12th May 2014 11:36
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: | Morgan Stanley Securities Limited |
(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: | 09 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 |
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 | 1,892,000 | 46.7800 GBP | 46.0000 GBP |
USD 0.25 ORDINARY | SALES | 2,663,966 | 46.7800 GBP | 45.9528 GBP |
(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 | LONG | 309 | 45.9697 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,853 | 45.9697 GBP |
USD 0.25 ORDINARY | CFD | LONG | 403 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | LONG | 47,787 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,291 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | LONG | 204 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,679 | 46.0139 GBP |
USD 0.25 ORDINARY | CFD | LONG | 15,394 | 46.0139 GBP |
USD 0.25 ORDINARY | CFD | LONG | 55 | 46.1050 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3 | 46.1050 GBP |
USD 0.25 ORDINARY | CFD | LONG | 11 | 46.1050 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,450 | 46.2061 GBP |
USD 0.25 ORDINARY | CFD | LONG | 15,000 | 46.2232 GBP |
USD 0.25 ORDINARY | CFD | LONG | 285,826 | 46.2713 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,162 | 46.2866 GBP |
USD 0.25 ORDINARY | CFD | LONG | 20,000 | 46.3124 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,600 | 46.3693 GBP |
USD 0.25 ORDINARY | CFD | LONG | 33,029 | 46.4750 GBP |
USD 0.25 ORDINARY | CFD | LONG | 491 | 46.5012 GBP |
USD 0.25 ORDINARY | CFD | LONG | 145 | 46.6230 GBP |
USD 0.25 ORDINARY | CFD | LONG | 454 | 46.6230 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 32,073 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 17,974 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 403 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 185 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 201 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,012 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 104 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 448 | 46.0050 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 11 | 46.0354 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 148 | 46.0408 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 13 | 46.0476 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 63 | 46.0479 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,721 | 46.0533 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 211 | 46.0585 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 308 | 46.0627 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,186 | 46.0634 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 69 | 46.0736 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 792 | 46.0896 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 16 | 46.0906 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 13,130 | 46.1377 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,576 | 46.1535 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 15,000 | 46.2177 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,600 | 46.2200 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,000 | 46.2505 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 287,154 | 46.2718 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,630 | 46.2718 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 11,500 | 46.2958 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 510 | 46.2958 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,549 | 46.2958 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,177 | 46.3672 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 13 | 46.4650 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 57 | 46.4650 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 47 | 46.5050 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,859 | 46.5616 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,096 | 46.6143 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 106 | 46.6143 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 87 | 46.6450 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 20,500 | 46.7200 GBP |
ADRS | CFD | LONG | 1,000 (Traded in ADR form) | 74.4100 USD |
ADRS | CFD | LONG | 180 (Traded in ADR form) | 76.5777 USD |
ADRS | CFD | LONG | 2,214 (Traded in ADR form) | 77.2400 USD |
ADRS | CFD | LONG | 363 (Traded in ADR form) | 77.2400 USD |
ADRS | CFD | LONG | 1,045 (Traded in ADR form) | 77.7700 USD |
ADRS | CFD | SHORT | 150 (Traded in ADR form) | 76.6900 USD |
ADRS | CFD | SHORT | 52,000 (Traded in ADR form) | 77.1308 USD |
ADRS | CFD | SHORT | 4,439 (Traded in ADR form) | 77.2400 USD |
ADRS | CFD | SHORT | 729 (Traded in ADR form) | 77.2400 USD |
(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 | PUT | PURCHASE | 250,000 | 4,500.0000 | A | 20/06/2014 | 1.1000 GBP |
USD 0.25 ORDINARY | CALL | SALE | 250,000 | 4,800.0000 | A | 20/06/2014 | 1.2900 GBP |
(ii) Exercising
Class of relevant security | Product description e.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 dealing e.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 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: | 12 MAY 2014 |
| Contact name: | Darren Wickert |
| Telephone number: | +44 (0)20 7425 6578 |
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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