Last checked at 21 May 2014 14:49
AMENDMENT
CHANGED POSITION FROM 46,106 TO ZERO
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: | J.P. Morgan Securities LLC |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | AstraZeneca Plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | Pfizer Inc. |
(d) Date position held/dealing undertaken: | 19 May 2014 |
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | NO |
2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
(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:
| ||||
| Interests | Short positions | ||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 0 | 0.00% | ||
(2) Derivatives (other than options): | ||||
(3) Options and agreements to purchase/sell: | ||||
TOTAL: |
0 |
0.00% | ||
All interests and all short positions should be disclosed.
Details of any open derivative or option positions, 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 executive options)
Class of relevant security in relation to which subscription right exists: | |
Details, including nature of the rights concerned and relevant percentages: |
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.
3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security | Purchase/sale
| Number of securities | Price per unit (USD) |
Ordinary Shares traded as ADRs | Purchases
Sales
| 1,000 400 300 1,225 100 100 2,177 960 1,000 1,000 100 100 100 100 100 300 28,200 610 300 521 150 100 12,000 100 3,200 7,850 2,800 400 21,700 5,966 2,600 2,400 28,800 101,124 4,600 2,450 600 100 2,200 1,300 100 700 700 2,500 400 2,200 2,600 800 500 200 400 100 500 1,600 800 600 2,100 6,672 4,800 5,600 600 1,000 7,412 2,120 700 2,698 1,302 100 9,500 1,457 1,500 100 902 602 1,100 1,000 100 1,250 650 1,200 916 500 400 4,001 2,700 1,000 100 400 600 500 2,750 1,051 499 400 500 1,000 4 1,000 1,000 7,564 2,600 1,602 700 190 10,710 2,500 2,500 300 300 1,400 1,200 2,775 4,152 725 123 75,756 5,400 800 9,400 2,700 19,300 4,941 100 3,800 4,322 1,550 13,023 2,432 50,000 25,450 13,155 1,700 1,000 8,256 6,600 600 1,700 2,000 3,515 3,075 1,860 2,000 150 2,000 4,201 12,600 1,300 100 2,178 200 300 54,210 40,500 1,300 100 2,300 25 1,800 1,900 1,200 600 202 830 2,600 600 4,200 1,000 2 1,200
137 2,465 2,535 100,000 500 1,800 200 21,700 5,966 2,600 1,500 102,274 4,600 950 400 1,600 1,912 2,100 1,700 400 1,300 2,000 800 500 200 1,100 800 200 2,100 6,448 4,400 5,600 400 7,012 200 300 698 1,302 100 9,500 1,200 400 100 800 200 500 700 100 5,050 150 616 100 3,000 2,600 900 400 1,000 500 700 3,863 400 1,300 100 1,601 6,651 300 5,568 380 1,020 1,000 6,400 2,600 1,602 700 190 5,694 3,501 400 300 100 3,200 100 300 115 4,152 725 123 79,731 3,400 100 200 9,700 300 2,800 700 19,300 3,300 500 4,500 100 2,400 900 15,056 100 4,532 50,300 17,052 100 10,155 1,700 1,000 8,256 6,600 600 1,700 3,515 3,075 1,860 2,000 150 400 300 1,750 2,000 4,951 4,200 1,300 400 100 300 1,200 2,478 200 300 25,700 12,300 1,000 37,432 1,700 2,400 100 1,100 500 600 11,800 2,100 3,900 1,200 500 3,200 600 8,898 702 3,300 700 600 1,000 100 200 100
