Last checked at 21 May 2014 11:33
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 | 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 |
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 | 3,460,837 | 43.0850 GBP | 41.8450 GBP |
USD 0.25 ORDINARY | SALES | 4,967,994 | 43.0850 GBP | 41.8650 GBP |
USD 0.25 ORDINARY | PURCHASES | 463,592
| 72.5175 GBP
| 72.0775 GBP
|
USD 0.25 ORDINARY | SALES | 74,500
| 72.2000 GBP
| 72.2000 GBP
|
ADRS | PURCHASES | 513,092.00 (Traded in ADR form) | 72.5175 USD | 72.0775 USD |
ADRS | SALES | 513,092.00 (Traded in ADR form) | 72.4700 USD | 72.2000 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 | LONG | 145 | 52.5544 EUR |
USD 0.25 ORDINARY | CFD | LONG | 168 | 52.7800 EUR |
USD 0.25 ORDINARY | CFD | SHORT | 145 | 52.3220 EUR |
USD 0.25 ORDINARY | CFD | SHORT | 168 | 52.4100 EUR |
USD 0.25 ORDINARY | CFD | LONG | 100 | 41.9550 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,302 | 42.0239 GBP |
USD 0.25 ORDINARY | CFD | LONG | 62 | 42.0239 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,302 | 42.0273 GBP |
USD 0.25 ORDINARY | CFD | LONG | 87 | 42.2113 GBP |
USD 0.25 ORDINARY | CFD | LONG | 274 | 42.2113 GBP |
USD 0.25 ORDINARY | CFD | LONG | 497 | 42.2250 GBP |
USD 0.25 ORDINARY | CFD | LONG | 109,000 | 42.3010 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,216 | 42.3237 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,505 | 42.3237 GBP |
USD 0.25 ORDINARY | CFD | LONG | 8,433 | 42.3237 GBP |
USD 0.25 ORDINARY | CFD | LONG | 928 | 42.3237 GBP |
USD 0.25 ORDINARY | CFD | LONG | 520 | 42.3826 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,729 | 42.3826 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,365 | 42.3826 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,209 | 42.3826 GBP |
USD 0.25 ORDINARY | CFD | LONG | 166,059 | 42.4116 GBP |
USD 0.25 ORDINARY | CFD | LONG | 105,750 | 42.4190 GBP |
USD 0.25 ORDINARY | CFD | LONG | 122,500 | 42.4794 GBP |
USD 0.25 ORDINARY | CFD | LONG | 227,500 | 42.4794 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,412 | 42.4806 GBP |
USD 0.25 ORDINARY | CFD | LONG | 200,000 | 42.5265 GBP |
USD 0.25 ORDINARY | CFD | LONG | 774,196 | 42.5860 GBP |
USD 0.25 ORDINARY | CFD | LONG | 11,157 | 42.5985 GBP |
USD 0.25 ORDINARY | CFD | LONG | 19,840 | 42.6477 GBP |
USD 0.25 ORDINARY | CFD | LONG | 856 | 42.7261 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,361 | 42.7404 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,385 | 42.7404 GBP |
USD 0.25 ORDINARY | CFD | LONG | 11,004 | 42.7404 GBP |
USD 0.25 ORDINARY | CFD | LONG | 162,500 | 42.7516 GBP |
USD 0.25 ORDINARY | CFD | LONG | 87,500 | 42.7516 GBP |
USD 0.25 ORDINARY | CFD | LONG | 98,000 | 42.7911 GBP |
USD 0.25 ORDINARY | CFD | LONG | 182,000 | 42.7911 GBP |
USD 0.25 ORDINARY | CFD | LONG | 200 | 42.8000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 463 | 42.8167 GBP |
USD 0.25 ORDINARY | CFD | LONG | 6,424 | 42.8239 GBP |
USD 0.25 ORDINARY | CFD | LONG | 19,498 | 42.8502 GBP |
USD 0.25 ORDINARY | CFD | LONG | 595 | 42.8502 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,000 | 42.8744 GBP |
USD 0.25 ORDINARY | CFD | LONG | 26,075 | 42.9000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 48,425 | 42.9000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 20 | 42.9185 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,209 | 42.9258 GBP |
USD 0.25 ORDINARY | CFD | LONG | 54 | 42.9258 GBP |
USD 0.25 ORDINARY | CFD | LONG | 268 | 42.9258 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,400 | 42.9650 GBP |
USD 0.25 ORDINARY | CFD | LONG | 160 | 43.0485 GBP |
USD 0.25 ORDINARY | CFD | LONG | 60 | 43.0850 GBP |
USD 0.25 ORDINARY | CFD | LONG | 29,049 | 43.0850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,000 | 41.9712 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 100 | 42.0100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 91 | 42.0137 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,051 | 42.0137 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 455 | 42.0137 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 200 | 42.0300 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,999 | 42.0376 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,385 | 42.0376 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 241 | 42.0376 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 81 | 42.0376 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 47 | 42.0400 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 66,786 | 42.0814 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 180 | 42.1137 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,430 | 42.2781 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 