6th Nov 2018 10:14
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 5, 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: | 707,300 | 0.09 | ||
(2) Cash-settled derivatives: | 23,500 | 0.00 | 5,181,300 | 0.66 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 436,000 | 0.05 | 436,000 | 0.05 |
TOTAL: | 459,500 | 0.05 | 6,324,600 | 0.80 |
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 4534 |
Ordinary | Purchase | 400 | JPY 4535 |
Ordinary | Purchase | 100 | JPY 4536 |
Ordinary | Purchase | 100 | JPY 4537 |
Ordinary | Purchase | 700 | JPY 4538 |
Ordinary | Purchase | 500 | JPY 4541 |
Ordinary | Purchase | 100 | JPY 4543 |
Ordinary | Purchase | 100 | JPY 4546 |
Ordinary | Purchase | 300 | JPY 4548 |
Ordinary | Purchase | 100 | JPY 4549 |
Ordinary | Purchase | 500 | JPY 4553 |
Ordinary | Purchase | 400 | JPY 4554 |
Ordinary | Purchase | 300 | JPY 4555 |
Ordinary | Purchase | 200 | JPY 4556 |
Ordinary | Purchase | 100 | JPY 4557 |
Ordinary | Purchase | 100 | JPY 4558 |
Ordinary | Purchase | 200 | JPY 4559 |
Ordinary | Purchase | 200 | JPY 4560 |
Ordinary | Purchase | 500 | JPY 4563 |
Ordinary | Purchase | 200 | JPY 4564 |
Ordinary | Purchase | 800 | JPY 4565 |
Ordinary | Purchase | 100 | JPY 4565.5 |
Ordinary | Purchase | 300 | JPY 4566 |
Ordinary | Purchase | 700 | JPY 4567 |
Ordinary | Purchase | 400 | JPY 4568 |
Ordinary | Purchase | 400 | JPY 4569 |
Ordinary | Purchase | 200 | JPY 4570 |
Ordinary | Purchase | 200 | JPY 4571 |
Ordinary | Purchase | 100 | JPY 4572 |
Ordinary | Purchase | 500 | JPY 4583 |
(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 | 200 | JPY 4529 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4530 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4531 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4533 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4534 |
Ordinary | Swap | Increasing a short position | 900 | JPY 4535 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4536 |
Ordinary | Swap | Increasing a short position | 1100 | JPY 4537 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4538 |
Ordinary | Swap | Increasing a short position | 1100 | JPY 4540 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4541 |
Ordinary | Swap | Increasing a short position | 1400 | JPY 4542 |
Ordinary | Swap | Increasing a short position | 1000 | JPY 4543 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4544 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4545 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4546 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4547 |
Ordinary | Swap | Increasing a short position | 900 | JPY 4548 |
Ordinary | Swap | Increasing a short position | 1100 | JPY 4549 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4550 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4551 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4551.5 |
Ordinary | Swap | Increasing a short position | 600 | JPY 4552 |
Ordinary | Swap | Increasing a short position | 1200 | JPY 4553 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4553.5 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4554 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4554.5 |
Ordinary | Swap | Increasing a short position | 1000 | JPY 4555 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4555.5 |
Ordinary | Swap | Increasing a short position | 900 | JPY 4556 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4556.5 |
Ordinary | Swap | Increasing a short position | 1100 | JPY 4557 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4557.5 |
Ordinary | Swap | Increasing a short position | 1400 | JPY 4558 |
Ordinary | Swap | Increasing a short position | 1700 | JPY 4559 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4559.5 |
Ordinary | Swap | Increasing a short position | 8900 | JPY 4560 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4560.5 |
Ordinary | Swap | Increasing a short position | 1000 | JPY 4561 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4561.5 |
Ordinary | Swap | Increasing a short position | 1400 | JPY 4562 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4562.5 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4563 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4563.5 |
Ordinary | Swap | Increasing a short position | 1200 | JPY 4564 |
Ordinary | Swap | Increasing a short position | 700 | JPY 4564.5 |
Ordinary | Swap | Increasing a short position | 1500 | JPY 4565 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4565.5 |
Ordinary | Swap | Increasing a short position | 2200 | JPY 4566 |
Ordinary | Swap | Increasing a short position | 400 | JPY 4566.5 |
Ordinary | Swap | Increasing a short position | 2600 | JPY 4567 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4567.5 |
Ordinary | Swap | Increasing a short position | 1500 | JPY 4568 |
Ordinary | Swap | Increasing a short position | 1600 | JPY 4569 |
Ordinary | Swap | Increasing a short position | 300 | JPY 4569.5 |
Ordinary | Swap | Increasing a short position | 2000 | JPY 4570 |
Ordinary | Swap | Increasing a short position | 1400 | JPY 4571 |
Ordinary | Swap | Increasing a short position | 1200 | JPY 4572 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4572.5 |
Ordinary | Swap | Increasing a short position | 800 | JPY 4573 |
Ordinary | Swap | Increasing a short position | 500 | JPY 4574 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4575 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4579 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4580 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4582 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4584 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4585 |
Ordinary | Swap | Increasing a short position | 200 | JPY 4590 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4591 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4592 |
Ordinary | Swap | Increasing a short position | 100 | JPY 4593 |
(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 6, 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