2nd May 2014 17:59
Amendment - due to the amendment of Equity, Derivative and Option transactions, the disclosure made on 29 April for dealings on 28 April has been updated. Sections 2(a), 2(b) and 2(c) have 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: | 28 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 | 3,739,22313,53975,000 | 47.8450 GBP524.0000 SEK77.6300 USD | 45.6000 GBP505.5000 SEK77.6300 USD |
USD 0.25 ordinary | Sales | 2,985,56413,330 | 47.8950 GBP525.0000 SEK | 45.7650 GBP505.5000 SEK |
ADR | Purchases | 51,404 | 79.2610 USD | 77.4521 USD |
ADR | Sales | 51,404 | 79.2610 USD | 77.4521 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 | Opening a short position | 25,000 | 46.4758 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 3,500 | 46.5383 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 2,000 | 46.6650 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 260 | 46.6650 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 115,560 | 46.7227 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 64 | 46.7721 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 18 | 46.7721 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 16 | 46.7721 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 14 | 46.7721 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 9,803 | 46.8214 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 7,095 | 46.8214 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 3,500 | 46.8383 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 20,000 | 46.8404 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 184 | 46.9227 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 2,407 | 46.9227 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 1,943 | 46.9248 USD |
USD 0.25 ordinary | CFD | Opening a short position | 3,700 | 46.9250 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 20,000 | 46.9530 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 65 | 46.9652 USD |
USD 0.25 ordinary | CFD | Reducing a short position | 888 | 46.9716 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 891 | 46.9716 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 20,714 | 46.9716 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 16,281 | 46.9716 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 5,521 | 46.9716 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 973 | 46.9716 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 1,976 | 46.9716 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 5,353 | 46.9716 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 1,874 | 46.9716 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 3,700 | 46.9723 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 3,700 | 46.9817 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 260 | 47.0100 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 55 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 3,002 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 4,272 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 280 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 25 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 38,441 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 7,999 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 105 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 24,940 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 572 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 536 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 542 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 7,016 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 42,725 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 259 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 12,249 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 897 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 24,600 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 41 | 47.0458 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 4,000 | 47.0979 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 7,611 | 47.1266 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 28,861 | 47.1266 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 13,528 | 47.1266 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 2,186 | 47.2245 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 3,589 | 47.2245 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 26,500 | 47.2519 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 734 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 2,222 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,690 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,902 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 528 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,204 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 428 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 404 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 2,946 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,125 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,773 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,248 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 794 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,591 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,024 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,903 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 74 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 737 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 501 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,652 | 47.7038 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 75,000 | 77.6300 USD |
USD 0.25 ordinary | CFD | Opening a short position | 43,184 | 78.6354 USD |
USD 0.25 ordinary | CFD | Opening a short position | 209 | 517.5622 SEK |
USD 0.25 ordinary | SWAP | Opening a long position | 222 | 46.4578 GBP |
USD 0.25 ordinary | SWAP | Opening a long position | 100 | 46.4578 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 7,800 | 46.6214 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 31,200 | 46.6214 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 37,400 | 46.9656 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 149,600 | 46.9656 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 |
USD 0.25 ordinary | Call Option | Purchasing | 37,300 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 52,300 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 59,700 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 174,100 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 121,900 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 121,900 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 174,100 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 59,700 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 52,200 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 52,300 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 52,200 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 2,500 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 37,300 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Call Option | Purchasing | 2,500 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.2000 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 37,300 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 59,700 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 59,700 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 52,200 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 2,500 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 37,300 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 121,900 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 52,300 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 2,500 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 174,100 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 174,100 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 52,200 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 121,900 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option | Purchasing | 52,300 | 48.0000 GBP | AMERICAN | 16/05/2014 | 1.4700 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Selling | 115 (115,000) | 38.0000 GBP | AMERICAN | 19/09/2014 | 0.5000 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Selling | 15 (15,000) | 38.0000 GBP | AMERICAN | 19/09/2014 | 0.5000 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Selling | 43 (43,000) | 38.0000 GBP | AMERICAN | 19/09/2014 | 0.5000 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Selling | 7 (7,000) | 38.0000 GBP | AMERICAN | 19/09/2014 | 0.5000 GBP |
(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 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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