2nd May 2014 16:07
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the “Code”)
1. KEY INFORMATION
| (a) | Identity of the person whose positions/dealings | Barclays PLC. | |||
| are being disclosed: | |||||
| (b) | Owner or controller of interest and short | ||||
| positions disclosed, if different from 1(a): | |||||
| (c) | Name of offeror/offeree in relation to whose | ASTRAZENECA PLC | |||
| relevant securities this form relates: | |||||
| (d) | If an exempt fund manager connected with an | ||||
| offeror/offeree, state this and specify identity of | |||||
| offeror/offeree: | |||||
| (e) | Date position held/dealing undertaken: | 1 May 2014 | |||
| (f) | Has the discloser previously disclosed, or are | YES: | |||
| they today disclosing, under the Code in respect | PFIZER INC | ||||
| of any other party to this offer? |
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)
| Class of relevant security: | ORD | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 12,681,858 | 1.00% | 3,874,462 | 0.31% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 1,099,097 | 0.09% | 5,674,241 | 0.45% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 840,804 | 0.07% | 1,362,343 | 0.02% | |||||||
| (4) | TOTAL: | ||||||||||
| 14,621,759 | 1.16% | 10,911,046 | 0.77% |
All interests and all short positions should be disclosed.
Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
(b) Rights to subscribe for new securities (including directors’ and other executive options)
| Class of relevant security in relation to which subscription right exists: | |
| Details, including nature of the rights concerned and relevant percentages: |
If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
(a) Purchases and sales
| Class of relevant | Purchase/sale | Number of | Price per unit | ||||
| security | securities | ||||||
| ORD | Purchase | 9 | 46.8125 GBP | ||||
| ORD | Purchase | 10 | 46.7675 GBP | ||||
| ORD | Purchase | 24 | 46.9500 GBP | ||||
| ORD | Purchase | 32 | 46.9595 GBP | ||||
| ORD | Purchase | 33 | 46.8960 GBP | ||||
| ORD | Purchase | 35 | 46.9195 GBP | ||||
| ORD | Purchase | 37 | 46.9750 GBP | ||||
| ORD | Purchase | 38 | 46.8895 GBP | ||||
| ORD | Purchase | 46 | 47.1300 GBP | ||||
| ORD | Purchase | 52 | 46.6945 GBP | ||||
| ORD | Purchase | 53 | 46.8215 GBP | ||||
| ORD | Purchase | 54 | 46.9000 GBP | ||||
| ORD | Purchase | 54 | 47.1750 GBP | ||||
| ORD | Purchase | 55 | 46.9145 GBP | ||||
| ORD | Purchase | 55 | 47.0125 GBP | ||||
| ORD | Purchase | 60 | 46.8045 GBP | ||||
| ORD | Purchase | 60 | 46.9725 GBP | ||||
| ORD | Purchase | 61 | 47.0400 GBP | ||||
| ORD | Purchase | 64 | 46.8175 GBP | ||||
| ORD | Purchase | 65 | 47.0075 GBP | ||||
| ORD | Purchase | 65 | 47.0225 GBP | ||||
| ORD | Purchase | 75 | 46.7350 GBP | ||||
| ORD | Purchase | 75 | 46.8600 GBP | ||||
| ORD | Purchase | 77 | 46.6750 GBP | ||||
| ORD | Purchase | 78 | 46.7920 GBP | ||||
| ORD | Purchase | 87 | 46.7100 GBP | ||||
| ORD | Purchase | 88 | 46.6920 GBP | ||||
| ORD | Purchase | 94 | 47.2241 GBP | ||||
| ORD | Purchase | 100 | 46.9775 GBP | ||||
| ORD | Purchase | 101 | 46.7825 GBP | ||||
| ORD | Purchase | 102 | 46.9800 GBP | ||||
| ORD | Purchase | 104 | 46.9995 GBP | ||||
| ORD | Purchase | 104 | 47.0120 GBP | ||||
| ORD | Purchase | 104 | 47.0140 GBP | ||||
| ORD | Purchase | 108 | 46.9200 GBP | ||||
| ORD | Purchase | 113 | 46.8145 GBP | ||||
| ORD | Purchase | 113 | 47.0920 GBP | ||||
| ORD | Purchase | 117 | 46.6725 GBP | ||||
| ORD | Purchase | 117 | 46.8520 GBP | ||||
| ORD | Purchase | 117 | 46.8525 GBP | ||||
| ORD | Purchase | 118 | 46.8480 GBP | ||||
| ORD | Purchase | 129 | 47.0250 GBP | ||||
| ORD | Purchase | 130 | 46.7900 GBP | ||||
| ORD | Purchase | 130 | 46.9700 GBP | ||||
