13th Dec 2018 12:51
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 12, 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: | 583,600 | 0.07 | ||
(2) Cash-settled derivatives: | 23,500 | 0.00 | 6,973,400 | 0.88 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 436,000 | 0.05 | 436,000 | 0.05 |
TOTAL: | 459,500 | 0.05 | 7,993,000 | 1.01 |
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 3664.00 |
Ordinary | Purchase | 100 | JPY 3669.00 |
Ordinary | Purchase | 100 | JPY 3670.00 |
Ordinary | Purchase | 400 | JPY 3673.00 |
Ordinary | Purchase | 500 | JPY 3676.00 |
Ordinary | Purchase | 400 | JPY 3680.00 |
Ordinary | Purchase | 100 | JPY 3683.00 |
Ordinary | Purchase | 300 | JPY 3684.00 |
Ordinary | Purchase | 100 | JPY 3685.00 |
Ordinary | Purchase | 100 | JPY 3687.00 |
Ordinary | Purchase | 400 | JPY 3690.00 |
Ordinary | Purchase | 100 | JPY 3699.00 |
Ordinary | Purchase | 100 | JPY 3702.00 |
Ordinary | Purchase | 100 | JPY 3703.00 |
Ordinary | Purchase | 200 | JPY 3706.00 |
Ordinary | Purchase | 200 | JPY 3707.00 |
Ordinary | Purchase | 200 | JPY 3708.00 |
Ordinary | Purchase | 100 | JPY 3709.00 |
Ordinary | Purchase | 200 | JPY 3710.00 |
Ordinary | Purchase | 100 | JPY 3711.00 |
Ordinary | Purchase | 200 | JPY 3712.00 |
Ordinary | Purchase | 600 | JPY 3713.00 |
Ordinary | Purchase | 300 | JPY 3714.00 |
Ordinary | Purchase | 100 | JPY 3715.00 |
Ordinary | Purchase | 300 | JPY 3717.00 |
Ordinary | Purchase | 200 | JPY 3718.00 |
Ordinary | Purchase | 100 | JPY 3720.00 |
Ordinary | Purchase | 200 | JPY 3721.00 |
Ordinary | Purchase | 200 | JPY 3722.00 |
Ordinary | Purchase | 300 | JPY 3724.00 |
Ordinary | Purchase | 300 | JPY 3727.00 |
Ordinary | Purchase | 100 | JPY 3728.00 |
Ordinary | Purchase | 500 | JPY 3729.00 |
Ordinary | Purchase | 200 | JPY 3731.00 |
Ordinary | Purchase | 100 | JPY 3735.00 |
Ordinary | Purchase | 100 | JPY 3737.00 |
Ordinary | Purchase | 700 | JPY 3738.00 |
Ordinary | Purchase | 100 | JPY 3739.00 |
Ordinary | Purchase | 1,000 | JPY 3740.00 |
Ordinary | Purchase | 500 | JPY 3741.00 |
Ordinary | Purchase | 100 | JPY 3742.50 |
Ordinary | Purchase | 300 | JPY 3743.00 |
Ordinary | Purchase | 300 | JPY 3744.00 |
Ordinary | Purchase | 700 | JPY 3745.00 |
Ordinary | Purchase | 200 | JPY 3746.00 |
Ordinary | Purchase | 500 | JPY 3747.00 |
Ordinary | Purchase | 300 | JPY 3748.00 |
(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 | Reducing a short position | 200 | JPY 3664.00 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3665.00 |
Ordinary | Swap | Reducing a short position | 1,100 | JPY 3666.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3667.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3667.50 |
Ordinary | Swap | Reducing a short position | 700 | JPY 3668.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3668.50 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3669.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3669.50 |
Ordinary | Swap | Reducing a short position | 1,400 | JPY 3670.00 |
Ordinary | Swap | Reducing a short position | 600 | JPY 3670.50 |
Ordinary | Swap | Reducing a short position | 700 | JPY 3671.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3671.50 |
Ordinary | Swap | Reducing a short position | 900 | JPY 3672.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3672.50 |
Ordinary | Swap | Reducing a short position | 1,000 | JPY 3673.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3673.50 |
Ordinary | Swap | Reducing a short position | 2,500 | JPY 3674.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3674.50 |
Ordinary | Swap | Reducing a short position | 1,700 | JPY 3675.00 |
Ordinary | Swap | Reducing a short position | 600 | JPY 3675.50 |
Ordinary | Swap | Reducing a short position | 1,600 | JPY 3676.00 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3676.50 |
Ordinary | Swap | Reducing a short position | 1,000 | JPY 3677.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3677.90 |
Ordinary | Swap | Reducing a short position | 1,300 | JPY 3678.00 |
Ordinary | Swap | Reducing a short position | 800 | JPY 3679.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3679.50 |
Ordinary | Swap | Reducing a short position | 2,100 | JPY 3680.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3680.50 |
Ordinary | Swap | Reducing a short position | 1,400 | JPY 3681.00 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3681.50 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3682.00 |
Ordinary | Swap | Reducing a short position | 1,300 | JPY 3683.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3683.50 |
Ordinary | Swap | Reducing a short position | 400 | JPY 3684.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3684.50 |
Ordinary | Swap | Reducing a short position | 600 | JPY 3685.00 |
Ordinary | Swap | Reducing a short position | 1,000 | JPY 3686.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3686.50 |
Ordinary | Swap | Reducing a short position | 1,000 | JPY 3687.00 |
Ordinary | Swap | Reducing a short position | 400 | JPY 3688.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3689.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3690.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3690.50 |
Ordinary | Swap | Reducing a short position | 700 | JPY 3691.00 |
Ordinary | Swap | Reducing a short position | 1,300 | JPY 3692.00 |
Ordinary | Swap | Reducing a short position | 1,000 | JPY 3693.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3694.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3695.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3696.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3698.00 |
Ordinary | Swap | Reducing a short position | 700 | JPY 3699.00 |
Ordinary | Swap | Reducing a short position | 1,700 | JPY 3700.00 |
(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 13, 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