27th May 2014 12:33
Amendment - due to the amendment of Equity and Derivative transactions, the disclosure made on 23 May for dealings on 22 May has been updated. Sections 2(a) and 2(b) 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: | 22 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? | 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 | 1,384,1284,541 | 44.0200 GBP487.3000 SEK | 42.7500 GBP477.2000 SEK |
USD 0.25 ordinary | Sales | 1,195,9904,541 | 44.0200 GBP487.2000 SEK | 42.7436 GBP480.9000 SEK |
ADR | Purchases | 80,036 | 72.0606 USD | 72.0606 USD |
ADR | Sales | 80,036 | 73.1500 USD | 71.9715 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 short position | 791 | 42.7436 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 86 | 42.7500 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 925 | 42.7500 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 10,000 | 42.7500 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 10,427 | 42.9896 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 15,189 | 43.1618 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 6,374 | 43.1618 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 15,342 | 43.1618 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 14 | 43.1925 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 15 | 43.1925 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 109 | 43.1925 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 15 | 43.1925 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 690 | 43.2145 USD |
USD 0.25 ordinary | CFD | Reducing a short position | 1,208 | 43.2145 USD |
USD 0.25 ordinary | CFD | Reducing a short position | 1,192 | 43.2145 USD |
USD 0.25 ordinary | CFD | Reducing a short position | 1,352 | 43.2145 USD |
USD 0.25 ordinary | CFD | Reducing a short position | 689 | 43.2145 USD |
USD 0.25 ordinary | CFD | Reducing a short position | 355 | 43.2145 USD |
USD 0.25 ordinary | CFD | Reducing a short position | 55 | 43.2159 USD |
USD 0.25 ordinary | CFD | Reducing a short position | 137 | 43.2159 USD |
USD 0.25 ordinary | CFD | Opening a short position | 80,524 | 43.2223 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 7,693 | 43.2626 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 6,884 | 43.2626 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 7,411 | 43.2657 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 6 | 43.3500 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 17,227 | 43.3569 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 12,354 | 43.3569 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 6 | 43.3833 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 2,691 | 43.6756 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 70,860 | 43.6756 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 5,069 | 43.7055 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 15,443 | 43.7055 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 28,449 | 43.7055 GBP |
USD 0.25 ordinary | SWAP | Increasing a short position | 1,972 | 42.7628 GBP |
USD 0.25 ordinary | SWAP | Reducing a short position | 31,200 | 43.2146 GBP |
USD 0.25 ordinary | SWAP | Reducing a short position | 6,908 | 43.2146 GBP |
USD 0.25 ordinary | SWAP | Reducing a short position | 7,800 | 43.2146 GBP |
USD 0.25 ordinary | SWAP | Reducing a short position | 53,968 | 43.2146 GBP |
USD 0.25 ordinary | SWAP | Reducing a short position | 27,632 | 43.2146 GBP |
USD 0.25 ordinary | SWAP | Reducing a short position | 13,492 | 43.2146 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 |
ADR | Call Option / (1.00 : 100.00) | Purchasing | 325 (32,500) | 80.0000 USD | AMERICAN | 21/06/2014 | 1.0424 USD |
ADR | Call Option / (1.00 : 100.00) | Selling | 325 (32,500) | 80.0000 USD | AMERICAN | 21/06/2014 | 1.0424 USD |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Purchasing | 20 (20,000) | 43.0000 GBP | AMERICAN | 20/06/2014 | 1.9000 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Purchasing | 5 (5,000) | 43.0000 GBP | AMERICAN | 20/06/2014 | 1.9000 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Purchasing | 25 (25,000) | 44.0000 GBP | AMERICAN | 20/06/2014 | 1.6100 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Purchasing | 5 (5,000) | 45.0000 GBP | AMERICAN | 20/06/2014 | 1.1250 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Purchasing | 5 (5,000) | 45.0000 GBP | AMERICAN | 20/06/2014 | 1.5200 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Purchasing | 20 (20,000) | 45.0000 GBP | AMERICAN | 20/06/2014 | 1.5200 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Purchasing | 20 (20,000) | 45.0000 GBP | AMERICAN | 20/06/2014 | 1.1250 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Selling | 20 (20,000) | 43.0000 GBP | AMERICAN | 20/06/2014 | 1.9000 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Selling | 5 (5,000) | 43.0000 GBP | AMERICAN | 20/06/2014 | 1.9000 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Selling | 25 (25,000) | 44.0000 GBP | AMERICAN | 20/06/2014 | 1.6100 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Selling | 20 (20,000) | 45.0000 GBP | AMERICAN | 20/06/2014 | 1.1250 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Selling | 5 (5,000) | 45.0000 GBP | AMERICAN | 20/06/2014 | 1.5200 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Selling | 20 (20,000) | 45.0000 GBP | AMERICAN | 20/06/2014 | 1.5200 GBP |
USD 0.25 ordinary | Call Option / (1.00 : 1,000.00) | Selling | 5 (5,000) | 45.0000 GBP | AMERICAN | 20/06/2014 | 1.1250 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Purchasing | 9 (9,000) | 41.0000 GBP | AMERICAN | 18/07/2014 | 1.2500 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Purchasing | 1 (1,000) | 41.0000 GBP | AMERICAN | 18/07/2014 | 1.2500 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Purchasing | 9 (9,000) | 41.0000 GBP | AMERICAN | 18/07/2014 | 1.2500 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Purchasing | 1 (1,000) | 41.0000 GBP | AMERICAN | 18/07/2014 | 1.2500 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: | 27 May 2014 |
| Contact name: | Aadithya Rao and Yiannis Bardis |
| Telephone number: | +44(20) 7051 9046 / +44(20) 7774 7107 |
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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