7th May 2014 13:39
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: | 6 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: | 14,671,836 | 1.16% | 4,191,760 | 0.33% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 781,991 | 0.06% | 8,306,398 | 0.66% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 1,153,840 | 0.09% | 1,800,143 | 0.14% | |||||||
| (4) | TOTAL: | ||||||||||
| 16,607,667 | 1.31% | 14,298,301 | 1.13% |
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 | 2 | 47.1175 GBP | ||||
| ORD | Purchase | 3 | 46.9505 GBP | ||||
| ORD | Purchase | 4 | 46.8875 GBP | ||||
| ORD | Purchase | 8 | 46.9100 GBP | ||||
| ORD | Purchase | 27 | 46.9150 GBP | ||||
| ORD | Purchase | 34 | 46.8830 GBP | ||||
| ORD | Purchase | 39 | 47.1050 GBP | ||||
| ORD | Purchase | 39 | 47.1095 GBP | ||||
| ORD | Purchase | 39 | 47.1100 GBP | ||||
| ORD | Purchase | 47 | 47.2200 GBP | ||||
| ORD | Purchase | 48 | 46.9450 GBP | ||||
| ORD | Purchase | 49 | 47.1450 GBP | ||||
| ORD | Purchase | 49 | 47.2300 GBP | ||||
| ORD | Purchase | 49 | 47.2325 GBP | ||||
| ORD | Purchase | 53 | 46.9050 GBP | ||||
| ORD | Purchase | 55 | 47.4400 GBP | ||||
| ORD | Purchase | 58 | 46.9400 GBP | ||||
| ORD | Purchase | 60 | 47.3200 GBP | ||||
| ORD | Purchase | 63 | 46.8775 GBP | ||||
| ORD | Purchase | 64 | 47.2550 GBP | ||||
| ORD | Purchase | 67 | 46.8600 GBP | ||||
| ORD | Purchase | 68 | 46.9300 GBP | ||||
| ORD | Purchase | 68 | 46.9350 GBP | ||||
| ORD | Purchase | 70 | 46.6975 GBP | ||||
| ORD | Purchase | 70 | 47.2375 GBP | ||||
| ORD (traded as ADR) | Purchase | 86 | 79.3600 USD | ||||
| ORD | Purchase | 94 | 47.2850 GBP | ||||
| ORD | Purchase | 94 | 47.3350 GBP | ||||
| ORD | Purchase | 95 | 46.8150 GBP | ||||
| ORD | Purchase | 97 | 46.8180 GBP | ||||
| ORD | Purchase | 98 | 47.3500 GBP | ||||
| ORD | Purchase | 102 | 46.7758 GBP | ||||
| ORD | Purchase | 112 | 46.8750 GBP | ||||
| ORD | Purchase | 112 | 46.8770 GBP | ||||
| ORD (traded as ADR) | Purchase | 115 | TRANSFER | ||||
| ORD | Purchase | 121 | 46.8980 GBP | ||||
| ORD | Purchase | 123 | 46.8995 GBP | ||||
| ORD | Purchase | 128 | 46.7480 GBP | ||||
| ORD | Purchase | 136 | 46.9395 GBP | ||||
| ORD | Purchase | 145 | 46.7855 GBP | ||||
| ORD | Purchase | 149 | 46.8200 GBP | ||||
| ORD | Purchase | 152 | 46.7600 GBP | ||||
| ORD | Purchase | 163 | 46.9500 GBP | ||||
| ORD | Purchase | 166 | 46.9550 GBP | ||||
| ORD | Purchase | 171 | 46.6775 GBP | ||||
| ORD | Purchase | 171 | 46.7000 GBP | ||||
| ORD | Purchase | 171 | 46.7300 GBP | ||||
| ORD | Purchase | 175 | 46.7975 GBP | ||||
| ORD | Purchase | 183 | 46.7350 GBP | ||||
| ORD | Purchase | 200 | 517.5000 SEK | ||||
| ORD | Purchase | 200 | 518.0000 SEK | ||||
| ORD | Purchase | 200 | 520.0000 SEK | ||||
