2nd May 2014 18:01
Amendment - due to the amendment of Derivative transactions, the disclosure made on 01 May for dealings on 29 April has been updated. Section 2(b) has been updated.
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | (GS) GOLDMAN SACHS INTERNATIONAL |
(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 dealing undertaken: | 29 April 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 - disclosed previously for PFIZER INC |
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 |
USD 0.25 ordinary | Purchases | 2,008,9411,12495,000 | 46.8765 GBP512.5000 SEK78.1600 USD | 45.9650 GBP503.0000 SEK77.3950 USD |
USD 0.25 ordinary | Sales | 1,363,4161,124 | 46.8250 GBP515.0000 SEK | 45.9775 GBP503.0000 SEK |
ADR | Purchases | 26,380 | 78.0452 USD | 77.2154 USD |
ADR | Sales | 26,380 | 78.0452 USD | 77.1768 USD |
(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 |
USD 0.25 ordinary | CFD | Reducing a long position | 40,000 | 41.0801 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 514 | 46.1066 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 408 | 46.1066 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,333 | 46.1066 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 2,040 | 46.1066 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 3,290 | 46.1066 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 20,000 | 46.1844 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 779 | 46.2000 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 240 | 46.2000 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 5,000 | 46.2092 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 3,500 | 46.2343 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 5,000 | 46.2367 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 192 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,691 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,740 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 818 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 463 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 3 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 620 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 91 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 215 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 5 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 10 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 722 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,403 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,141 | 46.2655 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 10,000 | 46.3102 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 240 | 46.3250 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 10,000 | 46.3567 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 1,513 | 46.3712 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 2,485 | 46.3712 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 86,600 | 46.3833 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 75 | 46.5340 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 10,000 | 46.5447 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 155 | 46.5479 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 5,377 | 46.5479 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 7,500 | 46.5507 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 7,500 | 46.5517 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 779 | 46.5550 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 3,000 | 46.6195 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 3,000 | 46.6384 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 3,700 | 46.7575 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 40,000 | 69.0413 USD |
USD 0.25 ordinary | CFD | Opening a short position | 75,000 | 77.3950 USD |
USD 0.25 ordinary | CFD | Reducing a short position | 134 | 77.9883 USD |
USD 0.25 ordinary | CFD | Opening a short position | 20,000 | 78.1600 USD |
USD 0.25 ordinary | SWAP | Opening a long position | 1,860 | 46.3612 GBP |
USD 0.25 ordinary | SWAP | Opening a long position | 350 | 46.3612 GBP |
USD 0.25 ordinary | SWAP | Opening a long position | 820 | 46.3612 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 92,870 | 46.5625 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 23,217 | 46.5625 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 440,000 | 46.8765 GBP |
(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 |
USD 0.25 ordinary | Call Option | 284,590 | 39.4964 GBP |
(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 2(a), (b), (c) or (d) (as appropriate) for each additional class of 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: | 02 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.
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