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8 May 2014 10:07
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: | 07 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 | 1,168,455 | 46.6200 GBP | 46.0950 GBP |
USD 0.25 ORDINARY | SALES | 991,944 | 46.6250 GBP | 46.0555 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 | 7,483 | 46.0556 GBP |
USD 0.25 ORDINARY | CFD | LONG | 143 | 46.1000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 158 | 46.1050 GBP |
USD 0.25 ORDINARY | CFD | LONG | 84 | 46.1100 GBP |
USD 0.25 ORDINARY | CFD | LONG | 167 | 46.1200 GBP |
USD 0.25 ORDINARY | CFD | LONG | 155 | 46.1250 GBP |
USD 0.25 ORDINARY | CFD | LONG | 22,363 | 46.1584 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,500 | 46.1999 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,749 | 46.2446 GBP |
USD 0.25 ORDINARY | CFD | LONG | 263 | 46.2577 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,185 | 46.2577 GBP |
USD 0.25 ORDINARY | CFD | LONG | 53 | 46.2577 GBP |
USD 0.25 ORDINARY | CFD | LONG | 885 | 46.2636 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,557 | 46.2650 GBP |
USD 0.25 ORDINARY | CFD | LONG | 122 | 46.2650 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,721 | 46.2793 GBP |
USD 0.25 ORDINARY | CFD | LONG | 56 | 46.2793 GBP |
USD 0.25 ORDINARY | CFD | LONG | 45,279 | 46.2797 GBP |
USD 0.25 ORDINARY | CFD | LONG | 203,526 | 46.2797 GBP |
USD 0.25 ORDINARY | CFD | LONG | 114 | 46.2950 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,584 | 46.2950 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,650 | 46.3011 GBP |
USD 0.25 ORDINARY | CFD | LONG | 141 | 46.3066 GBP |
USD 0.25 ORDINARY | CFD | LONG | 626 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,067 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | LONG | 23 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | LONG | 143 | 46.3109 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,924 | 46.3127 GBP |
USD 0.25 ORDINARY | CFD | LONG | 271,359 | 46.3219 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,697 | 46.3286 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,410 | 46.3856 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 27,585 | 46.1885 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5 | 46.1900 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5 | 46.2028 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 24 | 46.2137 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2 | 46.2150 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,569 | 46.2323 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 488 | 46.2452 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 10,000 | 46.2504 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 45,563 | 46.2797 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 203,526 | 46.2797 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 447 | 46.2883 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,792 | 46.2890 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,080 | 46.2890 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 359 | 46.2890 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 36,085 | 46.3097 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 40,655 | 46.3097 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,146 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 302 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,027 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 111 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 535 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 215 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 197 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 73 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 48 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 53 | 46.3100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 276,623 | 46.3225 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 40,141 | 46.3414 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,500 | 46.3447 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,327 | 46.3539 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 87 | 46.3539 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 381 | 46.3616 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,979 | 46.3616 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,410 | 46.3767 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 11 | 46.3963 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5 | 46.4940 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 11 | 46.5000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4 | 46.5000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,973 | 509.0000 SEK |
ADRS | CFD | LONG | 358 (Traded in ADR form) | 78.3200 USD |
ADRS | CFD | LONG | 2,182 (Traded in ADR form) | 78.3200 USD |
ADRS | CFD | LONG | 15 (Traded in ADR form) | 78.6100 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: | 08 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.
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