| ORD | Purchase | 131 | 46.9920 GBP | ||||
| ORD | Purchase | 136 | 46.7450 GBP | ||||
| ORD | Purchase | 138 | 46.7890 GBP | ||||
| ORD | Purchase | 138 | 46.8130 GBP | ||||
| ORD | Purchase | 138 | 46.9915 GBP | ||||
| ORD | Purchase | 140 | 46.9150 GBP | ||||
| ORD | Purchase | 142 | 46.9375 GBP | ||||
| ORD | Purchase | 152 | 46.8530 GBP | ||||
| ORD | Purchase | 156 | 46.9350 GBP | ||||
| ORD | Purchase | 156 | 46.9525 GBP | ||||
| ORD | Purchase | 163 | 46.9925 GBP | ||||
| ORD | Purchase | 164 | 46.6875 GBP | ||||
| ORD | Purchase | 167 | 47.1050 GBP | ||||
| ORD | Purchase | 168 | 46.8900 GBP | ||||
| ORD | Purchase | 176 | 46.6800 GBP | ||||
| ORD | Purchase | 176 | 46.6995 GBP | ||||
| ORD | Purchase | 186 | 46.6895 GBP | ||||
| ORD | Purchase | 186 | 46.9975 GBP | ||||
| ORD | Purchase | 187 | 46.7750 GBP | ||||
| ORD | Purchase | 196 | 46.6700 GBP | ||||
| ORD | Purchase | 200 | 46.6900 GBP | ||||
| ORD | Purchase | 213 | 46.8550 GBP | ||||
| ORD | Purchase | 214 | 47.1250 GBP | ||||
| ORD | Purchase | 229 | 46.8495 GBP | ||||
| ORD | Purchase | 235 | 46.8295 GBP | ||||
| ORD | Purchase | 241 | 46.9900 GBP | ||||
| ORD | Purchase | 242 | 46.8340 GBP | ||||
| ORD | Purchase | 243 | 46.8345 GBP | ||||
| ORD | Purchase | 246 | 46.9950 GBP | ||||
| ORD | Purchase | 264 | 46.8650 GBP | ||||
| ORD | Purchase | 286 | 46.8320 GBP | ||||
| ORD (traded as ADR) | Purchase | 287 | TRANSFER | ||||
| ORD | Purchase | 293 | 47.1900 GBP | ||||
| ORD | Purchase | 308 | 46.9625 GBP | ||||
| ORD | Purchase | 311 | 47.0450 GBP | ||||
| ORD | Purchase | 312 | 46.9142 GBP | ||||
| ORD | Purchase | 327 | 46.7650 GBP | ||||
| ORD | Purchase | 328 | 46.6850 GBP | ||||
| ORD | Purchase | 373 | 46.7125 GBP | ||||
| ORD | Purchase | 394 | 46.9050 GBP | ||||
| ORD | Purchase | 400 | 46.8695 GBP | ||||
| ORD | Purchase | 407 | 46.7175 GBP | ||||
| ORD | Purchase | 413 | 46.7400 GBP | ||||
| ORD | Purchase | 431 | 46.8100 GBP | ||||
| ORD | Purchase | 476 | 47.0100 GBP | ||||
| ORD | Purchase | 503 | 47.0425 GBP | ||||
| ORD | Purchase | 511 | 46.9300 GBP | ||||
| ORD | Purchase | 523 | 47.1350 GBP | ||||
| ORD | Purchase | 534 | 46.7950 GBP | ||||
| ORD | Purchase | 570 | 47.0150 GBP | ||||
| ORD | Purchase | 572 | 46.7000 GBP | ||||
| ORD | Purchase | 581 | 46.8395 GBP | ||||
| ORD | Purchase | 587 | 47.0600 GBP | ||||
| ORD | Purchase | 608 | 46.8200 GBP | ||||
| ORD | Purchase | 711 | 46.9850 GBP | ||||
| ORD | Purchase | 767 | 46.8000 GBP | ||||
| ORD | Purchase | 773 | 46.8500 GBP | ||||
| ORD | Purchase | 863 | 46.9575 GBP | ||||
| ORD | Purchase | 937 | 47.0175 GBP | ||||
| ORD | Purchase | 960 | 46.7050 GBP | ||||
| ORD | Purchase | 1,164 | 46.8425 GBP | ||||
| ORD | Purchase | 1,179 | 47.0000 GBP | ||||
| ORD | Purchase | 1,225 | 46.8657 GBP | ||||
| ORD | Purchase | 1,270 | 47.2000 GBP | ||||
| ORD | Purchase | 1,310 | 47.0325 GBP | ||||
| ORD | Purchase | 1,322 | 46.6975 GBP | ||||
| ORD | Purchase | 1,337 | 47.1200 GBP | ||||
| ORD | Purchase | 1,400 | 46.8275 GBP | ||||
| ORD | Purchase | 1,421 | 46.8375 GBP | ||||
| ORD | Purchase | 1,594 | 46.8475 GBP | ||||
| ORD | Purchase | 1,602 | 46.8325 GBP | ||||
| ORD | Purchase | 1,677 | 47.0231 GBP | ||||
| ORD | Purchase | 1,692 | 46.8250 GBP | ||||
| ORD | Purchase | 1,803 | 46.8400 GBP | ||||
| ORD | Purchase | 2,126 | 46.8450 GBP | ||||
| ORD | Purchase | 2,130 | 46.6950 GBP | ||||
| ORD | Purchase | 3,191 | 46.8350 GBP | ||||
| ORD | Purchase | 3,417 | 46.8300 GBP | ||||
| ORD | Purchase | 3,650 | 47.4626 GBP | ||||
| ORD | Purchase | 4,498 | 46.8909 GBP | ||||
| ORD (traded as ADR) | Purchase | 5,000 | 81.0646 USD | ||||
| ORD | Purchase | 5,655 | 46.9905 GBP | ||||
| ORD (traded as ADR) | Purchase | 5,800 | 79.5146 USD | ||||
