12th May 2014 07:00
FORM 8.5 (EPT/RI)
Amendment to Sec 2(a) and 2(B)
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 | |
| Bank of America Merrill Lynch | ||
| AstraZeneca PLC | ||
| Pfizer Inc | ||
| 02/05/2014 | ||
| 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 | 841,376 | 48.404 GBP | 47.165 GBP |
Common - ISIN GB0009895292 | Purchase | 1,071,967 | 533.5 SEK | 519.5 SEK |
Common - ISIN GB0009895292 | Sale | 774,444 | 47.65 GBP | 48.68 GBP |
Common - ISIN GB0009895292 | Sale | 1,066,380 | 534 SEK | 519.5 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 | 4,778 | 48.064 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 16 | 48.249 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 8,800 | 47.998 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 1,200 | 47.998 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 15,235 | 47.819 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 1,169 | 47.48 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 1,800 | 48.2 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 10,000 | 48.111 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 100 | 48.121 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 444 | 48.121 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 500 | 48.243 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 5,250 | 47.839 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 291 | 48.09 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 7,289 | 47.761 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 392 | 48.076 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 108 | 47.787 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 53 | 48.073 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 426 | 48.076 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 4,778 | 528.779 SEK | |||
Common - ISIN GB0009895292 | Swaps | Long | 25,000 | 48.075 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 64 | 47.732 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 10,000 | 47.872 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 9723 | 47.81 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 1800 | 48.097 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 1900 | 48.097 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 15235 | 48.097 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 26389 | 48.097 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 52076 | 48.097 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 10000 | 48.573 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 5000 | 48.677 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 5000 | 48.677 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: | 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'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)
Amendment to Sec 2(a) and 2(B)
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 | |||||
| Bank of America Merrill Lynch | |||||
| AstraZeneca PLC | |||||
| Pfizer Inc | |||||
| 01/05/2014 | |||||
| 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 | 631,210 | 48.2 GBP | 46.68 GBP |
Common - ISIN GB0009895292 | Sale | 527,728 | 48.15 GBP | 46.66 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 GB0009895292 | Swaps | Long | 20 | 47.324 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 20 | 47.109 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 71 | 47.109 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 728 | 47.109 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 280 | 47.184 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 280 | 47.213 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 1,900 | 47.045 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 23,700 | 48.157 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 100 | 48.143 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 367 | 46.838 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 367 | 48.15 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 8,445 | 48.15 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 2,152 | 48.15 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 351 | 48.154 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 380 | 48.154 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 100 | 46.845 GBP | |||
Common - ISIN GB0009895292 | Swaps | Long | 900 | 46.845 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 38,400 | 48.038 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 20,000 | 46.87 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 5,000 | 47.157 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 5,000 | 47.431 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 9,723 | 47.81 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short
| 836 | 46.93 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 10,000 | 48.198 GBP | |||
Common - ISIN GB0009895292 | Swaps | Short | 10,000 | 47.32 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: | 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'sdealing disclosure requirements on +44 (0)20 7638 0129.The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
Related Shares:
Astrazeneca