| ORD | Purchase | 202 | 46.7875 GBP | ||||
| ORD | Purchase | 204 | 46.9380 GBP | ||||
| ORD | Purchase | 215 | 46.6050 GBP | ||||
| ORD | Purchase | 223 | 46.7400 GBP | ||||
| ORD | Purchase | 223 | 46.8000 GBP | ||||
| ORD | Purchase | 242 | 46.7805 GBP | ||||
| ORD | Purchase | 279 | 47.1700 GBP | ||||
| ORD | Purchase | 295 | 46.6750 GBP | ||||
| ORD | Purchase | 300 | 47.1150 GBP | ||||
| ORD | Purchase | 302 | 47.2500 GBP | ||||
| ORD | Purchase | 312 | 46.8500 GBP | ||||
| ORD | Purchase | 329 | 46.8950 GBP | ||||
| ORD | Purchase | 351 | 47.1850 GBP | ||||
| ORD | Purchase | 390 | 46.7825 GBP | ||||
| ORD | Purchase | 465 | 46.6800 GBP | ||||
| ORD | Purchase | 478 | 46.7700 GBP | ||||
| ORD | Purchase | 500 | 47.0700 GBP | ||||
| ORD | Purchase | 505 | 46.7150 GBP | ||||
| ORD | Purchase | 511 | 46.8450 GBP | ||||
| ORD | Purchase | 540 | 46.9650 GBP | ||||
| ORD | Purchase | 564 | 517.0387 SEK | ||||
| ORD | Purchase | 579 | 515.5000 SEK | ||||
| ORD | Purchase | 650 | 47.2700 GBP | ||||
| ORD | Purchase | 659 | 46.7200 GBP | ||||
| ORD | Purchase | 668 | 517.2994 SEK | ||||
| ORD | Purchase | 793 | 46.7950 GBP | ||||
| ORD | Purchase | 834 | 46.6850 GBP | ||||
| ORD | Purchase | 929 | 46.7900 GBP | ||||
| ORD | Purchase | 980 | 46.6500 GBP | ||||
| ORD | Purchase | 1,035 | 46.7800 GBP | ||||
| ORD | Purchase | 1,040 | 517.3490 SEK | ||||
| ORD | Purchase | 1,076 | 46.9000 GBP | ||||
| ORD | Purchase | 1,104 | 46.8447 GBP | ||||
| ORD | Purchase | 1,128 | 46.7588 GBP | ||||
| ORD | Purchase | 1,144 | 517.0000 SEK | ||||
| ORD | Purchase | 1,243 | 46.6950 GBP | ||||
| ORD | Purchase | 1,283 | 516.7759 SEK | ||||
| ORD | Purchase | 1,309 | 46.9600 GBP | ||||
| ORD | Purchase | 1,639 | 46.7850 GBP | ||||
| ORD | Purchase | 1,650 | 46.8089 GBP | ||||
| ORD | Purchase | 1,669 | 46.7500 GBP | ||||
| ORD | Purchase | 1,839 | 46.6900 GBP | ||||
| ORD | Purchase | 2,000 | 47.2838 GBP | ||||
| ORD | Purchase | 2,025 | 46.9257 GBP | ||||
| ORD | Purchase | 2,032 | 46.8850 GBP | ||||
| ORD | Purchase | 2,123 | 516.0000 SEK | ||||
| ORD | Purchase | 2,316 | 46.7450 GBP | ||||
| ORD | Purchase | 2,316 | 516.3750 SEK | ||||
| ORD | Purchase | 3,021 | 47.2885 GBP | ||||
| ORD | Purchase | 3,281 | 516.5000 SEK | ||||
| ORD | Purchase | 3,721 | 517.5697 SEK | ||||
| ORD | Purchase | 4,060 | 516.2402 SEK | ||||
| ORD | Purchase | 4,326 | 46.8900 GBP | ||||
| ORD | Purchase | 5,000 | 46.8700 GBP | ||||
| ORD | Purchase | 5,100 | 47.1667 GBP | ||||
| ORD | Purchase | 5,577 | 46.7650 GBP | ||||
| ORD | Purchase | 5,647 | 519.2025 SEK | ||||
| ORD | Purchase | 6,000 | 47.1202 GBP | ||||
| ORD | Purchase | 6,223 | 47.1216 GBP | ||||
| ORD (traded as ADR) | Purchase | 7,489 | 79.7682 USD | ||||
| ORD | Purchase | 8,738 | 520.7189 SEK | ||||
