20 Dec 2018 10:42
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 19, 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: | 558,543 | 0.07 | ||
(2) Cash-settled derivatives: | 37,600 | 0.00 | 6,237,500 | 0.79 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 436,000 | 0.05 | 436,000 | 0.05 |
TOTAL: | 473,600 | 0.06 | 7,232,043 | 0.92 |
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 | 200 | JPY 3509.00 |
Ordinary | Purchase | 100 | JPY 3517.00 |
Ordinary | Purchase | 100 | JPY 3559.00 |
Ordinary | Purchase | 15,857 | JPY 3568.00 |
(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 long position | 100 | JPY 3552.00 |
Ordinary | Swap | Increasing a long position | 100 | JPY 3555.00 |
Ordinary | Swap | Increasing a long position | 500 | JPY 3556.00 |
Ordinary | Swap | Increasing a long position | 1,000 | JPY 3557.00 |
Ordinary | Swap | Increasing a long position | 800 | JPY 3558.00 |
Ordinary | Swap | Increasing a long position | 100 | JPY 3559.00 |
Ordinary | Swap | Increasing a long position | 300 | JPY 3560.00 |
Ordinary | Swap | Increasing a long position | 200 | JPY 3561.00 |
Ordinary | Swap | Increasing a long position | 100 | JPY 3562.00 |
Ordinary | Swap | Increasing a long position | 600 | JPY 3563.00 |
Ordinary | Swap | Increasing a long position | 500 | JPY 3564.00 |
Ordinary | Swap | Increasing a long position | 1,500 | JPY 3565.00 |
Ordinary | Swap | Increasing a long position | 2,900 | JPY 3566.00 |
Ordinary | Swap | Increasing a long position | 400 | JPY 3567.00 |
Ordinary | Swap | Increasing a long position | 700 | JPY 3568.00 |
Ordinary | Swap | Increasing a long position | 200 | JPY 3570.00 |
Ordinary | Swap | Increasing a long position | 300 | JPY 3571.00 |
Ordinary | Swap | Increasing a long position | 300 | JPY 3572.00 |
Ordinary | Swap | Increasing a long position | 100 | JPY 3574.00 |
Ordinary | Swap | Increasing a long position | 200 | JPY 3575.00 |
Ordinary | Swap | Increasing a long position | 200 | JPY 3576.00 |
Ordinary | Swap | Increasing a long position | 100 | JPY 3577.00 |
Ordinary | Swap | Increasing a long position | 200 | JPY 3579.00 |
Ordinary | Swap | Increasing a long position | 500 | JPY 3580.00 |
Ordinary | Swap | Increasing a long position | 100 | JPY 3581.00 |
Ordinary | Swap | Increasing a long position | 100 | JPY 3582.00 |
Ordinary | Swap | Increasing a long position | 300 | JPY 3584.00 |
Ordinary | Swap | Increasing a long position | 200 | JPY 3585.00 |
Ordinary | Swap | Increasing a long position | 700 | JPY 3588.00 |
Ordinary | Swap | Increasing a long position | 100 | JPY 3589.00 |
Ordinary | Swap | Increasing a long position | 100 | JPY 3597.00 |
Ordinary | Swap | Increasing a long position | 200 | JPY 3600.00 |
Ordinary | Swap | Increasing a long position | 400 | JPY 3601.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3501.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3502.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3503.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3504.00 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3505.00 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3506.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3507.00 |
Ordinary | Swap | Reducing a short position | 400 | JPY 3508.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3509.00 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3510.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3511.00 |
Ordinary | Swap | Reducing a short position | 400 | JPY 3513.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3515.00 |
Ordinary | Swap | Reducing a short position | 1,200 | JPY 3516.00 |
Ordinary | Swap | Reducing a short position | 800 | JPY 3517.00 |
Ordinary | Swap | Reducing a short position | 400 | JPY 3518.00 |
Ordinary | Swap | Reducing a short position | 800 | JPY 3519.00 |
Ordinary | Swap | Reducing a short position | 600 | JPY 3520.00 |
Ordinary | Swap | Reducing a short position | 700 | JPY 3521.00 |
Ordinary | Swap | Reducing a short position | 900 | JPY 3522.00 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3524.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3525.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3528.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3530.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3531.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3533.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3534.00 |
Ordinary | Swap | Reducing a short position | 600 | JPY 3535.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3536.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3537.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3538.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3539.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3540.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3542.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3543.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3544.00 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3545.00 |
Ordinary | Swap | Reducing a short position | 400 | JPY 3546.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3547.00 |
Ordinary | Swap | Reducing a short position | 800 | JPY 3548.00 |
Ordinary | Swap | Reducing a short position | 1,100 | JPY 3549.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3549.50 |
Ordinary | Swap | Reducing a short position | 900 | JPY 3550.00 |
Ordinary | Swap | Reducing a short position | 1,200 | JPY 3551.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3551.50 |
Ordinary | Swap | Reducing a short position | 900 | JPY 3552.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3552.50 |
Ordinary | Swap | Reducing a short position | 1,000 | JPY 3553.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3553.50 |