| ORD | Purchase | 6,350 | 46.9650 GBP | ||||
| ORD | Purchase | 10,285 | 47.1525 GBP | ||||
| ORD | Purchase | 11,158 | 47.0639 GBP | ||||
| ORD (traded as ADR) | Purchase | 15,191 | 79.0500 USD | ||||
| ORD | Purchase | 15,215 | 47.0275 GBP | ||||
| ORD | Purchase | 18,829 | 47.0434 GBP | ||||
| ORD | Purchase | 20,092 | 47.0453 GBP | ||||
| ORD | Purchase | 25,648 | 46.8291 GBP | ||||
| ORD | Purchase | 26,725 | 46.9656 GBP | ||||
| ORD | Purchase | 28,434 | 47.2030 GBP | ||||
| ORD | Purchase | 28,434 | 47.2125 GBP | ||||
| ORD | Purchase | 34,515 | 47.0870 GBP | ||||
| ORD | Purchase | 35,408 | 46.8150 GBP | ||||
| ORD | Purchase | 37,324 | 47.1845 GBP | ||||
| ORD | Purchase | 42,221 | 47.0932 GBP | ||||
| ORD | Purchase | 42,257 | 46.8271 GBP | ||||
| ORD | Purchase | 45,152 | 47.0218 GBP | ||||
| ORD | Purchase | 45,235 | 48.1500 GBP | ||||
| ORD | Purchase | 49,388 | 47.1575 GBP | ||||
| ORD | Purchase | 51,591 | 47.0159 GBP | ||||
| ORD | Purchase | 54,957 | 46.8466 GBP | ||||
| ORD | Purchase | 83,646 | 47.0977 GBP | ||||
| ORD (traded as ADR) | Purchase | 140,065 | 79.1491 USD | ||||
| ORD (traded as ADR) | Purchase | 148,200 | 79.1000 USD | ||||
| ORD | Purchase | 173,575 | 47.0442 GBP | ||||
| ORD | Purchase | 225,000 | 47.1724 GBP | ||||
| ORD | Purchase | 233,510 | 47.2250 GBP | ||||
| ORD | Purchase | 316,713 | 46.7500 GBP | ||||
| ORD | Purchase | 371,278 | 47.1475 GBP | ||||
| ORD | Purchase | 1,804,906 | 47.3211 GBP | ||||
| ORD | Sale | 8 | 46.7072 GBP | ||||
| ORD | Sale | 9 | 46.8125 GBP | ||||
| ORD | Sale | 10 | 46.7675 GBP | ||||
| ORD | Sale | 32 | 46.9595 GBP | ||||
| ORD | Sale | 33 | 46.8960 GBP | ||||
| ORD | Sale | 35 | 46.9195 GBP | ||||
| ORD | Sale | 37 | 46.9750 GBP | ||||
| ORD | Sale | 38 | 46.8895 GBP | ||||
| ORD | Sale | 46 | 47.1300 GBP | ||||
| ORD | Sale | 52 | 46.6945 GBP | ||||
| ORD | Sale | 53 | 46.8215 GBP | ||||
| ORD | Sale | 54 | 46.9000 GBP | ||||
| ORD | Sale | 54 | 47.1750 GBP | ||||
| ORD | Sale | 55 | 46.9145 GBP | ||||
| ORD | Sale | 55 | 47.0125 GBP | ||||
| ORD | Sale | 60 | 46.8045 GBP | ||||
| ORD | Sale | 60 | 46.9725 GBP | ||||
| ORD | Sale | 61 | 47.0400 GBP | ||||
| ORD | Sale | 64 | 46.8175 GBP | ||||
| ORD | Sale | 65 | 47.0075 GBP | ||||
| ORD | Sale | 65 | 47.0225 GBP | ||||
| ORD | Sale | 75 | 46.7350 GBP | ||||
| ORD | Sale | 77 | 46.6750 GBP | ||||
| ORD | Sale | 78 | 46.7920 GBP | ||||
| ORD | Sale | 87 | 46.7100 GBP | ||||
| ORD | Sale | 88 | 46.6920 GBP | ||||
| ORD | Sale | 95 | 46.9500 GBP | ||||
| ORD | Sale | 100 | 46.9775 GBP | ||||
| ORD | Sale | 100 | 47.1523 GBP | ||||
| ORD | Sale | 101 | 46.7825 GBP | ||||
| ORD | Sale | 102 | 46.9800 GBP | ||||
| ORD | Sale | 104 | 46.9995 GBP | ||||
| ORD | Sale | 104 | 47.0120 GBP | ||||
| ORD | Sale | 104 | 47.0140 GBP | ||||
| ORD | Sale | 108 | 46.9200 GBP | ||||
| ORD | Sale | 113 | 46.8145 GBP | ||||
| ORD | Sale | 113 | 47.0920 GBP | ||||
| ORD | Sale | 114 | 47.1148 GBP | ||||
| ORD | Sale | 117 | 46.6725 GBP | ||||
| ORD | Sale | 117 | 46.8520 GBP | ||||
| ORD | Sale | 117 | 46.8525 GBP | ||||
| ORD | Sale | 118 | 46.8480 GBP | ||||
| ORD | Sale | 129 | 47.0250 GBP | ||||
| ORD | Sale | 130 | 46.7900 GBP | ||||
| ORD | Sale | 130 | 46.9700 GBP | ||||
| ORD | Sale | 131 | 46.9920 GBP | ||||
| ORD | Sale | 136 | 46.7450 GBP | ||||
| ORD | Sale | 137 | 47.0175 GBP | ||||
| ORD | Sale | 138 | 46.7890 GBP | ||||
| ORD | Sale | 138 | 46.8130 GBP | ||||
| ORD | Sale | 138 | 46.9915 GBP | ||||
| ORD | Sale | 140 | 46.9150 GBP | ||||
| ORD | Sale | 142 | 46.9375 GBP | ||||
| ORD | Sale | 147 | 46.8454 GBP | ||||
| ORD | Sale | 150 | 47.2326 GBP | ||||
| ORD | Sale | 152 | 46.8530 GBP | ||||
| ORD | Sale | 156 | 46.9350 GBP | ||||
| ORD | Sale | 156 | 46.9525 GBP | ||||