| ORD | Purchase | 10,557 | 47.2373 GBP | ||||
| ORD | Purchase | 10,608 | 46.7648 GBP | ||||
| ORD | Purchase | 11,647 | 46.8237 GBP | ||||
| ORD | Purchase | 12,368 | 47.1686 GBP | ||||
| ORD (traded as ADR) | Purchase | 16,312 | 79.3055 USD | ||||
| ORD (traded as ADR) | Purchase | 16,700 | 79.3559 USD | ||||
| ORD | Purchase | 18,102 | 46.9175 GBP | ||||
| ORD | Purchase | 20,279 | 46.9109 GBP | ||||
| ORD | Purchase | 21,235 | 47.2051 GBP | ||||
| ORD | Purchase | 27,151 | 46.7956 GBP | ||||
| ORD | Purchase | 30,000 | 46.9534 GBP | ||||
| ORD | Purchase | 42,492 | 46.8812 GBP | ||||
| ORD | Purchase | 43,335 | 46.8591 GBP | ||||
| ORD | Purchase | 55,301 | 46.8291 GBP | ||||
| ORD | Purchase | 66,258 | 47.2256 GBP | ||||
| ORD | Purchase | 67,259 | 46.8802 GBP | ||||
| ORD | Purchase | 130,647 | 46.9194 GBP | ||||
| ORD | Purchase | 200,081 | 46.7750 GBP | ||||
| ORD | Purchase | 230,981 | 46.9327 GBP | ||||
| ORD | Purchase | 615,000 | 48.2436 GBP | ||||
| ORD | Sale | 2 | 47.1175 GBP | ||||
| ORD | Sale | 3 | 46.9505 GBP | ||||
| ORD | Sale | 4 | 46.8875 GBP | ||||
| ORD | Sale | 27 | 46.9150 GBP | ||||
| ORD | Sale | 34 | 46.8830 GBP | ||||
| ORD | Sale | 39 | 47.1050 GBP | ||||
| ORD | Sale | 39 | 47.1095 GBP | ||||
| ORD | Sale | 39 | 47.1100 GBP | ||||
| ORD | Sale | 46 | 46.8775 GBP | ||||
| ORD | Sale | 47 | 47.2200 GBP | ||||
| ORD | Sale | 48 | 46.7725 GBP | ||||
| ORD | Sale | 48 | 46.9450 GBP | ||||
| ORD | Sale | 49 | 47.1450 GBP | ||||
| ORD | Sale | 49 | 47.2300 GBP | ||||
| ORD | Sale | 49 | 47.2325 GBP | ||||
| ORD | Sale | 53 | 46.9050 GBP | ||||
| ORD | Sale | 55 | 47.4400 GBP | ||||
| ORD | Sale | 58 | 46.9400 GBP | ||||
| ORD | Sale | 59 | 46.7350 GBP | ||||
| ORD | Sale | 60 | 47.3200 GBP | ||||
| ORD | Sale | 64 | 47.2550 GBP | ||||
| ORD | Sale | 67 | 46.8600 GBP | ||||
| ORD | Sale | 68 | 46.9300 GBP | ||||
| ORD | Sale | 68 | 46.9350 GBP | ||||
| ORD | Sale | 70 | 46.6975 GBP | ||||
| ORD | Sale | 70 | 47.2375 GBP | ||||
| ORD (traded as ADR) | Sale | 86 | 79.0000 USD | ||||
| ORD (traded as ADR) | Sale | 86 | 79.3600 USD | ||||
| ORD | Sale | 94 | 47.2850 GBP | ||||
| ORD | Sale | 94 | 47.3350 GBP | ||||
| ORD | Sale | 95 | 46.8150 GBP | ||||
| ORD | Sale | 97 | 46.8180 GBP | ||||
| ORD | Sale | 112 | 46.8750 GBP | ||||
| ORD | Sale | 112 | 46.8770 GBP | ||||
| ORD (traded as ADR) | Sale | 115 | TRANSFER | ||||
| ORD | Sale | 121 | 46.8980 GBP | ||||
| ORD | Sale | 123 | 46.8995 GBP | ||||
| ORD | Sale | 124 | 46.7400 GBP | ||||
| ORD | Sale | 124 | 47.2864 GBP | ||||
| ORD | Sale | 128 | 46.7480 GBP | ||||
| ORD | Sale | 136 | 46.9395 GBP | ||||
| ORD | Sale | 145 | 46.7855 GBP | ||||
| ORD | Sale | 152 | 46.7600 GBP | ||||
| ORD | Sale | 163 | 46.9500 GBP | ||||
