13th May 2014 11:38
FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | (GS) GOLDMAN, SACHS & CO. |
(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 position held/dealing undertaken: | 12 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? | NO |
2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
(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:
| USD 0.25 ordinary and ADRs | |||
Interests | Short positions | |||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 0 | 0.00 | 258,107 | 0.02 |
(2) Derivatives (other than options): | 5,580 | 0.00 | 5,420 | 0.00 |
(3) Options and agreements to purchase/sell: | 2,186,000 | 0.17 | 547,600 | 0.04 |
TOTAL: | 2,191,580 | 0.17 | 811,127 | 0.06 |
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(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security | Purchase/sale
| Number of securities | Price per unit |
ADR | Purchase | 200 | 77.6400 USD |
ADR | Purchase | 200 | 77.6400 USD |
ADR | Purchase | 300 | 77.6700 USD |
ADR | Purchase | 200 | 77.6700 USD |
ADR | Purchase | 100 | 77.6700 USD |
ADR | Purchase | 100 | 77.6700 USD |
ADR | Purchase | 100 | 77.6700 USD |
ADR | Purchase | 100 | 77.7500 USD |
ADR | Purchase | 500 | 77.7700 USD |
ADR | Purchase | 96 | 77.7700 USD |
ADR | Purchase | 200 | 77.8300 USD |
ADR | Purchase | 300 | 77.8300 USD |
ADR | Purchase | 100 | 77.8300 USD |
ADR | Purchase | 100 | 77.8300 USD |
ADR | Purchase | 1,000 | 77.8400 USD |
ADR | Purchase | 100 | 77.8400 USD |
ADR | Purchase | 200 | 77.8400 USD |
ADR | Purchase | 100 | 77.8400 USD |
ADR | Purchase | 100 | 77.8400 USD |
ADR | Purchase | 200 | 77.8500 USD |
ADR | Purchase | 200 | 77.8500 USD |
ADR | Purchase | 300 | 77.8500 USD |
ADR | Purchase | 138 | 77.8600 USD |
ADR | Purchase | 100 | 77.8600 USD |
ADR | Purchase | 100 | 77.8600 USD |
ADR | Purchase | 71 | 77.8700 USD |
ADR | Purchase | 71 | 77.8700 USD |
ADR | Purchase | 55 | 77.8700 USD |
ADR | Purchase | 75 | 77.8700 USD |
ADR | Purchase | 71 | 77.8700 USD |
ADR | Purchase | 71 | 77.8700 USD |
ADR | Purchase | 71 | 77.8700 USD |
ADR | Purchase | 71 | 77.8700 USD |
ADR | Purchase | 71 | 77.8700 USD |
ADR | Purchase | 10 | 77.8900 USD |
ADR | Purchase | 52 | 77.8900 USD |
ADR | Purchase | 49 | 77.8900 USD |
ADR | Purchase | 100 | 77.8900 USD |
ADR | Purchase | 300 | 77.9000 USD |
ADR | Purchase | 400 | 77.9100 USD |
ADR | Purchase | 100 | 77.9100 USD |
ADR | Purchase | 100 | 77.9300 USD |
ADR | Purchase | 100 | 77.9500 USD |
ADR | Purchase | 100 | 77.9600 USD |
ADR | Purchase | 500 | 77.9900 USD |
ADR | Purchase | 300 | 78.0300 USD |
ADR | Sale | 200 | 77.5900 USD |
ADR | Sale | 100 | 77.5900 USD |
ADR | Sale | 700 | 77.7100 USD |
ADR | Sale | 100 | 77.7700 USD |
ADR | Sale | 500 | 77.7800 USD |
ADR | Sale | 100 | 77.8000 USD |
ADR | Sale | 300 | 77.8000 USD |
ADR | Sale | 300 | 77.8300 USD |
ADR | Sale | 100 | 77.8400 USD |
ADR | Sale | 400 | 77.8400 USD |
ADR | Sale | 500 | 77.8500 USD |
ADR | Sale | 100 | 77.8600 USD |
ADR | Sale | 200 | 77.8600 USD |
ADR | Sale | 100 | 77.8600 USD |
ADR | Sale | 7 | 77.8600 USD |
ADR | Sale | 91 | 77.8600 USD |
ADR | Sale | 200 | 77.8700 USD |
ADR | Sale | 100 | 77.8700 USD |
ADR | Sale | 39 | 77.8800 USD |
ADR | Sale | 100 | 77.8800 USD |
ADR | Sale | 100 | 77.8800 USD |
ADR | Sale | 400 | 77.8800 USD |
ADR | Sale | 100 | 77.8800 USD |
ADR | Sale | 100 | 77.8800 USD |
ADR | Sale | 100 | 77.8800 USD |
ADR | Sale | 200 | 77.8900 USD |
ADR | Sale | 100 | 77.8900 USD |
ADR | Sale | 300 | 77.8900 USD |
ADR | Sale | 100 | 77.9000 USD |
ADR | Sale | 300 | 77.9000 USD |
ADR | Sale | 200 | 77.9000 USD |
ADR | Sale | 100 | 77.9000 USD |
ADR | Sale | 189 | 77.9000 USD |
ADR | Sale | 100 | 77.9100 USD |
ADR | Sale | 98 | 77.9200 USD |
ADR | Sale | 100 | 77.9500 USD |
ADR | Sale | 100 | 77.9500 USD |
ADR | Sale | 100 | 78.0000 USD |
ADR | Sale | 300 | 78.0000 USD |
ADR | Sale | 237 | 78.0500 USD |
ADR | Sale | 100 | 78.0900 USD |
ADR | Sale | 100 | 78.1000 USD |
ADR | Sale | 100 | 78.1000 USD |