| ORD | Sale | 163 | 46.9925 GBP | ||||
| ORD | Sale | 164 | 46.6875 GBP | ||||
| ORD | Sale | 167 | 47.1050 GBP | ||||
| ORD | Sale | 168 | 46.8900 GBP | ||||
| ORD | Sale | 176 | 46.6800 GBP | ||||
| ORD | Sale | 176 | 46.6995 GBP | ||||
| ORD | Sale | 186 | 46.6895 GBP | ||||
| ORD | Sale | 186 | 46.9975 GBP | ||||
| ORD | Sale | 187 | 46.7750 GBP | ||||
| ORD | Sale | 196 | 46.6700 GBP | ||||
| ORD | Sale | 200 | 46.6900 GBP | ||||
| ORD | Sale | 213 | 46.8550 GBP | ||||
| ORD | Sale | 214 | 47.1250 GBP | ||||
| ORD | Sale | 229 | 46.8495 GBP | ||||
| ORD | Sale | 235 | 46.8295 GBP | ||||
| ORD | Sale | 241 | 46.9900 GBP | ||||
| ORD | Sale | 242 | 46.8340 GBP | ||||
| ORD | Sale | 243 | 46.8345 GBP | ||||
| ORD | Sale | 246 | 46.9950 GBP | ||||
| ORD | Sale | 264 | 46.8650 GBP | ||||
| ORD | Sale | 286 | 46.8320 GBP | ||||
| ORD (traded as ADR) | Sale | 287 | TRANSFER | ||||
| ORD | Sale | 293 | 47.1900 GBP | ||||
| ORD | Sale | 308 | 46.9625 GBP | ||||
| ORD | Sale | 311 | 47.0450 GBP | ||||
| ORD | Sale | 327 | 46.7650 GBP | ||||
| ORD | Sale | 328 | 46.6850 GBP | ||||
| ORD | Sale | 361 | 46.8816 GBP | ||||
| ORD | Sale | 373 | 46.7125 GBP | ||||
| ORD | Sale | 394 | 46.9050 GBP | ||||
| ORD | Sale | 400 | 46.8695 GBP | ||||
| ORD | Sale | 400 | 47.1344 GBP | ||||
| ORD | Sale | 407 | 46.7175 GBP | ||||
| ORD | Sale | 413 | 46.7400 GBP | ||||
| ORD | Sale | 423 | 46.8159 GBP | ||||
| ORD | Sale | 431 | 46.8100 GBP | ||||
| ORD | Sale | 476 | 47.0100 GBP | ||||
| ORD | Sale | 502 | 46.7500 GBP | ||||
| ORD | Sale | 503 | 47.0425 GBP | ||||
| ORD | Sale | 511 | 46.9300 GBP | ||||
| ORD | Sale | 523 | 47.1350 GBP | ||||
| ORD | Sale | 534 | 46.7950 GBP | ||||
| ORD | Sale | 569 | 46.9650 GBP | ||||
| ORD | Sale | 570 | 47.0150 GBP | ||||
| ORD | Sale | 572 | 46.7000 GBP | ||||
| ORD | Sale | 581 | 46.8395 GBP | ||||
| ORD | Sale | 587 | 47.0600 GBP | ||||
| ORD | Sale | 608 | 46.8200 GBP | ||||
| ORD | Sale | 711 | 46.9850 GBP | ||||
| ORD | Sale | 767 | 46.8000 GBP | ||||
| ORD | Sale | 773 | 46.8500 GBP | ||||
| ORD | Sale | 863 | 46.9575 GBP | ||||
| ORD | Sale | 960 | 46.7050 GBP | ||||
| ORD | Sale | 1,015 | 46.8150 GBP | ||||
| ORD | Sale | 1,164 | 46.8425 GBP | ||||
| ORD | Sale | 1,179 | 47.0000 GBP | ||||
| ORD | Sale | 1,270 | 47.2000 GBP | ||||
| ORD | Sale | 1,310 | 47.0325 GBP | ||||
| ORD | Sale | 1,322 | 46.6975 GBP | ||||
| ORD | Sale | 1,337 | 47.1200 GBP | ||||
| ORD | Sale | 1,400 | 46.8275 GBP | ||||
| ORD | Sale | 1,421 | 46.8375 GBP | ||||
| ORD | Sale | 1,594 | 46.8475 GBP | ||||
| ORD | Sale | 1,602 | 46.8325 GBP | ||||
| ORD | Sale | 1,692 | 46.8250 GBP | ||||
| ORD | Sale | 1,803 | 46.8400 GBP | ||||
| ORD | Sale | 2,126 | 46.8450 GBP | ||||
| ORD | Sale | 2,130 | 46.6950 GBP | ||||
| ORD | Sale | 2,181 | 48.1500 GBP | ||||
| ORD | Sale | 2,266 | 46.8382 GBP | ||||
| ORD | Sale | 2,659 | 46.8441 GBP | ||||
| ORD | Sale | 3,191 | 46.8350 GBP | ||||
| ORD | Sale | 3,417 | 46.8300 GBP | ||||
| ORD | Sale | 3,440 | 47.0826 GBP | ||||
| ORD | Sale | 4,784 | 46.8777 GBP | ||||
| ORD | Sale | 4,815 | 47.0022 GBP | ||||
| ORD (traded as ADR) | Sale | 5,800 | 79.5146 USD | ||||
| ORD | Sale | 12,910 | 47.3868 GBP | ||||
| ORD | Sale | 15,215 | 47.0275 GBP | ||||
| ORD | Sale | 18,133 | 46.8192 GBP | ||||
| ORD | Sale | 18,271 | 47.0181 GBP | ||||
| ORD | Sale | 20,529 | 46.8124 GBP | ||||
| ORD | Sale | 24,694 | 47.1575 GBP | ||||
| ORD | Sale | 25,818 | 47.0819 GBP | ||||
| ORD | Sale | 28,434 | 47.2125 GBP | ||||
| ORD | Sale | 29,765 | 46.7992 GBP | ||||
| ORD | Sale | 34,721 | 46.7975 GBP | ||||
| ORD | Sale | 37,033 | 47.0653 GBP | ||||
| ORD | Sale | 41,845 | 47.0722 GBP | ||||
| ORD | Sale | 49,559 | 46.8600 GBP | ||||
| ORD | Sale | 52,626 | 47.0758 GBP | ||||