| ORD | Sale | 166 | 46.9550 GBP | ||||
| ORD | Sale | 170 | 47.1822 GBP | ||||
| ORD | Sale | 171 | 46.6775 GBP | ||||
| ORD | Sale | 171 | 46.7000 GBP | ||||
| ORD | Sale | 171 | 46.7300 GBP | ||||
| ORD | Sale | 175 | 46.7173 GBP | ||||
| ORD | Sale | 175 | 46.7975 GBP | ||||
| ORD | Sale | 193 | 517.0000 SEK | ||||
| ORD | Sale | 200 | 46.9013 GBP | ||||
| ORD | Sale | 200 | 517.5000 SEK | ||||
| ORD | Sale | 202 | 46.7875 GBP | ||||
| ORD | Sale | 215 | 46.6050 GBP | ||||
| ORD | Sale | 223 | 46.8000 GBP | ||||
| ORD | Sale | 242 | 46.7805 GBP | ||||
| ORD | Sale | 256 | 46.8200 GBP | ||||
| ORD | Sale | 275 | 47.2772 GBP | ||||
| ORD | Sale | 279 | 47.1700 GBP | ||||
| ORD | Sale | 292 | 46.7825 GBP | ||||
| ORD | Sale | 295 | 46.6750 GBP | ||||
| ORD | Sale | 302 | 47.2500 GBP | ||||
| ORD | Sale | 312 | 46.8500 GBP | ||||
| ORD | Sale | 329 | 46.8950 GBP | ||||
| ORD | Sale | 341 | 47.3528 GBP | ||||
| ORD | Sale | 351 | 47.1850 GBP | ||||
| ORD | Sale | 428 | 46.9000 GBP | ||||
| ORD | Sale | 465 | 46.6800 GBP | ||||
| ORD | Sale | 478 | 46.7700 GBP | ||||
| ORD | Sale | 505 | 46.7150 GBP | ||||
| ORD | Sale | 511 | 46.8450 GBP | ||||
| ORD | Sale | 540 | 46.9650 GBP | ||||
| ORD | Sale | 579 | 515.5000 SEK | ||||
| ORD | Sale | 586 | 516.6766 SEK | ||||
| ORD | Sale | 624 | 46.7866 GBP | ||||
| ORD | Sale | 659 | 46.7200 GBP | ||||
| ORD | Sale | 672 | 47.3500 GBP | ||||
| ORD | Sale | 747 | 46.7650 GBP | ||||
| ORD | Sale | 793 | 46.7950 GBP | ||||
| ORD | Sale | 834 | 46.6850 GBP | ||||
| ORD | Sale | 851 | 46.8900 GBP | ||||
| ORD | Sale | 861 | 46.8850 GBP | ||||
| ORD | Sale | 923 | 518.3017 SEK | ||||
| ORD | Sale | 929 | 46.7900 GBP | ||||
| ORD | Sale | 980 | 46.6500 GBP | ||||
| ORD | Sale | 1,084 | 521.7352 SEK | ||||
| ORD | Sale | 1,243 | 46.6950 GBP | ||||
| ORD | Sale | 1,309 | 46.9600 GBP | ||||
| ORD | Sale | 1,499 | 46.7500 GBP | ||||
| ORD | Sale | 1,639 | 46.7850 GBP | ||||
| ORD | Sale | 1,839 | 46.6900 GBP | ||||
| ORD | Sale | 1,883 | 518.0000 SEK | ||||
| ORD | Sale | 1,902 | 46.8889 GBP | ||||
| ORD | Sale | 1,930 | 516.4000 SEK | ||||
| ORD | Sale | 2,019 | 46.7450 GBP | ||||
| ORD | Sale | 2,123 | 516.0000 SEK | ||||
| ORD | Sale | 2,227 | 47.0703 GBP | ||||
| ORD | Sale | 2,325 | 47.0807 GBP | ||||
| ORD | Sale | 2,399 | 47.1657 GBP | ||||
| ORD | Sale | 2,735 | 47.1258 GBP | ||||
| ORD | Sale | 3,000 | 46.7311 GBP | ||||
| ORD | Sale | 3,151 | 519.5149 SEK | ||||
| ORD | Sale | 3,165 | 46.9322 GBP | ||||
| ORD | Sale | 3,611 | 516.5000 SEK | ||||
| ORD | Sale | 3,860 | 516.1750 SEK | ||||
| ORD | Sale | 4,000 | 517.2500 SEK | ||||
| ORD | Sale | 4,176 | 46.8623 GBP | ||||
| ORD | Sale | 4,594 | 519.6124 SEK | ||||
| ORD | Sale | 4,696 | 47.0152 GBP | ||||
