Last checked at 29 May 2014 11:40
AMENDMENT
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: | 22 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 | 2,874,592 | 44.0200 GBP | 42.2950 GBP |
USD 0.25 ORDINARY | SALES | 2,225,951 | 44.0200 GBP | 42.3000 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 |
USD 0.25 ORDINARY | CFD | LONG | 20 | 54.2200 EUR |
USD 0.25 ORDINARY | CFD | SHORT | 20 | 53.6600 EUR |
USD 0.25 ORDINARY | CFD | LONG | 2,889 | 42.7500 GBP |
USD 0.25 ORDINARY | CFD | LONG | 18,108 | 42.7500 GBP |
USD 0.25 ORDINARY | CFD | LONG | 767 | 43.0708 GBP |
USD 0.25 ORDINARY | CFD | LONG | 20 | 43.1165 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,300 | 43.1426 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,350 | 43.1473 GBP |
USD 0.25 ORDINARY | CFD | LONG | 300 | 43.1531 GBP |
USD 0.25 ORDINARY | CFD | LONG | 316 | 43.2234 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,983 | 43.2286 GBP |
USD 0.25 ORDINARY | CFD | LONG | 8,178 | 43.2286 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,772 | 43.2286 GBP |
USD 0.25 ORDINARY | CFD | LONG | 13,750 | 43.2341 GBP |
USD 0.25 ORDINARY | CFD | LONG | 33,695 | 43.2545 GBP |
USD 0.25 ORDINARY | CFD | LONG | 6,500 | 43.2626 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,304 | 43.2657 GBP |
USD 0.25 ORDINARY | CFD | LONG | 548,364 | 43.3108 GBP |
USD 0.25 ORDINARY | CFD | LONG | 25,000 | 43.3136 GBP |
USD 0.25 ORDINARY | CFD | LONG | 88 | 43.4000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 124,501 | 43.4658 GBP |
USD 0.25 ORDINARY | CFD | LONG | 22,500 | 43.5342 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,452 | 43.6001 GBP |
USD 0.25 ORDINARY | CFD | LONG | 12,401 | 43.6001 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,695 | 42.7500 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 786 | 42.7500 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 164 | 42.7500 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 316 | 42.7500 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 31,833 | 42.7500 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,000 | 42.7842 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 392 | 42.9129 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 554 | 43.0220 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,286 | 43.0408 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,222 | 43.2368 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 320 | 43.2368 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,602 | 43.2368 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 12,401 | 43.2574 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 37,302 | 43.2574 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 100,000 | 43.2864 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 176 | 43.2900 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 543,366 | 43.2947 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 27 | 43.3000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 100,000 | 43.3000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,000 | 43.3249 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 88,251 | 43.3352 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 68,828 | 43.3352 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 52,290 | 43.3352 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 25,020 | 43.3352 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 33,030 | 43.3352 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,676 | 43.3414 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,120 | 43.3497 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 29,273 | 43.3564 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 122,001 | 43.3616 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,844 | 43.3758 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,871 | 43.3832 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,000 | 43.3883 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 88 | 43.3950 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 25,000 | 43.5121 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 33,695 | 43.5176 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 10,000 | 43.5648 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,900 | 43.5648 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,000 | 43.5648 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,100 | 43.5648 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 22,500 | 43.5800 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,000 | 43.6397 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 685 | 43.7039 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 766 | 43.7039 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,382 | 43.7039 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,230 | 43.7039 GBP |
USD 0.25 ORDINARY | CFD | LONG | 378 | 481.3097 SEK |
USD 0.25 ORDINARY | CFD | LONG | 805 | 481.4103 SEK |
USD 0.25 ORDINARY | CFD | LONG | 1,000 | 482.2000 SEK |
USD 0.25 ORDINARY | CFD | SHORT | 1,000 | 482.1000 SEK |
USD 0.25 ORDINARY | CFD | LONG | 1,204 | 43.1566 GBP |
ADRS | CFD | LONG | 300.00 (Traded in ADR form) | 71.9633 USD |
ADRS | CFD | LONG | 4,846.00 (Traded in ADR form) | 72.1600 USD |
ADRS | CFD | LONG | 795.00 (Traded in ADR form) | 72.1600 USD |
ADRS | CFD | LONG | 403.00 (Traded in ADR form) | 73.1500 USD |
ADRS | CFD | LONG | 2,457.00 (Traded in ADR form) | 73.1500 USD |
ADRS | CFD | SHORT | 300.00 (Traded in ADR form) | 72.1200 USD |
ADRS | CFD | SHORT | 2,367.00 (Traded in ADR form) | 72.1600 USD |
ADRS | CFD | SHORT | 389.00 (Traded in ADR form) | 72.1600 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 |
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: | 29 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.