Ordinary | Swap | Reducing a short position | 1,400 | JPY 3554.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3554.50 |
Ordinary | Swap | Reducing a short position | 2,200 | JPY 3555.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3555.50 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3555.90 |
Ordinary | Swap | Reducing a short position | 2,900 | JPY 3556.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3556.50 |
Ordinary | Swap | Reducing a short position | 11,600 | JPY 3557.00 |
Ordinary | Swap | Reducing a short position | 1,100 | JPY 3557.50 |
Ordinary | Swap | Reducing a short position | 16,000 | JPY 3558.00 |
Ordinary | Swap | Reducing a short position | 600 | JPY 3558.50 |
Ordinary | Swap | Reducing a short position | 3,500 | JPY 3559.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3559.50 |
Ordinary | Swap | Reducing a short position | 3,000 | JPY 3560.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3560.50 |
Ordinary | Swap | Reducing a short position | 3,900 | JPY 3561.00 |
Ordinary | Swap | Reducing a short position | 4,000 | JPY 3562.00 |
Ordinary | Swap | Reducing a short position | 3,500 | JPY 3563.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3563.50 |
Ordinary | Swap | Reducing a short position | 4,000 | JPY 3564.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3564.50 |
Ordinary | Swap | Reducing a short position | 4,700 | JPY 3565.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3565.50 |
Ordinary | Swap | Reducing a short position | 11,900 | JPY 3566.00 |
Ordinary | Swap | Reducing a short position | 1,800 | JPY 3566.50 |
Ordinary | Swap | Reducing a short position | 5,000 | JPY 3567.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3567.50 |
Ordinary | Swap | Reducing a short position | 3,600 | JPY 3568.00 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3568.50 |
Ordinary | Swap | Reducing a short position | 2,300 | JPY 3569.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3569.50 |
Ordinary | Swap | Reducing a short position | 2,500 | JPY 3570.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3570.50 |
Ordinary | Swap | Reducing a short position | 1,700 | JPY 3571.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3571.50 |
Ordinary | Swap | Reducing a short position | 1,300 | JPY 3572.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3572.50 |
Ordinary | Swap | Reducing a short position | 1,700 | JPY 3573.00 |
Ordinary | Swap | Reducing a short position | 700 | JPY 3573.50 |
Ordinary | Swap | Reducing a short position | 1,600 | JPY 3574.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3574.50 |
Ordinary | Swap | Reducing a short position | 2,600 | JPY 3575.00 |
Ordinary | Swap | Reducing a short position | 400 | JPY 3575.50 |
Ordinary | Swap | Reducing a short position | 2,200 | JPY 3576.00 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3576.50 |
Ordinary | Swap | Reducing a short position | 2,200 | JPY 3577.00 |
Ordinary | Swap | Reducing a short position | 600 | JPY 3577.50 |
Ordinary | Swap | Reducing a short position | 1,500 | JPY 3578.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3578.50 |
Ordinary | Swap | Reducing a short position | 2,500 | JPY 3579.00 |
Ordinary | Swap | Reducing a short position | 1,300 | JPY 3579.50 |
Ordinary | Swap | Reducing a short position | 2,400 | JPY 3580.00 |
Ordinary | Swap | Reducing a short position | 800 | JPY 3580.50 |
Ordinary | Swap | Reducing a short position | 4,600 | JPY 3581.00 |
Ordinary | Swap | Reducing a short position | 600 | JPY 3581.50 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3581.80 |
Ordinary | Swap | Reducing a short position | 2,300 | JPY 3582.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3582.50 |
Ordinary | Swap | Reducing a short position | 1,300 | JPY 3583.00 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3583.50 |
Ordinary | Swap | Reducing a short position | 2,600 | JPY 3584.00 |
Ordinary | Swap | Reducing a short position | 700 | JPY 3584.50 |
Ordinary | Swap | Reducing a short position | 1,200 | JPY 3585.00 |
Ordinary | Swap | Reducing a short position | 800 | JPY 3585.50 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3586.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3586.50 |
Ordinary | Swap | Reducing a short position | 600 | JPY 3587.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3587.50 |
Ordinary | Swap | Reducing a short position | 12,300 | JPY 3588.00 |
Ordinary | Swap | Reducing a short position | 1,000 | JPY 3589.00 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3590.00 |
Ordinary | Swap | Reducing a short position | 400 | JPY 3591.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3591.50 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3592.00 |
Ordinary | Swap | Reducing a short position | 600 | JPY 3593.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3593.50 |
Ordinary | Swap | Reducing a short position | 500 | JPY 3594.00 |
Ordinary | Swap | Reducing a short position | 400 | JPY 3595.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3595.50 |
Ordinary | Swap | Reducing a short position | 400 | JPY 3596.00 |
Ordinary | Swap | Reducing a short position | 100 | JPY 3596.50 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3597.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3597.50 |
Ordinary | Swap | Reducing a short position | 300 | JPY 3598.00 |
Ordinary | Swap | Reducing a short position | 200 | JPY 3598.50 |
Ordinary | Swap | Reducing a short position | 700 | JPY 3599.00 |
Ordinary | Swap | Reducing a short position | 900 | JPY 3599.50 |
Ordinary | Swap | Reducing a short position | 10,000 | JPY 3600.00 |
Ordinary | Swap | Reducing a short position | 800 | JPY 3601.00 |
(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 20, 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.