Last checked at 27 May 2014 13:32
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: | 21 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 | 2,490,678 | 44.5850 GBP | 42.6400 GBP |
USD 0.25 ORDINARY | SALES | 3,666,697 | 44.5800 GBP | 42.5837 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 | 2,820 | 42.5837 GBP |
USD 0.25 ORDINARY | CFD | LONG | 180 | 42.5837 GBP |
USD 0.25 ORDINARY | CFD | LONG | 880 | 42.7852 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,000 | 42.7852 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,120 | 42.7852 GBP |
USD 0.25 ORDINARY | CFD | LONG | 8,000 | 42.7852 GBP |
USD 0.25 ORDINARY | CFD | LONG | 96,589 | 42.8701 GBP |
USD 0.25 ORDINARY | CFD | LONG | 179,379 | 42.8701 GBP |
USD 0.25 ORDINARY | CFD | LONG | 8,000 | 42.9057 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,120 | 42.9057 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,000 | 42.9057 GBP |
USD 0.25 ORDINARY | CFD | LONG | 880 | 42.9057 GBP |
USD 0.25 ORDINARY | CFD | LONG | 880 | 43.0138 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,000 | 43.0138 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,120 | 43.0138 GBP |
USD 0.25 ORDINARY | CFD | LONG | 8,000 | 43.0138 GBP |
USD 0.25 ORDINARY | CFD | LONG | 23,500 | 43.2957 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,208 | 43.4596 GBP |
USD 0.25 ORDINARY | CFD | LONG | 96 | 43.4800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,769 | 43.5179 GBP |
USD 0.25 ORDINARY | CFD | LONG | 100,000 | 43.6364 GBP |
USD 0.25 ORDINARY | CFD | LONG | 500,000 | 43.6364 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,007 | 43.6773 GBP |
USD 0.25 ORDINARY | CFD | LONG | 65,428 | 43.7787 GBP |
USD 0.25 ORDINARY | CFD | LONG | 28,815 | 43.8264 GBP |
USD 0.25 ORDINARY | CFD | LONG | 594,130 | 43.8589 GBP |
USD 0.25 ORDINARY | CFD | LONG | 37,302 | 43.9257 GBP |
USD 0.25 ORDINARY | CFD | LONG | 65,885 | 43.9257 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,280 | 43.9300 GBP |
USD 0.25 ORDINARY | CFD | LONG | 456 | 43.9300 GBP |
USD 0.25 ORDINARY | CFD | LONG | 10,280 | 43.9300 GBP |
USD 0.25 ORDINARY | CFD | LONG | 8,500 | 43.9473 GBP |
USD 0.25 ORDINARY | CFD | LONG | 50,180 | 43.9757 GBP |
USD 0.25 ORDINARY | CFD | LONG | 69,706 | 43.9766 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,946 | 43.9800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,947 | 43.9800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,300 | 44.0000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,350 | 44.0000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 300 | 44.0000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 13,250 | 44.0683 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,019 | 44.1687 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,822 | 44.1907 GBP |
USD 0.25 ORDINARY | CFD | LONG | 109 | 44.2000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 228 | 44.2000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,917 | 44.2000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 116 | 44.2000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,173 | 44.2000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 6,876 | 44.2000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 100,000 | 44.2236 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,302 | 44.2392 GBP |
ADRS | FUTURE | PURCHASE | 21 | 4,381.7697 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 300 | 42.9638 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,700 | 42.9638 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 12 | 43.1350 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 96 | 43.4800 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 267 | 43.6098 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 510 | 43.6198 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 29,230 | 43.6658 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,455 | 43.6972 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,729 | 43.7033 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 67,928 | 43.7646 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4 | 43.7800 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 594,577 | 43.8425 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5 | 43.8860 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 69,706 | 43.9571 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 61 | 43.9612 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,007 | 43.9683 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 329 | 43.9893 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 28,815 | 43.9950 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,500 | 44.0433 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,520 | 44.0728 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 80,166 | 44.1825 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 138 | 44.1839 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 28 | 44.1839 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 623 | 44.1839 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 235 | 44.2000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 584 | 44.2000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 122 | 44.2000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,917 | 44.2000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 10,995 | 44.2000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 736 | 44.2012 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 400 | 44.2204 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,722 | 489.0000 SEK |
USD 0.25 ORDINARY | CFD | SHORT | 195 | 490.1000 SEK |
USD 0.25 ORDINARY | CFD | SHORT | 988 | 490.1992 SEK |
ADRS | CFD | LONG | 392.00 (Traded in ADR form) | 74.3000 USD |
ADRS | CFD | LONG | 2,386.00 (Traded in ADR form) | 74.3000 USD |
ADRS | CFD | SHORT | 750.00 (Traded in ADR form) | 73.6100 USD |
ADRS | CFD | SHORT | 403.00 (Traded in ADR form) | 73.6700 USD |
ADRS | CFD | SHORT | 2,457.00 (Traded in ADR form) | 73.6700 USD |
ADRS | CFD | SHORT | 1,250.00 (Traded in ADR form) | 73.6788 USD |
ADRS | CFD | SHORT | 500.00 (Traded in ADR form) | 74.4500 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 | 284,590 | 4,150.0970 | E | 12/06/2014 | 0.7162 GBP |
USD 0.25 ORDINARY | PUT | PURCHASE | 70,000 | 4,200.0000 | E | 19/12/2014 | 2.5000 GBP |
USD 0.25 ORDINARY | CALL | SALE | 70,000 | 4,653.0000 | E | 19/12/2014 | 2.5000 GBP |
ADRS | PUT | PURCHASE | 300,000 | 70.0000 | A | 21/06/2014 | 1.6500 USD |
ADRS | CALL | SALE | 200,000 | 80.0000 | A | 21/06/2014 | 1.2500 USD |
ADRS | CALL | SALE | 1,100,000 | 90.0000 | A | 21/06/2014 | 0.3500 USD |
ADRS | CALL | SALE | 2,500,000 | 77.5000 | A | 21/06/2014 | 1.9500 USD |
ADRS | CALL | SALE | 1,000,000 | 77.5000 | A | 21/06/2014 | 2.8950 USD |
ADRS | CALL | SALE | 1,000,000 | 77.5000 | A | 21/06/2014 | 2.9500 USD |
ADRS | CALL | SALE | 500,000 | 77.5000 | 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 |
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: | 27 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.