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Form 8.5 (EPT/NON-RI)

9th May 2014 12:24

RNS Number : 7298G

Bank of America Merrill Lynch

09 May 2014

FORM 8.5 (EPT/NON-RI)

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY ANEXEMPT 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:

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

(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 position held/dealing undertaken:

08/05/2014

(e)	Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of anyother party to this offer?

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:

Common - US7170811035

Interests

Short Positions

Number

(1)	Relevant securities ownedand/or controlled:

5,403,847

0.08%

7,285,708

0.11 %

(2)	Derivatives (other thanoptions):

(3)	Options and agreements topurchase/sell:

12,587,300

0.20%

17,946,200

0.28 %

TOTAL:

17,991,147

0.28%

25,231,908

0.396%

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:	N/A
Details, including nature of the rights concerned and relevant percentages:	N/A

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 USD
Common - US7170811035	Purchase	1041	29.02
Common - US7170811035	Purchase	600	29.14
Common - US7170811035	Purchase	100	29.145
Common - US7170811035	Purchase	9800	29.15
Common - US7170811035	Purchase	2300	29.155
Common - US7170811035	Purchase	20300	29.16
Common - US7170811035	Purchase	1700	29.165
Common - US7170811035	Purchase	22345	29.17
Common - US7170811035	Purchase	2850	29.28
Common - US7170811035	Purchase	1900	29.3
Common US7170811035	Purchase	100	29.3025
Common US7170811035	Purchase	2500	29.305
Common US7170811035	Purchase	8096	29.31
Common US7170811035	Purchase	100	29.3125
Common US7170811035	Purchase	300	29.315
Common US7170811035	Purchase	5300	29.32
Common US7170811035	Purchase	100	29.3225
Common US7170811035	Purchase	1200	29.325
Common US7170811035	Purchase	1000	29.33
Common US7170811035	Purchase	100	29.335
Common US7170811035	Purchase	1500	29.34
Common US7170811035	Purchase	2500	31.5

Class of relevant security	Purchase/sale	Number of securities	Price per unit USD
Common - US7170811035	Sale	1041	29.02
Common - US7170811035	Sale	100	29.07
Common - US7170811035	Sale	700	29.08
Common - US7170811035	Sale	200	29.09
Common US7170811035	Sale	900	29.1
Common US7170811035	Sale	1200	29.11
Common US7170811035	Sale	1400	29.12
Common US7170811035	Sale	521870	29.1251
Common US7170811035	Sale	1400	29.13
Common US7170811035	Sale	1100	29.14
Common US7170811035	Sale	1700	29.15
Common US7170811035	Sale	1100	29.16
Common US7170811035	Sale	100	29.165
Common US7170811035	Sale	18445	29.17
Common US7170811035	Sale	100	29.18
Common US7170811035	Sale	200	29.19
Common US7170811035	Sale	100	29.22
Common US7170811035	Sale	200	29.23
Common US7170811035	Sale	100	29.26
Common US7170811035	Sale	100	29.27
Common US7170811035	Sale	100	29.28
Common US7170811035	Sale	100	29.29
Common US7170811035	Sale	100	29.31
Common US7170811035	Sale	100	29.32
Common US7170811035	Sale	200	29.35
Common US7170811035	Sale	100	29.36
Common US7170811035	Sale	300	29.38
Common US7170811035	Sale	400	29.39
Common US7170811035	Sale	512	29.4
Common US7170811035	Sale	587	29.41
Common US7170811035	Sale	1013	29.42
Common US7170811035	Sale	200	29.43

(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 USD
Common - ISIN US7170811035	Swaps	Long	276,478	29.12473
Common - ISIN US7170811035	Swaps	Long	141,018	29.12133
Common - ISIN US7170811035	Swaps	Long	69,120	29.12473
Common - ISIN US7170811035	Swaps	Long	35,254	29.12133
Common - ISIN US7170811035	Swaps	Short	46	29.313

(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 USD	Typee.g. American, European etc.	Expiry date	Option money paid/ received per unit USD
Common - ISIN US7170811035	Call Option	Selling	3000	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	100	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	2600	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	7500	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	100	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	1600	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	1000	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	1500	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	1000	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	300	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	3000	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	5300	32	AMERICAN	9/20/2014	0.510
Common - ISIN US7170811035	Call Option	Selling	3000	32	AMERICAN	9/20/2014	0.510

(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 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?

Date of disclosure:	09/05/2014
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 [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.

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:	Merrill Lynch, Pierce, Fenner and Smith Incorporated
(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:	Pfizer Inc
(d) Date position held/dealing undertaken:	08/05/2014
(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. 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:	US0463531089
	Interests		Short positions
	Number	%	Number	%
(1) Relevant securities owned and/or controlled:	23,400	0.002	10,699	0.000
(2) Derivatives (other than options):	0	0	0
(3) Options and agreements to purchase/sell:	137,200	0.011	129,300	0.010
TOTAL:	160,600	0.013	139,999	0.011

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:

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 USD
ADR US0463531089	Sale	100	78.64
ADR US0463531089	Sale	300	78.66
ADR US0463531089	Sale	200	78.68
ADR US0463531089	Sale	300	78.69
ADR US0463531089	Sale	100	78.7
ADR US0463531089	Sale	100	78.72
ADR US0463531089	Sale	100	78.74
ADR US0463531089	Sale	300	78.75
ADR US0463531089	Sale	100	78.77
ADR US0463531089	Sale	100	78.83
ADR US0463531089	Sale	100	78.85
ADR US0463531089	Sale	100	78.86
ADR US0463531089	Sale	200	78.87
ADR US0463531089	Sale	300	78.88
ADR US0463531089	Sale	100	78.885
ADR US0463531089	Sale	100	78.89
ADR US0463531089	Sale	100	78.91
ADR US0463531089	Sale	100	78.93
ADR US0463531089	Sale	100	78.94
ADR US0463531089	Sale	100	78.95
ADR US0463531089	Sale	100	78.97
ADR US0463531089	Sale	100	79.03
ADR US0463531089	Sale	100	79.05
ADR US0463531089	Sale	100	79.11
ADR US0463531089	Sale	100	79.28
ADR US0463531089	Sale	100	79.31
ADR US0463531089	Sale	100	79.49
ADR US0463531089	Sale	100	79.51
ADR US0463531089	Sale	100	79.54
ADR US0463531089	Sale	146	79.55
ADR US0463531089	Sale	100	79.59
ADR US0463531089	Sale	100	79.61
ADR US0463531089	Sale	100	79.62
ADR US0463531089	Sale	100	79.7
ADR US0463531089	Sale	100	79.71
ADR US0463531089	Sale	100	79.77

(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

(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

(ii) Exercising

Class of relevant security

Product description

e.g. call option

Number of securities

Exercise price per unit

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

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

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

Is a Supplemental Form 8 (Open Positions) attached?

Yes

Date of disclosure:	09/05/2014
Contact name:	Stacy Otieno
Telephone number:	0207 995 1335

Public disclosures under Rule 8 of the Code must be made to a Regulatory 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.

This information is provided by RNS

The company news service from the London Stock Exchange

END

FEOALMBTMBTMBJI

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