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  4. Astrazeneca Share Regulatory News
  5. Form 8.5 (EPT/RI)

Pin to quick picksAstrazeneca Regulatory News (AZN)

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Form 8.5 (EPT/RI)

22 May 2014 11:52

RNS Number : 8225H
Bank of America Merrill Lynch
22 May 2014
 

FORM 8.5 (EPT/RI)

 

PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITYRule 8.5 of the Takeover Code (the "Code")

 

1.

KEY INFORMATION

(a)

Name of exempt principal trader:

Bank of America Merrill Lynch

(b)

Name of offeror/offeree in relation to whoserelevant 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:

Pfizer Inc

(d)

Date dealing undertaken:

21/05/2014

(e)

Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer?

No

 

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

Common - ISIN GB0009895292

Purchase

508,806

44.545 GBP

42.68 GBP

Common - ISIN GB0009895292

Purchase

297,389

495.2 SEK

474 SEK

Common - ISIN GB0009895292

Sale

419,961

44.55 GBP

42.73 GBP

Common - ISIN GB0009895292

Sale

297,714

494.8 SEK

474.3 SEK

 

(b)

Derivatives transactions (other than options)

Class of relevant security

Product descriptione.g. CFD

Nature of dealinge.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit

Common - ISIN GB0009895292

Swaps

Long

1

43.571 GBP

Common - ISIN GB0009895292

Swaps

Long

1

43.661 GBP

Common - ISIN GB0009895292

Swaps

Long

3

43.661 GBP

Common - ISIN GB0009895292

Swaps

Long

5

43.661 GBP

Common - ISIN GB0009895292

Swaps

Long

1

43.571 GBP

Common - ISIN GB0009895292

Swaps

Long

1

43.571 GBP

Common - ISIN GB0009895292

Swaps

Long

2

43.661 GBP

Common - ISIN GB0009895292

Swaps

Long

18

43.661 GBP

Common - ISIN GB0009895292

Swaps

Short

14

43.64 GBP

Common - ISIN GB0009895292

Swaps

Long

56

43.661 GBP

Common - ISIN GB0009895292

Swaps

Long

5

43.661 GBP

Common - ISIN GB0009895292

Swaps

Long

1

43.571 GBP

Common - ISIN GB0009895292

Swaps

Long

8

43.661 GBP

Common - ISIN GB0009895292

Swaps

Long

8

43.661 GBP

Common - ISIN GB0009895292

Swaps

Long

2

43.571 GBP

Common - ISIN GB0009895292

Swaps

Long

7

43.571 GBP

Common - ISIN GB0009895292

Swaps

Long

5

43.661 GBP

Common - ISIN GB0009895292

Swaps

Long

1

43.571 GBP

Common - ISIN GB0009895292

Swaps

Long

1

43.661 GBP

Common - ISIN GB0009895292

Swaps

Short

13,287

43.439 GBP

Common - ISIN GB0009895292

Swaps

Long

600

43.858 GBP

Common - ISIN GB0009895292

Swaps

Short

1,859

43.7 GBP

Common - ISIN GB0009895292

Swaps

Long

263

43.807 GBP

Common - ISIN GB0009895292

Swaps

Long

1,164

43.807 GBP

Common - ISIN GB0009895292

Swaps

Long

25,000

44.042 GBP

Common - ISIN GB0009895292

Swaps

Long

94

43.807 GBP

Common - ISIN GB0009895292

Swaps

Short

150

43.7 GBP

Common - ISIN GB0009895292

Swaps

Long

20

43.807 GBP

Common - ISIN GB0009895292

Swaps

Short

4,410

43.7 GBP

Common - ISIN GB0009895292

Swaps

Long

623

43.807 GBP

Common - ISIN GB0009895292

Swaps

Long

2,759

43.807 GBP

Common - ISIN GB0009895292

Swaps

Long

600

43.129 GBP

Common - ISIN GB0009895292

Swaps

Short

279

44.097 GBP

Common - ISIN GB0009895292

Swaps

Short

14,992

43.7 GBP

Common - ISIN GB0009895292

Swaps

Long

2,116

43.807 GBP

Common - ISIN GB0009895292

Swaps

Long

9,372

43.807 GBP

Common - ISIN GB0009895292

Swaps

Short

1,500

43.617 GBP

Common - ISIN GB0009895292

Swaps

Short

2,563

43.507 GBP

Common - ISIN GB0009895292

Swaps

Long

184

43.965 GBP

Common - ISIN GB0009895292

Swaps

Short

125

43.195 GBP

Common - ISIN GB0009895292

Swaps

Long

120

44.23 GBP

Common - ISIN GB0009895292

Swaps

Long

11

44.317 GBP

Common - ISIN GB0009895292