| ORD | Sale | 7,058 | 47.1582 GBP | ||||
| ORD | Sale | 7,307 | 47.0336 GBP | ||||
| ORD (traded as ADR) | Sale | 7,489 | 79.7682 USD | ||||
| ORD | Sale | 7,516 | 519.2892 SEK | ||||
| ORD | Sale | 9,120 | 47.0905 GBP | ||||
| ORD | Sale | 10,268 | 46.7776 GBP | ||||
| ORD | Sale | 11,689 | 47.2051 GBP | ||||
| ORD (traded as ADR) | Sale | 16,312 | 79.3055 USD | ||||
| ORD | Sale | 18,096 | 47.2098 GBP | ||||
| ORD | Sale | 25,630 | 46.7750 GBP | ||||
| ORD | Sale | 25,777 | 46.7800 GBP | ||||
| ORD | Sale | 30,465 | 46.8079 GBP | ||||
| ORD | Sale | 50,907 | 46.8866 GBP | ||||
| ORD | Sale | 77,642 | 46.8697 GBP | ||||
| ORD | Sale | 83,209 | 46.8842 GBP | ||||
| ORD | Sale | 91,198 | 46.9771 GBP | ||||
| ORD | Sale | 120,000 | 46.7282 GBP | ||||
| ORD | Sale | 151,836 | 46.9024 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 | 109 | 46.8444 GBP | |||||
| ORD | SWAP | Long | 643 | 47.4905 GBP | |||||
| ORD | CFD | Long | 1,467 | 47.0968 GBP | |||||
| ORD | SWAP | Long | 2,399 | 47.1657 GBP | |||||
| ORD | CFD | Long | 3,000 | 46.7311 GBP | |||||
| ORD | SWAP | Long | 6,764 | 47.1783 GBP | |||||
| ORD | SWAP | Long | 17,000 | 46.7750 GBP | |||||
| ORD | CFD | Long | 20,312 | 46.7348 GBP | |||||
| ORD | CFD | Long | 13,619 | 46.7108 GBP | |||||
| ORD | SWAP | Short | 649 | 47.5552 GBP | |||||
| ORD | CFD | Short | 2,000 | 46.7792 GBP | |||||
| ORD | CFD | Short | 2,805 | 47.2618 GBP | |||||
| ORD | CFD | Short | 3,021 | 47.2885 GBP | |||||
| ORD | CFD | Short | 6,527 | 47.2995 GBP | |||||
| ORD | CFD | Short | 13,130 | 47.0655 GBP | |||||
| ORD | SWAP | Short | 13,779 | 47.3549 GBP | |||||
| ORD | SWAP | Short | 30,000 | 46.9534 GBP | |||||
| ORD | CFD | Short | 25,070 | 47.2878 GBP | |||||
| ORD | CFD | Short | 200,000 | 46.7750 GBP | |||||
| ORD | SWAP | Short | 615,000 | 48.2436 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 | 100 | 82.5 USD | American | 42021 | 3.3200 USD | ||||||||
| ORD | Call Options | Purchasing | 500 | 85 USD | American | 42021 | 2.1500 USD | ||||||||
| ORD | Call Options | Selling | 500 | 70 USD | American | 41811 | 10.5000 USD | ||||||||
| ORD | Call Options | Selling | 100 | 77.5 USD | American | 42021 | 6.2900 USD | ||||||||
| ORD | Call Options | Selling | 62,800 | 87.5 USD | American | 41811 | 0.6171 USD | ||||||||
| ORD | Call Options | Selling | 191,600 | 87.5 USD | American | 41811 | 0.7000 USD | ||||||||
| ORD | Put Options | Selling | 1,000 | 50 USD | American | 41930 | 0.3000 USD | ||||||||
| ORD | Put Options | Selling | 1,000 | 57.5 USD | American | 41930 | 0.5500 USD | ||||||||
| ORD | Put Options | Selling | 3,700 | 75 USD | American | 42021 | 4.0000 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: | 7 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.