| 70.1100 70.1600 70.1900 70.2100 70.3400 70.3500 70.3600 70.3700 70.3900 70.4000 70.4200 70.4600 70.5400 70.6000 70.7500 70.8400 70.8500 70.8600 70.8700 70.8800 70.8900 70.8975 70.9000 70.9025 70.9050 70.9100 70.9300 70.9400 71.0100 71.0200 71.0300 71.0301 71.0400 71.0500 71.0600 71.0700 71.0800 71.0875 71.0900 71.1000 71.1075 71.1100 71.1200 71.1300 71.1400 71.1500 71.1600 71.1700 71.1800 71.1900 71.2000 71.2175 71.2200 71.2300 71.2400 71.2500 71.2600 71.2800 71.2900 71.3000 71.3100 71.3300 71.3400 71.3500 71.3600 71.3700 71.3800 71.3900 71.4000 71.4100 71.4200 71.4300 71.4400 71.4500 71.4600 71.4700 71.4800 71.4900 71.5000 71.5075 71.5100 71.5200 71.5275 71.5300 71.5400 71.5500 71.5575 71.5600 71.5700 71.5775 71.5800 71.5900 71.6000 71.6100 71.7500 71.7700 71.8000 71.8300 71.8900 71.9000 71.9100 71.9200 71.9300 71.9400 71.9500 71.9600 71.9700 72.0400 72.0450 72.0500 72.0800 72.0900 72.1300 72.1400 72.1600 72.1700 72.1800 72.2000 72.2200 72.2400 72.2700 72.2800 72.2900 72.3000 72.3100 72.3200 72.3300 72.3400 72.3500 72.3600 72.3700 72.3800 72.3900 72.4000 72.4200 72.4400 72.4500 72.4600 72.5000 72.5100 72.5200 72.5300 72.5400 72.6100 72.6200 72.6300 72.6400 72.6500 72.7100 72.7150 72.7200 73.0000 73.0815 73.3000 73.3200 73.3300 73.4400 73.4500 73.4700 73.5500 73.5700 73.8100 73.8200 73.8300 73.9600 74.0000 74.0200 74.2100 74.2200
70.6450 70.6500 70.6550 70.8500 70.8600 70.9300 70.9400 71.0100 71.0200 71.0300 71.0400 71.0500 71.0600 71.0700 71.0800 71.0900 71.1000 71.1200 71.1300 71.1400 71.1500 71.1600 71.1700 71.1800 71.1900 71.2300 71.2400 71.2500 71.2600 71.2800 71.2900 71.3000 71.3100 71.3400 71.3500 71.3600 71.3700 71.3800 71.3900 71.4000 71.4100 71.4200 71.4300 71.4400 71.4500 71.4600 71.4700 71.4800 71.4900 71.5000 71.5100 71.5200 71.5300 71.5400 71.5500 71.5600 71.5700 71.5800 71.6500 71.7500 71.7550 71.7600 71.7650 71.7700 71.7800 71.7900 71.8000 71.8200 71.8300 71.8900 71.9000 71.9100 71.9200 71.9300 71.9400 71.9500 71.9600 71.9700 71.9900 72.0400 72.0700 72.0750 72.0800 72.0900 72.1300 72.1400 72.1600 72.1700 72.1800 72.2000 72.2100 72.2200 72.2300 72.2400 72.2600 72.2700 72.2800 72.2900 72.3000 72.3050 72.3100 72.3200 72.3300 72.3350 72.3400 72.3500 72.3600 72.3650 72.3700 72.3800 72.3900 72.4000 72.4200 72.4400 72.4500 72.5000 72.5100 72.5200 72.5300 72.5400 72.5700 72.5900 72.6000 72.6100 72.6200 72.6300 72.6400 72.6500 72.6900 72.6950 72.7000 72.7100 72.7150 72.7200 72.9500 72.9600 72.9700 73.0000 73.0100 73.0200 73.0300 73.0400 73.0500 73.0600 73.0700 73.0800 73.0900 73.1000 73.1100 73.1300 73.1400 73.1500 73.1600 73.1700 73.1800 73.1900 73.5200 73.5300 73.5400 73.5600
|
(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 |
|
(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 |
(ii) Exercising
Class of relevant security | Product description e.g. call option | 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) |
|
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 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
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: If there are no such agreements, arrangements or understandings, state "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" |
|
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? | NO |
| Date of disclosure: | 21 May 2014 |
| Contact name: | Michael Kirwan |
| Telephone number: | 020 7134 6153 |
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.