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Friday 09 November, 2018

Morgan Stanley

Form 8.5 (EPT/NON-RI) - Replacement of TAKEDA

RNS Number : 9517G
Morgan Stanley
09 November 2018
 

AMENDMENT   Section (2a) & (3a)

 

FORM 8.5 (EPT/NON-RI)

 

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the "Code")

 

1.         KEY INFORMATION

 

(a) Name of exempt principal trader:

Morgan Stanley MUFG Securities Co., Ltd.

(b) 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

(c) Name of the party to the offer with which exempt principal trader is connected:

Shire plc

(d) Date position held/dealing undertaken:

     For an opening position disclosure, state the latest practicable date prior to the disclosure

07 NOVEMBER 2018

(e) In addition to the company in 1(b) above, is the exempt principal trader 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 EXEMPT PRINCIPAL TRADER                            

 

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(b), 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:

11,211,787

1.43

29,506,353

3.76

(2) Cash-settled derivatives:

 

29,103,258

3.71

10,540,671

1.34

(3) Stock-settled derivatives (including options) and agreements to purchase/sell:

185,000

0.02

185,000

0.02

 

     TOTAL:

40,500,045

5.16

40,232,024

5.13

 

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:

N/A

Details, including nature of the rights concerned and relevant percentages:

N/A

 

 

3.         DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

 

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), 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

 Purchases/sales

 Total   number of securities

 Highest price per unit paid/received

 Lowest price per unit paid/received

 Ordinary

 PURCHASES

 2,535,906

 4,725.9990 JPY

 4,621.0000 JPY

 Ordinary

 SALES

 2,394,349

 4,725.9990 JPY

 4,622.0000 JPY

 

 (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

CFD

LONG

2700

4657.0000 JPY

Ordinary

CFD

LONG

200

4647.5000 JPY

Ordinary

CFD

SHORT

200

4640.0000 JPY

Ordinary

CFD

LONG

95800

4646.9352 JPY

Ordinary

CFD

SHORT

1400

4647.4285 JPY

Ordinary

CFD

LONG

900

4657.8888 JPY

Ordinary

CFD

SHORT

500

4655.8000 JPY

Ordinary

CFD

LONG

8100

4633.3827 JPY

Ordinary

CFD

LONG

1200

4653.5000 JPY

Ordinary

CFD

LONG

1500

4653.0000 JPY

Ordinary

CFD

SHORT

2400

4652.7500 JPY

Ordinary

CFD

LONG

1300

4679.6153 JPY

Ordinary

CFD

SHORT

1200

4653.0000 JPY

Ordinary

CFD

LONG

2500

4647.0000 JPY

Ordinary

CFD

SHORT

200

4657.5000 JPY

Ordinary

CFD

LONG

300

4662.6666 JPY

Ordinary

CFD

SHORT

1200

4640.0000 JPY

Ordinary

CFD

SHORT

3200

4652.8750 JPY

Ordinary

CFD

LONG

24000

4650.1211 JPY

Ordinary

CFD

SHORT

4900

4641.1666 JPY

Ordinary

CFD

SHORT

4700

4641.1666 JPY

Ordinary

CFD

LONG

4900

4650.1211 JPY

Ordinary

CFD

LONG

330000

4653.1553 JPY

Ordinary

CFD

SHORT

4200

4647.0714 JPY

Ordinary

CFD

LONG

15700

4637.6528 JPY

Ordinary

CFD

LONG

300

4667.3333 JPY

Ordinary

CFD

SHORT

300

4640.0000 JPY

Ordinary

CFD

LONG

8600

4635.9534 JPY

Ordinary

CFD

SHORT

1700

4631.6470 JPY

Ordinary

CFD

SHORT

800000

4647.0581 JPY

Ordinary

CFD

LONG

184900

4628.0000 JPY

Ordinary

CFD

SHORT

41400

4653.7518 JPY

Ordinary

CFD

SHORT

56044

4628.4663 JPY

Ordinary

CFD

LONG

107967

4647.4622 JPY

 

 (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

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

 

(ii)        Exercise

 

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

N/A

N/A

N/A

N/A

N/A

 

(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)

N/A

N/A

N/A

N/A

 

 

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 exempt principal trader 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 exempt principal trader 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:

09 NOVEMBER 2018

Contact name:

Craig Horsley

Telephone number:

+44(141) 245 7736

 

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [email protected].  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 OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the "Code")

 

 

4.   KEY INFORMATION

 

Identity of person whose open positions are being disclosed:

Morgan Stanley MUFG Securities Co., Ltd.

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 (USD)

Type

Expiry Date

 Ordinary

 PUT

PURCHASED

 125,000

4507.0000 JPY

 European

13/12/2019

 Ordinary

 CALL

PURCHASED

 125,000

4507.0000 JPY

 European

13/12/2019

 Ordinary

 PUT

PURCHASED

 60,000

4596.0000 JPY

 European

14/06/2019

 Ordinary

 CALL

PURCHASED

 60,000

4596.0000 JPY

 European

14/06/2019

 

 

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:

 

 

 

 

 

 

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to contracts for differences ("CFDs") or spread bets.

 

The currency of all prices and other monetary amounts should be stated.

 

 

 


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