Last checked at 21 May 2014 11:52
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: | (GS) GOLDMAN SACHS INTERNATIONAL |
(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: | ASTRAZENECA PLC |
(d) Date dealing undertaken: | 20 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? | YES - disclosed previously for PFIZER INC |
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 |
USD 0.25 ordinary | Purchases | 1,872,0075,88215,000 | 43.0850 GBP478.3000 SEK72.2700 USD | 41.8850 GBP468.0000 SEK72.2700 USD |
USD 0.25 ordinary | Sales | 1,431,1785,882 | 43.0850 GBP474.4000 SEK | 41.9150 GBP469.0000 SEK |
ADR | Purchases | 50,000 | 72.4131 USD | 72.3189 USD |
ADR | Sales | 50,000 | 72.3660 USD | 72.3660 USD |
(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 |
USD 0.25 ordinary | CFD | Opening a short position | 1,000 | 42.0450 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 15,000 | 42.1389 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 380 | 42.1500 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 37,860 | 42.1576 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 5,546 | 42.2479 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 146,078 | 42.2479 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 6,500 | 42.2695 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 18,400 | 42.3325 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 7,180 | 42.6685 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 125 | 42.6802 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 500 | 42.7204 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 12,500 | 42.8083 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 12,500 | 42.8349 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 7,180 | 42.8445 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 2,000 | 42.8550 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 14,394 | 42.8554 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 6,780 | 42.8554 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 3,826 | 42.8554 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 3,984 | 42.9066 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 50,000 | 43.0461 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 10,000 | 43.0850 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 380 | 43.0850 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 15,000 | 72.2700 USD |
(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 |
ADR | Call Option / (1.00 : 100.00) | Purchasing | 750 (75,000) | 77.5000 USD | AMERICAN | 19/07/2014 | 2.4200 USD |
ADR | Call Option / (1.00 : 100.00) | Selling | 750 (75,000) | 72.5000 USD | AMERICAN | 19/07/2014 | 4.1200 USD |
ADR | Put Option / (1.00 : 100.00) | Purchasing | 39 (3,900) | 60.0000 USD | AMERICAN | 18/10/2014 | 1.0500 USD |
ADR | Put Option / (1.00 : 100.00) | Purchasing | 11 (1,100) | 60.0000 USD | AMERICAN | 18/10/2014 | 1.0500 USD |
ADR | Put Option / (1.00 : 100.00) | Selling | 11 (1,100) | 60.0000 USD | AMERICAN | 18/10/2014 | 1.0500 USD |
ADR | Put Option / (1.00 : 100.00) | Selling | 39 (3,900) | 60.0000 USD | AMERICAN | 18/10/2014 | 1.0500 USD |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Selling | 300 (300,000) | 46.0000 GBP | AMERICAN | 19/09/2014 | 1.8700 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Selling | 300 (300,000) | 46.0000 GBP | AMERICAN | 19/09/2014 | 1.8700 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Selling | 300 (300,000) | 46.0000 GBP | AMERICAN | 19/09/2014 | 1.8700 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Purchasing | 300 (300,000) | 40.0000 GBP | AMERICAN | 19/09/2014 | 2.0000 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Purchasing | 300 (300,000) | 40.0000 GBP | AMERICAN | 19/09/2014 | 2.0000 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Purchasing | 300 (300,000) | 40.0000 GBP | AMERICAN | 19/09/2014 | 2.0000 GBP |
(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 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: | 21 May 2014 |
| Contact name: | Aadithya Rao and Yiannis Bardis |
| Telephone number: | +44(20) 7051 9046 / +44(20) 7774 7107 |
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.