274 | 42.2781 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,386 | 42.2781 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 19,840 | 42.3194 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 473 | 42.3500 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 106,750 | 42.3548 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 166,059 | 42.3688 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,600 | 42.3850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 600 | 42.3850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 301 | 42.3950 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 323 | 42.4000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,700 | 42.4000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 122 | 42.4494 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 149 | 42.4650 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 160 | 42.4900 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 132 | 42.5000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 780,864 | 42.5724 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,404 | 42.5724 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,331 | 42.5814 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,418 | 42.5814 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,311 | 42.5814 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,242 | 42.6778 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 507 | 42.8105 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 19,498 | 42.8105 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,000 | 42.8144 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,000 | 42.8144 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,120 | 42.8144 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 880 | 42.8144 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,877 | 42.8382 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,638 | 42.8382 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,424 | 42.8382 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,594 | 42.8382 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,567 | 42.8382 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 35 | 42.8525 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1 | 42.8800 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 173 | 42.8864 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 928 | 42.9105 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,433 | 42.9105 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,216 | 42.9105 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,505 | 42.9105 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 157 | 42.9688 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 13,354 | 43.0850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 567 | 43.0850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 116 | 43.0850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 205 | 43.0850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,108 | 43.0850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 15,862 | 43.0850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,759 | 43.0850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 499 | 43.0850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 368 | 43.0850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 332 | 43.0850 GBP |
USD 0.25 ORDINARY | FUTURE | SALE | 21 | 4,206.4870 GBP |
ADRS | CFD | LONG | 3,402.00 (Traded in ADR form) | 71.3720 USD |
ADRS | CFD | LONG | 2,440.00 (Traded in ADR form) | 72.0000 USD |
ADRS | CFD | LONG | 401.00 (Traded in ADR form) | 72.0000 USD |
ADRS | CFD | LONG | 400.00 (Traded in ADR form) | 72.3300 USD |
ADRS | CFD | SHORT | 3,402.00 (Traded in ADR form) | 72.1411 USD |
ADRS | CFD | SHORT | 400.00 (Traded in ADR form) | 72.2000 USD |
ADRS | CFD | SHORT | 392.00 (Traded in ADR form) | 72.2000 USD |
ADRS | CFD | SHORT | 2,386.00 (Traded in ADR form) | 72.2000 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 |
ADRS | PUT | PURCHASE | 700,000 | 34.0000 | A | 19/12/2014 | 0.4000 GBP |
USD 0.25 ORDINARY | PUT | PURCHASE | 13,000 | 41.0000 | E | 19/12/2014 | 2.6000 GBP |
USD 0.25 ORDINARY | CALL | SALE | 392,000 | 52.0000 | A | 19/09/2014 | 0.7100 GBP |
USD 0.25 ORDINARY | CALL | SALE | 200,000 | 52.0000 | A | 19/09/2014 | 0.7250 GBP |
USD 0.25 ORDINARY | CALL | SALE | 108,000 | 52.0000 | A | 19/09/2014 | 0.7250 GBP |
USD 0.25 ORDINARY | CALL | SALE | 13,000 | 44.7300 | E | 19/12/2014 | 2.6000 GBP |
(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: | 21 MAY 2014 |
| Contact name: | Darren Wickert |
| Telephone number: | +44 (0)20 7425 6578 |
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.