| ORD | Sale | 52,663 | 47.0436 GBP | ||||
| ORD | Sale | 60,838 | 46.9660 GBP | ||||
| ORD | Sale | 62,378 | 47.0108 GBP | ||||
| ORD | Sale | 63,060 | 47.1129 GBP | ||||
| ORD | Sale | 100,000 | 47.2101 GBP | ||||
| ORD (traded as ADR) | Sale | 140,065 | 79.1491 USD | ||||
| ORD | Sale | 148,200 | 46.8838 GBP | ||||
| ORD (traded as ADR) | Sale | 148,200 | 79.1000 USD | ||||
| ORD | Sale | 177,214 | 47.1784 GBP | ||||
| ORD | Sale | 202,427 | 47.5413 GBP | ||||
| ORD | Sale | 473,337 | 48.1031 GBP | ||||
| ORD | Sale | 500,000 | 46.8694 GBP |
(b) Derivatives transactions (other than options)
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | securities | ||||||||
| ORD | SWAP | Long | 309 | 47.4050 GBP | |||||
| ORD | CFD | Long | 4,815 | 47.0022 GBP | |||||
| ORD | CFD | Long | 5,600 | 47.1155 GBP | |||||
| ORD | SWAP | Long | 8,432 | 46.9884 GBP | |||||
| ORD | CFD | Long | 9,733 | 47.4861 GBP | |||||
| ORD | CFD | Long | 22,888 | 46.9800 GBP | |||||
| ORD | SWAP | Long | 96,667 | 47.9916 GBP | |||||
| ORD | SWAP | Short | 200 | 46.9070 GBP | |||||
| ORD | SWAP | Short | 370 | 47.1918 GBP | |||||
| ORD | SWAP | Short | 1,225 | 46.8657 GBP | |||||
| ORD | CFD | Short | 1,600 | 48.1543 GBP | |||||
| ORD | CFD | Short | 1,000 | 46.8063 GBP | |||||
| ORD | CFD | Short | 3,390 | 46.8777 GBP | |||||
| ORD | SWAP | Short | 3,450 | 47.4948 GBP | |||||
| ORD | SWAP | Short | 8,437 | 46.9913 GBP | |||||
| ORD | SWAP | Short | 20,092 | 47.0452 GBP | |||||
| ORD | SWAP | Short | 31,189 | 46.9770 GBP | |||||
| ORD | SWAP | Short | 43,600 | 48.1500 GBP | |||||
| ORD | SWAP | Short | 45,152 | 47.0218 GBP | |||||
| ORD | CFD | Short | 47,660 | 46.9777 GBP | |||||
| ORD | CFD | Short | 139,865 | 47.1647 GBP | |||||
| ORD | SWAP | Short | 225,000 | 47.1724 GBP | |||||
| ORD | SWAP | Short | 233,510 | 47.2250 GBP | |||||
| ORD | SWAP | Short | 441,436 | 47.0042 GBP | |||||
| ORD | SWAP | Short | 600,000 | 46.6819 GBP |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
| Class | Product | Writing, | Number | Exercise | Type | Expiry | Option | ||||||||
| of | description | purchasing, | of | price | date | money | |||||||||
| relevant | selling, | securities | per unit | paid/ | |||||||||||
| security | varying etc | to which | received | ||||||||||||
| option | per unit | ||||||||||||||
| relates | |||||||||||||||
| ORD | Call Options | Purchasing | 600 | 80 USD | American | 17 May 2014 | 1.9500 USD | ||||||||
| ORD | Call Options | Purchasing | 1,100 | 85 USD | American | 19 Jul 2014 | 1.4890 USD | ||||||||
| ORD | Call Options | Purchasing | 4,000 | 85 USD | American | 17 Jan 2015 | 2.7925 USD | ||||||||
| ORD | Call Options | Purchasing | 100 | 90 USD | American | 17 Jan 2015 | 1.3000 USD | ||||||||
| ORD | Call Options | Selling | 301,300 | 82.5 USD | American | 17 May 2014 | 0.9407 USD | ||||||||
| ORD | Call Options | Selling | 500 | 82.5 USD | American | 17 May 2014 | 1.0000 USD | ||||||||
| ORD | Call Options | Selling | 500 | 85 USD | 21 Jun 2014 | 1.0000 USD | |||||||||
| ORD | Call Options | Selling | 500 | 85 USD | American | 21 Jun 2014 | 1.2500 USD | ||||||||
| ORD | Call Options | Selling | 100 | 90 USD | American | 19 Jul 2014 | 0.6300 USD | ||||||||
| ORD | Put Options | Purchasing | 125,000 | 72.5 USD | American | 19 Jul 2014 | 1.0980 USD | ||||||||
| ORD | Put Options | Purchasing | 135,500 | 75 USD | American | 19 Jul 2014 | 1.4668 USD | ||||||||
| ORD | Put Options | Purchasing | 1,000 | 80 USD | American | 17 May 2014 | 0.9250 USD | ||||||||
| ORD | Put Options | Purchasing | 5,300 | 80 USD | American | 19 Jul 2014 | 2.9820 USD | ||||||||
| ORD | Put Options | Purchasing | 4,600 | 85 USD | American | 18 Oct 2014 | 6.7000 USD | ||||||||
