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Form 8.5 (EPT/RI)

29th Apr 2014 13:48

RNS Number : 7871F
Bank of America Merrill Lynch
29 April 2014
 

FORM 8.5 (EPT/RI)

 

PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITYRule 8.5 of the Takeover Code (the "Code")

 

1.

KEY INFORMATION

(a)

Name of exempt principal trader:

Merrill Lynch Pierce Fenner and Smith

(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 dealing undertaken:

28/04/2014

(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.

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

Common - ISIN GB0009895292

Purchase

427,983

30.69 USD

32.1 USD

Common - ISIN GB0009895292

Sale

224,570

30.75 USD

32.04 USD

 

(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

Common ISIN GB0009895292

Swaps

Long

9

31.5261 USD

Common ISIN GB0009895292

Swaps

Long

2

31.5261 USD

Common ISIN GB0009895292

Swaps

Long

1

31.5261 USD

Common ISIN GB0009895292

Swaps

Long

15400

32.045 USD

Common ISIN GB0009895292

Swaps

Long

42

31.7703 USD

Common ISIN GB0009895292

Swaps

Short

42

31.7703 USD

Common ISIN GB0009895292

Swaps

Long

26

31.7703 USD

Common ISIN GB0009895292

Swaps

Long

26

31.7703 USD

Common ISIN GB0009895292

Swaps

Long

18

31.7703 USD

Common ISIN GB0009895292

Swaps

Long

18

31.7703 USD

Common ISIN GB0009895292

Swaps

Long

4

31.7703 USD

Common ISIN GB0009895292

Swaps

Long

4

31.7703 USD

Common ISIN GB0009895292

Swaps

Short

279

31.9947 USD

Common ISIN GB0009895292

Swaps

Short

279

31.9947 USD

 

(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

Typee.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 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 2(a), (b), (c) or (d) (as appropriate) for each additional classof 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:

29/04/2014

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'sdealing 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/RI)

 

PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITYRule 8.5 of the Takeover Code (the "Code")

 

1.

KEY INFORMATION

(a)

Name of exempt principal trader:

Bank of America Merrill Lynch

(b)

Name of offeror/offeree in relation to whoserelevant securities this form relates:Use a separate form for each offeror/offeree

AZ Electronic Materials SA

(c)

Name of the party to the offer with which exempt principal trader is connected:

AZ Electronic Materials SA

(d)

Date dealing undertaken:

28/04/2014

(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.

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

Common - ISIN LU0552383324

Purchase

1,917

4.01 GBP

4.01 GBP

 

(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

Common - ISIN LU0552383324

Swaps

Short

918

4.01 GBP

Common - ISIN LU0552383324

Swaps

Short

999

4.01 GBP

 

(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

Typee.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 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 2(a), (b), (c) or (d) (as appropriate) for each additional classof 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:

29/04/2014

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'sdealing 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/RI)

 

PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITYRule 8.5 of the Takeover Code (the "Code")

 

1.

KEY INFORMATION

(a)

Name of exempt principal trader:

Bank of America Merrill Lynch

(b)

Name of offeror/offeree in relation to whoserelevant 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 dealing undertaken:

28/04/2014

(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.

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

Common - ISIN GB0009895292

Purchase

283

56.866 EUR

56.866 EUR

Common - ISIN GB0009895292

Purchase

2,033,520

47.925 GBP

45.645 GBP

Common - ISIN GB0009895292

Purchase

1,563,507

526 SEK

504.5 SEK

Common - ISIN GB0009895292

Sale

2,153,804

47.895 GBP

45.615 GBP

Common - ISIN GB0009895292

Sale

1,413,979

526.5 SEK

504.5 SEK

 

