Last checked at 2 Dec 2014 11:47
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | Morgan Stanley Securities Limited |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Aviva Plc |
(c) Name of the party to the offer with which exempt principal trader is connected:
| Aviva Plc |
(d) Date dealing undertaken: | 01 DECEMBER 2014 |
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | YES |
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(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 |
25p ordinary | PURCHASES | 1,149,833 | 5.0700 GBP | 4.9800 GBP |
25p ordinary | SALES | 446,551 | 5.0620 GBP | 4.9810 GBP |
(b) Derivatives transactions (other than options)
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 |
25p ordinary | CFD | LONG | 3,090 | 4.9915 GBP |
25p ordinary | CFD | LONG | 99,589 | 4.9930 GBP |
25p ordinary | CFD | LONG | 60,988 | 4.9940 GBP |
25p ordinary | CFD | LONG | 1,238 | 4.9940 GBP |
25p ordinary | CFD | LONG | 59 | 5.0000 GBP |
25p ordinary | CFD | LONG | 196 | 5.0000 GBP |
25p ordinary | CFD | LONG | 11 | 5.0000 GBP |
25p ordinary | CFD | LONG | 1,089 | 5.0033 GBP |
25p ordinary | CFD | LONG | 9,802 | 5.0033 GBP |
25p ordinary | CFD | LONG | 29,900 | 5.0050 GBP |
25p ordinary | CFD | LONG | 466 | 5.0085 GBP |
25p ordinary | CFD | LONG | 484 | 5.0110 GBP |
25p ordinary | CFD | LONG | 92,175 | 5.0110 GBP |
25p ordinary | CFD | LONG | 25,976 | 5.0123 GBP |
25p ordinary | CFD | LONG | 7,099 | 5.0550 GBP |
25p ordinary | CFD | SHORT | 41 | 4.9917 GBP |
25p ordinary | CFD | SHORT | 33 | 4.9918 GBP |
25p ordinary | CFD | SHORT | 4,158 | 4.9925 GBP |
25p ordinary | CFD | SHORT | 391 | 4.9925 GBP |
25p ordinary | CFD | SHORT | 19 | 4.9926 GBP |
25p ordinary | CFD | SHORT | 3,221 | 4.9938 GBP |
25p ordinary | CFD | SHORT | 79,971 | 4.9938 GBP |
25p ordinary | CFD | SHORT | 10,161 | 4.9940 GBP |
25p ordinary | CFD | SHORT | 5,315 | 4.9940 GBP |
25p ordinary | CFD | SHORT | 1,771 | 4.9940 GBP |
25p ordinary | CFD | SHORT | 7,996 | 4.9940 GBP |
25p ordinary | CFD | SHORT | 647 | 4.9940 GBP |
25p ordinary | CFD | SHORT | 135 | 4.9940 GBP |
25p ordinary | CFD | SHORT | 7,099 | 4.9940 GBP |
25p ordinary | CFD | SHORT | 260 | 4.9940 GBP |
25p ordinary | CFD | SHORT | 25,600 | 4.9940 GBP |
25p ordinary | CFD | SHORT | 2,422 | 4.9942 GBP |
25p ordinary | CFD | SHORT | 693 | 4.9966 GBP |
25p ordinary | CFD | SHORT | 4,000 | 4.9967 GBP |
25p ordinary | CFD | SHORT | 58 | 4.9974 GBP |
25p ordinary | CFD | SHORT | 1,590 | 4.9986 GBP |
25p ordinary | CFD | SHORT | 5,888 | 5.0014 GBP |
25p ordinary | CFD | SHORT | 4,148 | 5.0014 GBP |
25p ordinary | CFD | SHORT | 995 | 5.0014 GBP |
25p ordinary | CFD | SHORT | 28,844 | 5.0014 GBP |
25p ordinary | CFD | SHORT | 659 | 5.0022 GBP |
25p ordinary | CFD | SHORT | 9,802 | 5.0022 GBP |
25p ordinary | CFD | SHORT | 74,392 | 5.0050 GBP |
25p ordinary | CFD | SHORT | 499 | 5.0052 GBP |
25p ordinary | CFD | SHORT | 4,793 | 5.0052 GBP |
25p ordinary | CFD | SHORT | 75 | 5.0072 GBP |
25p ordinary | CFD | SHORT | 722 | 5.0075 GBP |
25p ordinary | CFD | SHORT | 1,141 | 5.0107 GBP |
25p ordinary | CFD | SHORT | 248,422 | 5.0110 GBP |
25p ordinary | CFD | SHORT | 92,175 | 5.0112 GBP |
25p ordinary | CFD | SHORT | 8,889 | 5.0119 GBP |
25p ordinary | CFD | SHORT | 624 | 5.0119 GBP |
25p ordinary | CFD | SHORT | 3,389 | 5.0119 GBP |
25p ordinary | CFD | SHORT | 13,402 | 5.0138 GBP |
25p ordinary | CFD | SHORT | 1,024 | 5.0138 GBP |
25p ordinary | CFD | SHORT | 495 | 5.0165 GBP |
25p ordinary | CFD | SHORT | 1,087 | 5.0165 GBP |
25p ordinary | CFD | LONG | 41,390 | 4.9940 GBP |
25p ordinary | CFD | LONG | 36,575 | 4.9940 GBP |
25p ordinary | CFD | SHORT | 33,744 | 4.9940 GBP |
25p ordinary | CFD | SHORT | 139,766 | 4.9940 GBP |
(c) Options transactions in respect of existing securities
(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) Exercising
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
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 |
The currency of all prices and other monetary amounts should be stated.
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
3. 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: 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
|
| Date of disclosure: | 02 DECEMBER 2014 |
| 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 monitoring@disclosure.org.uk. The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.