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 | -900 | 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 | -148,400 | 75.0000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Purchased | -1,000 | 77.5000 | American | 17 May 2014 | |||||||
| ORD | Put Options | Purchased | -7,000 | 80.0000 | American | 16 May 2014 | |||||||
| ORD | Put Options | Purchased | -13,200 | 80.0000 | American | 17 May 2014 | |||||||
| ORD | Put Options | Purchased | -3,000 | 80.0000 | American | 20 Jun 2014 | |||||||
| ORD | Put Options | Purchased | -2,000 | 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 | 1,000 | 50.0000 | American | 18 Oct 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 | 1,000 | 57.5000 | American | 18 Oct 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 | 1,000 | 62.5000 | American | 18 Oct 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 | 6,300 | 65.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 4,500 | 67.5000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 1,000 | 70.0000 | American | 21 Jun 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 | 700 | 72.5000 | American | 21 Jun 2014 | |||||||
| ORD | Put Options | Written | 19,600 | 72.5000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Written | 5,400 | 75.0000 | American | 17 May 2014 | |||||||
| ORD | Put Options | Written | 7,800 | 75.0000 | American | 21 Jun 2014 | |||||||
| ORD | Put Options | Written | 5,328 | 75.0000 | American | 18 Jul 2014 | |||||||
| ORD | Put Options | Written | 20,800 | 75.0000 | American | 19 Jul 2014 | |||||||
| ORD | Put Options | Written | 3,700 | 75.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 264,800 | 77.5000 | American | 17 May 2014 | |||||||
| ORD | Put Options | Written | 1,100 | 77.5000 | American | 21 Jun 2014 | |||||||
| ORD | Put Options | Written | 3,582 | 77.5000 | American | 18 Jul 2014 | |||||||
| ORD | Put Options | Written | 3,900 | 77.5000 | American | 19 Jul 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 | 13,400 | 70.0000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Purchased | 10,200 | 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 | 1,000 | 77.5000 | American | 16 May 2014 | |||||||
| ORD | Call Options | Purchased | 500 | 77.5000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Purchased | 896 | 80.0000 | American | 16 May 2014 | |||||||
| ORD | Call Options | Purchased | 10,200 | 80.0000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Purchased | 3,000 | 80.0000 | American | 20 Jun 2014 | |||||||
| ORD | Call Options | Purchased | 1,300 | 80.0000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Purchased | 1,343 | 80.0000 | American | 18 Jul 2014 | |||||||
| ORD | Call Options | Purchased | 500 | 82.5000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Purchased | 100 | 82.5000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 1,791 | 85.0000 | American | 16 May 2014 | |||||||
| ORD | Call Options | Purchased | 10,600 | 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 | 4,600 | 85.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 12,700 | 90.0000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Purchased | 800 | 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 | -100 | 70.0000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Written | -100 | 70.0000 | American | 19 Jul 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 | -100 | 72.5000 | American | 17 Jan 2015 | |||||||
| 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 | -15,400 | 77.5000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Written | -2,000 | 77.5000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -100 | 77.5000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -143,500 | 80.0000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Written | -9,500 | 80.0000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Written | -111,400 | 80.0000 | American | 19 Jul 2014 | |||||||
| ORD | Call Options | Written | -400 | 80.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -5,600 | 80.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -1,000 | 80.0000 | American | 15 Jan 2016 | |||||||
| ORD | Call Options | Written | -306,400 | 82.5000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Written | -1,000 | 82.5000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Written | -12,900 | 85.0000 | 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 | |||||||
| ORD | Call Options | Written | -253,400 | 87.5000 | American | 21 Jun 2014 | |||||||
| ORD | Call Options | Written | -500 | 90.0000 | American | 17 May 2014 | |||||||
| ORD | Call Options | Written | -700 | 90.0000 | American | 21 Jun 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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