(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

Common - ISIN GB0009895292

Swaps

Long

30

47.566 GBP

Common - ISIN GB0009895292

Swaps

Long

62

47.566 GBP

Common - ISIN GB0009895292

Swaps

Long

67

47.566 GBP

Common - ISIN GB0009895292

Swaps

Short

3,262

47.247 GBP

Common - ISIN GB0009895292

Swaps

Long

16,600

47.034 GBP

Common - ISIN GB0009895292

Swaps

Short

925

47.247 GBP

Common - ISIN GB0009895292

Swaps

Short

200

47.455 GBP

Common - ISIN GB0009895292

Swaps

Long

53,366

46.849 GBP

Common - ISIN GB0009895292

Swaps

Long

1,201

46.962 GBP

Common - ISIN GB0009895292

Swaps

Long

789

46.962 GBP

Common - ISIN GB0009895292

Swaps

Long

2,364

46.962 GBP

Common - ISIN GB0009895292

Swaps

Short

1,201

47.091 GBP

Common - ISIN GB0009895292

Swaps

Short

20,000

46.879 GBP

Common - ISIN GB0009895292

Swaps

Long

98

46.962 GBP

Common - ISIN GB0009895292

Swaps

Long

63

46.962 GBP

Common - ISIN GB0009895292

Swaps

Long

32,100

46.623 GBP

Common - ISIN GB0009895292

Swaps

Short

400

0.000476 GBP

Common - ISIN GB0009895292

Swaps

Short

775

0.000476 GBP

Common - ISIN GB0009895292

Swaps

Short

297

46.573 GBP

Common - ISIN GB0009895292

Swaps

Short

1,203

0.000476 GBP

Common - ISIN GB0009895292

Swaps

Short

3,000

0.000476 GBP

Common - ISIN GB0009895292

Swaps

Short

32,100

0.000476 GBP

Common - ISIN GB0009895292

Swaps

Long

70

47.566 GBP

Common - ISIN GB0009895292

Swaps

Long

109

47.566 GBP

Common - ISIN GB0009895292

Swaps

Long

328

47.566 GBP

Common - ISIN GB0009895292

Swaps

Long

591

47.566 GBP

Common - ISIN GB0009895292

Swaps

Long

114

47.566 GBP

Common - ISIN GB0009895292

Swaps

Long

309

47.566 GBP

Common - ISIN GB0009895292

Swaps

Long

188

46.962 GBP

Common - ISIN GB0009895292

Swaps

Short

98

47.091 GBP

Common - ISIN GB0009895292

Swaps

Long

2,773

46.962 GBP

Common - ISIN GB0009895292

Swaps

Long

8,316

46.962 GBP

Common - ISIN GB0009895292

Swaps

Long

6,375

46.962 GBP

Common - ISIN GB0009895292

Swaps

Long

10,225

46.962 GBP

Common - ISIN GB0009895292

Swaps

Long

19,132

46.962 GBP

Common - ISIN GB0009895292

Swaps

Short

10,225

47.091 GBP

Common - ISIN GB0009895292

Swaps

Short

1,000

45.729 GBP

Common - ISIN GB0009895292

Swaps

Short

38,373

46.658 GBP

Common - ISIN GB0009895292

Swaps

Short

1,034

46.658 GBP

Common - ISIN GB0009895292

Swaps

Short

1,062

46.658 GBP

Common - ISIN GB0009895292

Swaps

Short

13,526

46.658 GBP

Common - ISIN GB0009895292

Swaps

Long

2,357

46.216 GBP

Common - ISIN GB0009895292

Swaps

Long

14,154

46.216 GBP

Common - ISIN GB0009895292

Swaps

Short

5,197

46.658 GBP

Common - ISIN GB0009895292

Swaps

Short

6,350

46.658 GBP

Common - ISIN GB0009895292

Swaps

Short

2,357

46.337 GBP

Common - ISIN GB0009895292

Swaps

Short

8,554

46.706 GBP

Common - ISIN GB0009895292

Swaps

Short

14,154

46.658 GBP

Common - ISIN GB0009895292

Swaps

Long

138

47.321 GBP

Common - ISIN GB0009895292

Swaps

Short

858

45.997 GBP

Common - ISIN GB0009895292

Swaps

Short

1,788

46.262 GBP

Common - ISIN GB0009895292

Swaps

Short

1,788

47.007 GBP

Common - ISIN GB0009895292

Swaps

Short

342

45.997 GBP

Common - ISIN GB0009895292

Swaps

Short

712

46.262 GBP

Common - ISIN GB0009895292

Swaps

Short

712

47.007 GBP

Common - ISIN GB0009895292

Swaps

Long

754

47.845 GBP

Common - ISIN GB0009895292

Swaps

Long

269

47.888 GBP

Common - ISIN GB0009895292

Swaps

Short

283

56.866 EUR

Common - ISIN GB0009895292

Swaps

Long

3

47.357 GBP

Common - ISIN GB0009895292

Swaps

Long

4

47.035 GBP

Common - ISIN GB0009895292

Swaps

Long

6

47.2 GBP

Common - ISIN GB0009895292

Swaps

Long

1,000

47.464 GBP

Common - ISIN GB0009895292

Swaps

Long

44

47.78 GBP

Common - ISIN GB0009895292

Swaps

Long

677

47.78 GBP

Common - ISIN GB0009895292

Swaps

Long

211

47.892 GBP

Common - ISIN GB0009895292

Swaps

Long

1,856

47.731 GBP

Common - ISIN GB0009895292

Swaps

Long

432

47.848 GBP

Common - ISIN GB0009895292

Swaps

Long

953

47.731 GBP

Common - ISIN GB0009895292

Swaps

Short

5,214

46.85 GBP

Common - ISIN GB0009895292

Swaps

Short

23,144

46.85 GBP

Common - ISIN GB0009895292

Swaps

Short

26,890

46.85 GBP