Class of relevant security | Purchases/sales | Total number of securities |
ADR | Purchases | 7,872 |
ADR | Sales | 7,861 |
(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 |
ADR | CFD | Opening a short position | 5,420 | 77.7800 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 |
(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(b), 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 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
|
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? | YES |
| Date of disclosure: | 13 May 2014 |
| Contact name: | Helen-Marie Moloney and Christopher Owers |
| Telephone number: | +44(20) 7774 8019 / +44(20) 7552 1461 |
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, AGREEMENT 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 open positions are being disclosed: | (GS) GOLDMAN, SACHS & CO. |
Name of offeror/offeree in relation to whose relevant securities disclosure relates: | ASTRAZENECA PLC |
2. OPTIONS AND DERIVATIVES
Class of relevant security | Product description e.g. call option | Written or purchased | Number of securities to which option or derivative relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date |
USD 0.25 ordinary | Call Option | Purchased | 800 | 67.5000 USD | AMER | 21/06/2014 |
USD 0.25 ordinary | Call Option | Sold | 2,400 | 75.0000 USD | AMER | 21/06/2014 |
USD 0.25 ordinary | Call Option | Purchased | 15,400 | 72.5000 USD | AMER | 21/06/2014 |
USD 0.25 ordinary | Call Option | Sold | 15,800 | 62.5000 USD | AMER | 19/07/2014 |
USD 0.25 ordinary | Call Option | Purchased | 16,600 | 70.0000 USD | AMER | 17/01/2015 |
USD 0.25 ordinary | Call Option | Sold | 39,400 | 67.5000 USD | AMER | 17/05/2014 |
USD 0.25 ordinary | Call Option | Purchased | 43,200 | 70.0000 USD | AMER | 19/07/2014 |
USD 0.25 ordinary | Call Option | Sold | 100,000 | 70.0000 USD | AMER | 17/01/2015 |
USD 0.25 ordinary | Call Option | Purchased | 100,000 | 75.0000 USD | AMER | 19/07/2014 |
USD 0.25 ordinary | Call Option | Purchased | 100,000 | 77.5000 USD | AMER | 19/07/2014 |
USD 0.25 ordinary | Call Option | Purchased | 100,000 | 80.0000 USD | AMER | 17/01/2015 |
USD 0.25 ordinary | Call Option | Purchased | 138,300 | 70.0000 USD | AMER | 21/06/2014 |
USD 0.25 ordinary | Call Option | Purchased | 153,900 | 80.0000 USD | AMER | 19/07/2014 |
USD 0.25 ordinary | Call Option | Purchased | 165,100 | 60.0000 USD | AMER | 17/01/2015 |
USD 0.25 ordinary | Call Option | Sold | 200,000 | 40.0000 GBP | AMER | 20/06/2014 |
USD 0.25 ordinary | Call Option | Purchased | 200,000 | 40.0000 GBP | AMER | 20/06/2014 |
USD 0.25 ordinary | Call Option | Purchased | 200,000 | 40.0000 GBP | AMER | 20/06/2014 |
USD 0.25 ordinary | Call Option | Purchased | 237,800 | 65.0000 USD | AMER | 19/07/2014 |
USD 0.25 ordinary | Call Option | Purchased | 338,800 | 70.0000 USD | AMER | 19/07/2014 |
USD 0.25 ordinary | Put Option | Purchased | 25,000 | 38.0000 GBP | EURO | 16/05/2014 |
USD 0.25 ordinary | Put Option | Purchased | 25,000 | 38.0000 GBP | EURO | 20/06/2014 |
USD 0.25 ordinary | Put Option | Purchased | 40,000 | 65.0000 USD | AMER | 17/05/2014 |
USD 0.25 ordinary | Put Option | Sold | 48,000 | 62.5000 USD | AMER | 17/05/2014 |
USD 0.25 ordinary | Put Option | Sold | 50,000 | 70.0000 USD | AMER | 17/05/2014 |
USD 0.25 ordinary | Put Option | Sold | 85,600 | 65.0000 USD | AMER | 17/05/2014 |
USD 0.25 ordinary | Put Option | Sold | 92,500 | 62.5000 USD | AMER | 21/06/2014 |
USD 0.25 ordinary | Put Option | Purchased | 100,000 | 40.0000 GBP | AMER | 16/05/2014 |
USD 0.25 ordinary | Put Option | Sold | 100,000 | 67.5000 USD | AMER | 17/05/2014 |
USD 0.25 ordinary | Swap | Purchased | 160 | 0.0000 | N/A | 08/04/2015 |
3. AGREEMENTS TO PURCHASE OR SELL
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 Supplement form (Open Positions) with regard to contracts for differences ("CFD") or spread bets
The currency of all pieces 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.
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