a short position | 2,500 | JPY 4226.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4226.50 |
Ordinary | Swap | Increasing a short position | 3,200 | JPY 4227.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4227.50 |
Ordinary | Swap | Increasing a short position | 3,400 | JPY 4228.00 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4228.50 |
Ordinary | Swap | Increasing a short position | 2,400 | JPY 4229.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4229.50 |
Ordinary | Swap | Increasing a short position | 12,100 | JPY 4230.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4230.10 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4230.50 |
Ordinary | Swap | Increasing a short position | 2,700 | JPY 4231.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4231.50 |
Ordinary | Swap | Increasing a short position | 2,400 | JPY 4232.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4232.10 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4232.50 |
Ordinary | Swap | Increasing a short position | 4,500 | JPY 4233.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4233.10 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4233.50 |
Ordinary | Swap | Increasing a short position | 4,500 | JPY 4234.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4234.50 |
Ordinary | Swap | Increasing a short position | 8,400 | JPY 4235.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4235.50 |
Ordinary | Swap | Increasing a short position | 3,900 | JPY 4236.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4236.50 |
Ordinary | Swap | Increasing a short position | 2,600 | JPY 4237.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4237.50 |
Ordinary | Swap | Increasing a short position | 2,200 | JPY 4238.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4238.50 |
Ordinary | Swap | Increasing a short position | 1,600 | JPY 4239.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4239.10 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4239.50 |
Ordinary | Swap | Increasing a short position | 1,800 | JPY 4240.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4240.50 |
Ordinary | Swap | Increasing a short position | 1,300 | JPY 4241.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4241.50 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4242.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4242.50 |
Ordinary | Swap | Increasing a short position | 1,300 | JPY 4243.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4243.50 |
Ordinary | Swap | Increasing a short position | 1,900 | JPY 4244.00 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4244.50 |
Ordinary | Swap | Increasing a short position | 2,700 | JPY 4245.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4245.50 |
Ordinary | Swap | Increasing a short position | 2,400 | JPY 4246.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4246.50 |
Ordinary | Swap | Increasing a short position | 900 | JPY 4247.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4247.50 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4248.00 |
Ordinary | Swap | Increasing a short position | 1,900 | JPY 4249.00 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4250.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4250.50 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4251.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4251.50 |
Ordinary | Swap | Increasing a short position | 1,600 | JPY 4252.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4252.50 |
Ordinary | Swap | Increasing a short position | 1,500 | JPY 4253.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4253.50 |
Ordinary | Swap | Increasing a short position | 1,600 | JPY 4254.00 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4254.50 |
Ordinary | Swap | Increasing a short position | 3,900 | JPY 4255.00 |
Ordinary | Swap | Increasing a short position | 2,800 | JPY 4256.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4256.50 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4257.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4257.50 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4258.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4259.00 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4260.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4260.50 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4261.00 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4262.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4263.00 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4264.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4265.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4266.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4267.00 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4269.00 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4270.00 |
Ordinary | Swap | Increasing a short position | 6,100 | JPY 4275.00 |
(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: | December 4, 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