Common - ISIN GB0009895292

Swaps

Short

15,644

46.85 GBP

Common - ISIN GB0009895292

Swaps

Short

21,301

46.85 GBP

Common - ISIN GB0009895292

Swaps

Short

5,426

46.85 GBP

Common - ISIN GB0009895292

Swaps

Short

25,456

46.85 GBP

Common - ISIN GB0009895292

Swaps

Short

3,662

46.923 GBP

Common - ISIN GB0009895292

Swaps

Short

306

46.669 GBP

Common - ISIN GB0009895292

Swaps

Short

236

46.669 GBP

Common - ISIN GB0009895292

Swaps

Short

389

46.669 GBP

Common - ISIN GB0009895292

Swaps

Short

211

46.708 GBP

Common - ISIN GB0009895292

Swaps

Long

103

46.762 GBP

Common - ISIN GB0009895292

Swaps

Long

1,000

47.852 GBP

Common - ISIN GB0009895292

Swaps

Short

1,000

47.254 GBP

Common - ISIN GB0009895292

Swaps

Long

1,000

46.857 GBP

Common - ISIN GB0009895292

Swaps

Short

1,000

46.522 GBP

Common - ISIN GB0009895292

Swaps

Short

1,000

47.091 GBP

Common - ISIN GB0009895292

Swaps

Short

1,000

47.091 GBP

Common - ISIN GB0009895292

Swaps

Long

1,000

47.006 GBP

Common - ISIN GB0009895292

Swaps

Long

3,684

47.078 GBP

Common - ISIN GB0009895292

Swaps

Long

533

46.658 GBP

Common - ISIN GB0009895292

Swaps

Short

259

46.669 GBP

Common - ISIN GB0009895292

Swaps

Short

334

46.669 GBP

Common - ISIN GB0009895292

Swaps

Short

421

46.669 GBP

Common - ISIN GB0009895292

Swaps

Short

31,803

513.278 SEK

Common - ISIN GB0009895292

Swaps

Long

400

0.005 SEK

Common - ISIN GB0009895292

Swaps

Long

775

0.005 SEK

Common - ISIN GB0009895292

Swaps

Long

1,500

0.005 SEK

Common - ISIN GB0009895292

Swaps

Long

3,000

0.005 SEK

Common - ISIN GB0009895292

Swaps

Long

31,803

0.005 SEK

Common - ISIN GB0009895292

Swaps

Short

547

514.923 SEK

Common - ISIN GB0009895292

Swaps

Long

18,485

511.718 SEK

Common - ISIN GB0009895292

Swaps

Short

973

514.923 SEK

Common - ISIN GB0009895292

Swaps

Short

23,715

514.923 SEK

Common - ISIN GB0009895292

Swaps

Short

57,698

514.923 SEK

Common - ISIN GB0009895292

Swaps

Short

10,155

514.923 SEK

Common - ISIN GB0009895292

Swaps

Short

18,485

514.923 SEK

Common - ISIN GB0009895292

Swaps

Short

21,259

514.923 SEK

Common - ISIN GB0009895292

Swaps

Long

60,200

46.699 GBP

Common - ISIN GB0009895292

Swaps

Short

1,900

46.935 GBP

Common - ISIN GB0009895292

Swaps

Short

1,250

46.286 GBP

Common - ISIN GB0009895292

Swaps

Long

6,250

47.114 GBP

Common - ISIN GB0009895292

Swaps

Short

2,500

46.054 GBP

Common - ISIN GB0009895292

Swaps

Long

1,250

46.976 GBP

Common - ISIN GB0009895292

Swaps

Short

3,750

46.286 GBP

Common - ISIN GB0009895292

Swaps

Long

2,500

46.896 GBP

Common - ISIN GB0009895292

Swaps

Short

3,135

518.277 SEK

Common - ISIN GB0009895292

Swaps

Short

964

518.277 SEK

Common - ISIN GB0009895292

Swaps

Short

1,489

518.277 SEK

Common - ISIN GB0009895292

Swaps

Short

12,942

518.277 SEK

Common - ISIN GB0009895292

Swaps

Short

984

518.277 SEK

Common - ISIN GB0009895292

Swaps

Short

1,974

518.277 SEK

Common - ISIN GB0009895292

Swaps

Short

2,508

518.277 SEK

Common - ISIN GB0009895292

Swaps

Short

1,787

518.277 SEK

Common - ISIN GB0009895292

Swaps

Short

2,643

518.277 SEK

Common - ISIN GB0009895292

Swaps

Short

487

518.277 SEK

Common - ISIN GB0009895292

Swaps

Short

4,000

46.847 GBP

Common - ISIN GB0009895292

Swaps

Long

1,000

46.622 GBP

Common - ISIN GB0009895292

Swaps

Long

4,000

46.622 GBP

Common - ISIN GB0009895292

Swaps

Long

5,000

46.622 GBP

Common - ISIN GB0009895292

Swaps

Long

63

46.876 GBP

Common - ISIN GB0009895292

Swaps

Long

64

46.876 GBP

Common - ISIN GB0009895292

Swaps

Short

4,878

513.422 SEK

Common - ISIN GB0009895292

Swaps

Short

95

513.422 SEK

Common - ISIN GB0009895292

Swaps

Short

1,661

46.784 GBP

 

(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

Typee.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 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 2(a), (b), (c) or (d) (as appropriate) for each additional classof 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:

29/04/2014

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'sdealing 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
 
 
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