| ORD | Put Options | Selling | 19,100 | 72.5 USD | American | 19 Jul 2014 | 1.1000 USD | ||||||||
| ORD | Put Options | Selling | 1,000 | 75 USD | American | 19 Jul 2014 | 1.5000 USD | ||||||||
| ORD | Put Options | Selling | 170,400 | 80 USD | American | 17 May 2014 | 0.8359 USD |
(ii) Exercising
| Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
(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) |
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(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
4. 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 person 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 person 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 |
(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | YES |
| Date of disclosure: | 2 May 2014 | |
| Contact name: | Rajesh Muthanna | |
| Telephone number: | 020 3555 4634 |
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 [email protected]. 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.
143221.01
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the “Code”)
1. KEY INFORMATION
| Identity of the person whose positions/dealings | Barclays PLC. | |
| are being disclosed: | ||
| Name of offeror/offeree in relation to whose | ASTRAZENECA PLC | |
| relevant securities this from relates: |
2. OPTIONS AND DERIVATIVES
| Class | Product | Writing, | Number | Exercise | Type | Expiry | |||||||
| of | description | purchasing, | of | price | date | ||||||||
| relevant | selling, | securities | per unit | ||||||||||
| security | varying etc | to which | |||||||||||
| option | |||||||||||||
| relates | |||||||||||||
| ORD | Futures | Selling | -150,000 | 2.4600 | 18 Dec 2015 | ||||||||
| ORD | Futures | Selling | -69,000 | 3418.3728 | 16 May 2014 | ||||||||
| ORD | Futures | Purchased | 21,000 | 3749.5637 | 18 Jul 2014 | ||||||||
| ORD | Call Options | Purchased | 150,000 | 4200.0000 | American | 20 Jun 2014 | |||||||
| ORD | Call Options | Written | -150,000 | 4200.0000 | American | 19 Sep 2014 | |||||||
| ORD | Call Options | Written | -7,000 | 4400.0000 | American | 20 Jun 2014 | |||||||
| ORD | Call Options | Written | -45,000 | 4500.0000 | American | 20 Jun 2014 | |||||||
| ORD | Put Options | Purchased | -100 | 25.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -400 | 30.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -1,300 | 30.0000 | American | 15 Jan 2016 | |||||||
| ORD | Put Options | Purchased | -700 | 35.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -1,100 | 37.5000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -1,100 | 40.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -200 | 42.5000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -6,200 | 47.5000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -100 | 50.0000 | American | 15 Jan 2016 | |||||||
| ORD | Put Options | Purchased | -400 | 55.0000 | American | 15 Jan 2016 | |||||||
| ORD | Put Options | Purchased | -100 | 60.0000 | American | 21 Jun 2014 | |||||||
| ORD | Put Options | Purchased | -600 | 60.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Purchased | -700 | 65.0000 | American | 21 Jun 2014 | |||||||
| ORD | Put Options | Purchased | -1,400 | 65.0000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Purchased | -13,500 | 67.5000 | American | 21 Jun 2014 | |||||||
| ORD | Put Options | Purchased | -1,600 | 67.5000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Purchased | -1,000 | 70.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -280,000 | 72.5000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Purchased | -800 | 75.0000 | American | 17 May 2014 | |||||||
| ORD | Put Options | Purchased | -135,500 | 75.0000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Purchased | -600 | 77.5000 | American | 17 May 2014 | |||||||
