Last checked at 29 May 2014 11:33
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: | 16 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 | 1,033,581 | 48.2401 GBP | 45.0000 GBP |
USD 0.25 ORDINARY | SALES | 1,433,123 | 48.2741 GBP | 47.3650 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 | 80 | 58.5400 EUR |
USD 0.25 ORDINARY | CFD | SHORT | 80 | 58.2400 EUR |
USD 0.25 ORDINARY | CFD | LONG | 37,139 | 47.2650 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,371 | 47.2650 GBP |
USD 0.25 ORDINARY | CFD | LONG | 10,000 | 47.4014 GBP |
USD 0.25 ORDINARY | CFD | LONG | 715 | 47.4090 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,330 | 47.4090 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,118 | 47.4100 GBP |
USD 0.25 ORDINARY | CFD | LONG | 343 | 47.4100 GBP |
USD 0.25 ORDINARY | CFD | LONG | 25 | 47.4172 GBP |
USD 0.25 ORDINARY | CFD | LONG | 372 | 47.4411 GBP |
USD 0.25 ORDINARY | CFD | LONG | 274 | 47.4411 GBP |
USD 0.25 ORDINARY | CFD | LONG | 938 | 47.4411 GBP |
USD 0.25 ORDINARY | CFD | LONG | 8 | 47.6437 GBP |
USD 0.25 ORDINARY | CFD | LONG | 215 | 47.6899 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,120 | 47.8081 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,256 | 47.8081 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,998 | 47.8081 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,774 | 47.8081 GBP |
USD 0.25 ORDINARY | CFD | LONG | 848 | 47.8081 GBP |
USD 0.25 ORDINARY | CFD | LONG | 13 | 47.8153 GBP |
USD 0.25 ORDINARY | CFD | LONG | 25,871 | 47.8254 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,821 | 47.8299 GBP |
USD 0.25 ORDINARY | CFD | LONG | 10,089 | 47.8299 GBP |
USD 0.25 ORDINARY | CFD | LONG | 17,044 | 47.8299 GBP |
USD 0.25 ORDINARY | CFD | LONG | 12,829 | 47.8299 GBP |
USD 0.25 ORDINARY | CFD | LONG | 6,369 | 47.8299 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,544 | 47.8452 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,655 | 47.8452 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,645 | 47.8452 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,197 | 47.8481 GBP |
USD 0.25 ORDINARY | CFD | LONG | 28,800 | 47.8908 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,497 | 47.8921 GBP |
USD 0.25 ORDINARY | CFD | LONG | 223 | 47.8921 GBP |
USD 0.25 ORDINARY | CFD | LONG | 156 | 47.8950 GBP |
USD 0.25 ORDINARY | CFD | LONG | 312 | 47.9000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 436 | 47.9150 GBP |
USD 0.25 ORDINARY | CFD | LONG | 246 | 47.9191 GBP |
USD 0.25 ORDINARY | CFD | LONG | 98,059 | 47.9266 GBP |
USD 0.25 ORDINARY | CFD | LONG | 54 | 47.9642 GBP |
USD 0.25 ORDINARY | CFD | LONG | 247,300 | 47.9645 GBP |
USD 0.25 ORDINARY | CFD | LONG | 707 | 47.9645 GBP |
USD 0.25 ORDINARY | CFD | LONG | 264 | 47.9706 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,959 | 47.9706 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,321 | 47.9706 GBP |
USD 0.25 ORDINARY | CFD | LONG | 300 | 48.0000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 14,700 | 48.0000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 19,200 | 48.0094 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3 | 48.0166 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,935 | 48.0277 GBP |
USD 0.25 ORDINARY | CFD | LONG | 25,000 | 48.0321 GBP |
USD 0.25 ORDINARY | CFD | LONG | 412 | 48.0871 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,331 | 48.1381 GBP |
USD 0.25 ORDINARY | CFD | LONG | 149 | 48.1382 GBP |
USD 0.25 ORDINARY | CFD | LONG | 814 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 64 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 589 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,454 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 169 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 25 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 314 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 13,528 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 900 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 50,120 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | LONG | 6,814 | 48.2350 GBP |
ADRS | FUTURE | PURCHASE | 4 | 4,823.5000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 37,139 | 47.2650 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,371 | 47.2650 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 44 | 47.8238 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 156 | 47.8547 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 13,460 | 47.8547 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 60 | 47.9255 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,887 | 47.9429 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 247,300 | 47.9579 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,228 | 47.9579 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,370 | 48.1073 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 9,056 | 48.1124 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 70 | 48.1286 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,700 | 48.1362 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 300 | 48.1362 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,202 | 48.1416 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 25,871 | 48.1696 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 30 | 48.1971 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 137 | 48.1971 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6 | 48.1971 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 900 | 48.2017 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 29,871 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 60 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,563 | 48.2350 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 23,500 | 48.2402 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,000 | 528.5000 SEK |
USD 0.25 ORDINARY | CFD | SHORT | 6,000 | 528.7500 SEK |
ADRS | CFD | LONG | 100.00 (Traded in ADR form) | 80.9000 USD |
ADRS | CFD | SHORT | 4,222.00 (Traded in ADR form) | 80.2800 USD |
ADRS | CFD | SHORT | 693.00 (Traded in ADR form) | 80.2800 USD |
ADRS | CFD | SHORT | 15.00 (Traded in ADR form) | 80.6200 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 |
USD 0.25 ORDINARY | CALL | PURCHASE | 19,000 | 45.0000 | A | 16/05/2014 | 3.0500 GBP |
ADRS | PUT | PURCHASE | 50,000 | 75.0000 | A | 21/06/2014 | 2.0000 USD |
ADRS | CALL | SALE | 400,000 | 90.0000 | A | 21/06/2014 | 0.3000 USD |
ADRS | CALL | SALE | 500,000 | 90.0000 | A | 21/06/2014 | 0.3500 USD |
ADRS | CALL | SALE | 700,000 | 85.0000 | A | 21/06/2014 | 2.3000 USD |
ADRS | CALL | SALE | 150,000 | 85.0000 | A | 19/07/2014 | 1.5500 USD |
ADRS | CALL | SALE | 800,000 | 85.0000 | A | 21/06/2014 | 1.5500 USD |
ADRS | CALL | SALE | 300,000 | 87.0000 | A | 21/06/2014 | 0.7500 USD |
ADRS | PUT | PURCHASE | 50,000 | 77.0000 | A | 21/06/2014 | 2.9500 USD |
(ii) Exercising
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
USD 0.25 ORDINARY | PUT | 100,000 | 48.0000 GBP |
(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.