Swaps

Long

989

44.207 GBP

Common - ISIN GB0009895292

Swaps

Short

100

44.027 GBP

Common - ISIN GB0009895292

Swaps

Long

146

43.933 GBP

Common - ISIN GB0009895292

Swaps

Long

48

44.197 GBP

Common - ISIN GB0009895292

Swaps

Long

232

44.197 GBP

Common - ISIN GB0009895292

Swaps

Long

92

43.906 GBP

Common - ISIN GB0009895292

Swaps

Long

53

44.197 GBP

Common - ISIN GB0009895292

Swaps

Long

253

44.197 GBP

Common - ISIN GB0009895292

Swaps

Short

1,000

44.204 GBP

Common - ISIN GB0009895292

Swaps

Long

5,000

43.495 GBP

Common - ISIN GB0009895292

Swaps

Long

10,000

43.495 GBP

Common - ISIN GB0009895292

Swaps

Short

20,000

43.815 GBP

Common - ISIN GB0009895292

Swaps

Long

100

490.926 SEK

Common - ISIN GB0009895292

Swaps

Short

79,072

43.716 GBP

Common - ISIN GB0009895292

Swaps

Long

79,072

43.739 GBP

Common - ISIN GB0009895292

Swaps

Long

6,000

43.799 GBP

Common - ISIN GB0009895292

Swaps

Long

94,000

43.799 GBP

 

(c)

Options transactions in respect of existing securities

(i)

Writing, selling, purchasing or varying

Class ofrelevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number ofsecurities to which option relates

Exercise priceper unit

Typee.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 descriptione.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 dealinge.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 classof 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:

22/05/2014

Contact name:

Stacy Otieno

Telephone number:

0207 995 1335

 

Public disclosures under Rule 8 of the Code must be made to a Regulatory InformationService 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'sdealing disclosure requirements on +44 (0)20 7638 0129.The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

 

 

FORM 8.5 (EPT/RI)

 

PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITYRule 8.5 of the Takeover Code (the "Code")

 

1.

KEY INFORMATION

(a)

Name of exempt principal trader:

Bank of America Merrill Lynch

(b)

Name of offeror/offeree in relation to whoserelevant securities this form relates:Use a separate form for each offeror/offeree

Pfizer Inc

(c)

Name of the party to the offer with which exempt principal trader is connected:

Pfizer Inc

(d)

Date dealing undertaken:

21/05/2014

(e)

Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer?

No

 

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

Common - ISIN US7170811035

Purchase

282

193 SEK

192.5 SEK

Common - ISIN US7170811035

Sale

282

193 SEK

192.5 SEK

 

(b)

Derivatives transactions (other than options)

Class of relevant security

Product descriptione.g. CFD

Nature of dealinge.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit

N/A

N/A

N/A

N/A

N/A

 

(c)

Options transactions in respect of existing securities

(i)

Writing, selling, purchasing or varying

Class ofrelevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number ofsecurities to which option relates

Exercise priceper unit

Typee.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 descriptione.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 dealinge.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 classof 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:

22/05/2014

Contact name:

Stacy Otieno

Telephone number:

0207 995 1335

 

Public disclosures under Rule 8 of the Code must be made to a Regulatory InformationService 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'sdealing disclosure requirements on +44 (0)20 7638 0129.The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

 

This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
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