29th Apr 2014 11:57
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: | J.P. Morgan Securities plc |
(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: | Pfizer Inc. |
(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? | 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 |
Ordinary Shares | Purchases
Sales | 4,000 2,249,511 25,000
4,000 2,576,306 30,450 | 56.9619 EUR 47.8900 GBP 514.5000 SEK
56.9800 EUR 48.0000 GBP 523.5000 SEK
| 56.9619 EUR 45.7698 GBP 512.0000 SEK
56.9400 EUR 45.7650 GBP 512.0000 SEK
|
(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
|
Ordinary Shares | Equity Swap | Long
| 1,257 3,820 256 5,450
62 128 1,033 435 1,200 159 454 9,183 190,000 292 121 375 12 63,000 25,502 67 115 | 46.6603 GBP 46.7593 GBP 46.7825 GBP 517.7206 SEK
45.8707 GBP 46.1951 GBP 46.6859 GBP 46.8632 GBP 46.9197 GBP 46.9215 GBP 46.9268 GBP 46.9511 GBP 46.9620 GBP 46.9785 GBP 46.9818 GBP 47.0049 GBP 47.0166 GBP 47.0705 GBP 47.1176 GBP 47.4939 GBP 47.6777 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 (GBP) | Type e.g. American, European etc. | Expiry date
| Option money paid/ received per unit (GBP) |
Ordinary Shares | Call
| Purchasing
| 293,000
| 42.00 | American | 16 May 2014 | 4.2800 |
(ii) Exercising
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit (EUR) |
(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" |
|
(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" |
|
| Date of disclosure: | 29 April 2014 |
| Contact name: | Andrew Mhango |
| Telephone number: | 020 7134 6114 |
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.
Related Shares:
Astrazeneca