9th May 2014 10:49
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: | 08 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 | 1,783,816 | 47.3500 GBP | 46.3000 GBP |
USD 0.25 ORDINARY | SALES | 1,091,369 | 47.3400 GBP | 46.3000 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 | 546 | 46.5015 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,100 | 46.9550 GBP |
USD 0.25 ORDINARY | CFD | LONG | 213,316 | 46.9631 GBP |
USD 0.25 ORDINARY | CFD | LONG | 6,630 | 46.9631 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,173 | 46.9704 GBP |
USD 0.25 ORDINARY | CFD | LONG | 8,665 | 47.0112 GBP |
USD 0.25 ORDINARY | CFD | LONG | 348 | 47.0798 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,406 | 47.1194 GBP |
USD 0.25 ORDINARY | CFD | LONG | 511 | 47.1209 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,303 | 47.1209 GBP |
USD 0.25 ORDINARY | CFD | LONG | 102 | 47.1209 GBP |
USD 0.25 ORDINARY | CFD | LONG | 26,609 | 47.1219 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4 | 47.1300 GBP |
USD 0.25 ORDINARY | CFD | LONG | 32,718 | 47.1300 GBP |
USD 0.25 ORDINARY | CFD | LONG | 300 | 47.1533 GBP |
USD 0.25 ORDINARY | CFD | LONG | 724 | 47.1964 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,000 | 47.2493 GBP |
USD 0.25 ORDINARY | CFD | LONG | 10,000 | 47.2552 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,893 | 46.5898 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,000 | 46.6169 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 113 | 46.6487 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 23 | 46.6487 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 507 | 46.6487 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 56 | 46.8100 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,068 | 46.8144 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2 | 46.8175 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 122 | 46.8250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 29,315 | 46.8635 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,450 | 46.8776 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4 | 46.8795 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 114 | 46.9200 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 326 | 46.9281 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4 | 46.9625 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 13 | 46.9669 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,348 | 46.9736 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 207,545 | 46.9799 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 17 | 46.9882 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 15 | 46.9953 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,596 | 47.0117 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 10,006 | 47.0977 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 45,565 | 47.1300 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 288 | 47.1300 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 503 | 47.1300 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 261 | 47.1300 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,249 | 47.1300 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 207 | 47.1300 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 33,471 | 47.1677 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 300 | 47.1717 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 142 | 47.1935 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1 | 47.1950 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 13 | 47.2000 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 21,320 | 47.3005 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,134 | 46.9996 GBP |
ADRS | CFD | LONG | 1,357 (Traded in ADR form) | 79.3500 USD |
ADRS | CFD | SHORT | 358 (Traded in ADR form) | 79.2300 USD |
ADRS | CFD | SHORT | 2,182 (Traded in ADR form) | 79.2300 USD |
ADRS | CFD | SHORT | 30 (Traded in ADR form) | 79.2600 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 | 0.7500 GBP |
USD 0.25 ORDINARY | CALL | SALE | 250,000 | 4,800.0000 | A | 20/06/2014 | 1.5700 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: | 09 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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