| ORD | Put Options | Purchased | -3,000 | 80.0000 | American | 16 May 2014 | |||||||
| ORD | Put Options | Purchased | -10,400 | 80.0000 | American | 17 May 2014 | |||||||
| ORD | Put Options | Purchased | -3,000 | 80.0000 | American | 20 Jun 2014 | |||||||
| ORD | Put Options | Purchased | -1,000 | 80.0000 | American | 21 Jun 2014 | |||||||
| ORD | Put Options | Purchased | -1,343 | 80.0000 | American | 18 Jul 2014 | |||||||
| ORD | Put Options | Purchased | -5,300 | 80.0000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Purchased | -4,600 | 85.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 600 | 35.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 300 | 35.0000 | American | 15 Jan 2016 | |||||||
| ORD | Put Options | Written | 1,500 | 40.0000 | American | 15 Jan 2016 | |||||||
| ORD | Put Options | Written | 2,000 | 45.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 100 | 47.5000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 300 | 50.0000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Written | 300 | 52.5000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 2,400 | 55.0000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Written | 200 | 55.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 400 | 57.5000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Written | 1,500 | 57.5000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 1,800 | 60.0000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Written | 6,400 | 60.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 5,000 | 62.5000 | American | 21 Jun 2014 | |||||||
| ORD | Put Options | Written | 7,000 | 62.5000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 2,500 | 65.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 5,300 | 65.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 4,500 | 67.5000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 2,100 | 70.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 100 | 72.5000 | American | 17 May 2014 | |||||||
| ORD | Put Options | Written | 19,100 | 72.5000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Written | 4,700 | 75.0000 | American | 21 Jun 2014 | |||||||
| ORD | Put Options | Written | 3,000 | 75.0000 | American | 18 Jul 2014 | |||||||
| ORD | Put Options | Written | 1,200 | 75.0000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Written | 3,235 | 77.5000 | American | 18 Jul 2014 | |||||||
| ORD | Put Options | Written | 3,900 | 77.5000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Written | 3,226 | 80.0000 | American | 16 May 2014 | |||||||
| ORD | Put Options | Written | 256,900 | 80.0000 | American | 17 May 2014 | |||||||
| ORD | Put Options | Written | 52,700 | 80.0000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Purchased | 3,000 | 55.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 200 | 60.0000 | American | 15 Jan 2016 | |||||||
| ORD | Call Options | Purchased | 500 | 62.5000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Purchased | 300 | 65.0000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Purchased | 1,400 | 65.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 400 | 67.5000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Purchased | 198,200 | 67.5000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Purchased | 10,000 | 67.5000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Purchased | 13,800 | 70.0000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Purchased | 10,400 | 70.0000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Purchased | 100 | 70.0000 | American | 15 Jan 2016 | |||||||
