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Form 8.5 (EPT/RI)

21 May 2014 11:22

RNS Number : 6875H
Bank of America Merrill Lynch
21 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:

20/05/2014

(e)

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

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

Common - ISIN GB0009895292

Purchase

101

52.064 EUR

52.064 EUR

Common - ISIN GB0009895292

Purchase

1,630,504

43.085 GBP

41.87 GBP

Common - ISIN GB0009895292

Purchase

1,199,645

478.7 SEK

467.1 SEK

Common - ISIN GB0009895292

Sale

1,621,664

43 GBP

41.9 GBP

Common - ISIN GB0009895292

Sale

1,201,805

477.3 SEK

470.9 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

Short

104

42.339 GBP

Common - ISIN GB0009895292

Swaps

Short

30,516

42.601 GBP

Common - ISIN GB0009895292

Swaps

Short

4,161

42.601 GBP

Common - ISIN GB0009895292

Swaps

Short

18,531

42.248 GBP

Common - ISIN GB0009895292

Swaps

Long

250,000

42.836 GBP

Common - ISIN GB0009895292

Swaps

Long

200,000

42.86 GBP

Common - ISIN GB0009895292

Swaps

Short

200,000

42.248 GBP

Common - ISIN GB0009895292

Swaps

Short

250,000

42.248 GBP

Common - ISIN GB0009895292

Swaps

Long

85,730

42.896 GBP

Common - ISIN GB0009895292

Swaps

Short

339,723

42.248 GBP

Common - ISIN GB0009895292

Swaps

Long

246,567

42.895 GBP

Common - ISIN GB0009895292

Swaps

Long

1,697

42.224 GBP

Common - ISIN GB0009895292

Swaps

Short

1,697

42.381 GBP

Common - ISIN GB0009895292

Swaps

Short

25,000

42.696 GBP

Common - ISIN GB0009895292

Swaps

Long

136

42.224 GBP

Common - ISIN GB0009895292

Swaps

Short

136

42.381 GBP

Common - ISIN GB0009895292

Swaps

Long

4,015

42.224 GBP

Common - ISIN GB0009895292

Swaps

Short

4,015

42.381 GBP

Common - ISIN GB0009895292

Swaps

Long

300

42.799 GBP

Common - ISIN GB0009895292

Swaps

Short

600

42.156 GBP

Common - ISIN GB0009895292

Swaps

Long

300

42.709 GBP

Common - ISIN GB0009895292

Swaps

Long

13,630

42.224 GBP

Common - ISIN GB0009895292

Swaps

Short

13,630

42.381 GBP

Common - ISIN GB0009895292

Swaps

Short

693

43.085 GBP

Common - ISIN GB0009895292

Swaps

Short

1,565

43.085 GBP

Common - ISIN GB0009895292

Swaps

Short

360

43.085 GBP

Common - ISIN GB0009895292

Swaps

Short

1,589

43.085 GBP

Common - ISIN GB0009895292

Swaps

Short

588

43.085 GBP

Common - ISIN GB0009895292

Swaps

Short

120

42.34 GBP

Common - ISIN GB0009895292

Swaps

Long

300

42.922 GBP

Common - ISIN GB0009895292

Swaps

Long

1,500

42.922 GBP

Common - ISIN GB0009895292

Swaps

Short

101

52.064 EUR

Common - ISIN GB0009895292

Swaps

Long

875

43.082 GBP

Common - ISIN GB0009895292

Swaps

Short

146

43.091 GBP

Common - ISIN GB0009895292

Swaps

Long

952

43.082 GBP

Common - ISIN GB0009895292

Swaps

Long

1,936

473.072 SEK

Common - ISIN GB0009895292

Swaps

Long

124

473.072 SEK

Common - ISIN GB0009895292

Swaps

Short

30,000

42.133 GBP

Common - ISIN GB0009895292

Swaps

Long

20,000

42.661 GBP

Common - ISIN GB0009895292

Swaps

Long

15,000

42.746 GBP

Common - ISIN GB0009895292

Swaps

Long

15,000

42.746 GBP

Common - ISIN GB0009895292

Swaps

Long

20,000

42.746 GBP

Common - ISIN GB0009895292

Swaps

Short

20,000

42.904 GBP

Common - ISIN GB0009895292

Swaps

Long

100

476.229 SEK

Common - ISIN GB0009895292

Swaps

Long

135,541

42.413 GBP

Common - ISIN GB0009895292

Swaps

Short

135,541

42.403 GBP

Common - ISIN GB0009895292

Swaps

Short

102

42.403 GBP

Common - ISIN GB0009895292

Swaps

Long

70,500

42.677 GBP

Common - ISIN GB0009895292

Swaps

Long

4,500

42.677 GBP

Common - ISIN GB0009895292

Swaps

Short

3,500

42.909 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:

21/05/2014

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:

20/05/2014

(e)

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

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

Common - ISIN US7170811035

Purchase

153

26.2 CHF

26.2 CHF

Common - ISIN US7170811035

Purchase

222

194.5 SEK

193 SEK

Common - ISIN US7170811035

Sale

153

26.2 CHF

26.2 CHF

Common - ISIN US7170811035

Sale

222

194.5 SEK

193 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:

21/05/2014

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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