| ORD | Call Options | Purchased | 1,000 | 75.0000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Purchased | 2,400 | 75.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 500 | 77.5000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Purchased | 5,400 | 80.0000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Purchased | 3,000 | 80.0000 | American | 20 Jun 2014 | |||||||
| ORD | Call Options | Purchased | 5,000 | 80.0000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Purchased | 1,343 | 80.0000 | American | 18 Jul 2014 | |||||||
| ORD | Call Options | Purchased | 6,500 | 85.0000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Purchased | 6,400 | 85.0000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Purchased | 2,700 | 85.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Purchased | 4,000 | 85.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 12,700 | 90.0000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Purchased | 600 | 90.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 8,700 | 95.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -300 | 52.5000 | American | 15 Jan 2016 | |||||||
| ORD | Call Options | Written | -200 | 57.5000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -800 | 60.0000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Written | -3,000 | 60.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -1,500 | 62.5000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -13,500 | 65.0000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Written | -400 | 65.0000 | American | 15 Jan 2016 | |||||||
| ORD | Call Options | Written | -500 | 67.5000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Written | -100 | 67.5000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -500 | 67.5000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -1,000 | 70.0000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Written | -2,100 | 70.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -7,900 | 70.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -500 | 72.5000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Written | -3,600 | 72.5000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Written | -7,400 | 72.5000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Written | -2,200 | 72.5000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -10,200 | 75.0000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Written | -3,600 | 75.0000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Written | -1,000 | 75.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -6,500 | 77.5000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Written | -2,000 | 77.5000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -8,100 | 80.0000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Written | -9,500 | 80.0000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Written | -111,100 | 80.0000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Written | -400 | 80.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -5,700 | 80.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -1,000 | 80.0000 | American | 15 Jan 2016 | |||||||
| ORD | Call Options | Written | -301,800 | 82.5000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Written | -22,900 | 85.0000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Written | -155,000 | 85.0000 | American | 19 Jul 2014 |
3. AGREEMENTS TO PURCHASE OR SELL ETC.
| Full details should be given so that the nature of the interest or position can be fully understood: |
It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to contracts for differences (“CFDs”) or spread bets.
The currency of all prices and other monetary amounts should be stated.
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.
Copyright Business Wire 2014
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