27th May 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: | 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: | 23 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 | 3,189,930 | 43.9140 GBP | 42.1600 GBP |
USD 0.25 ORDINARY | SALES | 3,168,181 | 43.2800 GBP | 42.1650 GBP |
USD 0.25 ORDINARY | SALES | 17,350 | 72.4000 USD | 72.4000 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 | SHORT | 143 | 43.2800 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 143 | 43.2800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,316 | 42.2511 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,535 | 42.2766 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,593 | 42.2918 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,944 | 42.4003 GBP |
USD 0.25 ORDINARY | CFD | LONG | 8,194 | 42.4003 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,796 | 42.4003 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,500 | 42.4874 GBP |
USD 0.25 ORDINARY | CFD | LONG | 463,942 | 42.8274 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,673 | 42.9096 GBP |
USD 0.25 ORDINARY | CFD | LONG | 8,000 | 42.9775 GBP |
USD 0.25 ORDINARY | CFD | LONG | 190 | 42.9991 GBP |
USD 0.25 ORDINARY | CFD | LONG | 200 | 43.0000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 19,341 | 43.0449 GBP |
USD 0.25 ORDINARY | CFD | LONG | 30,600 | 43.0462 GBP |
USD 0.25 ORDINARY | CFD | LONG | 16,079 | 43.0615 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,550 | 43.0689 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,810 | 43.1379 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,062 | 43.1420 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,660 | 43.1420 GBP |
USD 0.25 ORDINARY | CFD | LONG | 733 | 43.1613 GBP |
USD 0.25 ORDINARY | CFD | LONG | 147 | 43.1613 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,304 | 43.1613 GBP |
USD 0.25 ORDINARY | CFD | LONG | 71,655 | 43.1659 GBP |
USD 0.25 ORDINARY | CFD | LONG | 25,000 | 43.2234 GBP |
USD 0.25 ORDINARY | CFD | LONG | 26,940 | 43.2800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 9 | 43.2800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,869 | 43.2800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 393 | 43.2800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 756 | 43.2800 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 944 | 42.3250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 42 | 42.3250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 210 | 42.3250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,053 | 42.3306 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 405 | 42.3401 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,036 | 42.3401 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 140 | 42.3402 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 29 | 42.3403 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 23,771 | 42.3634 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 18,539 | 42.3634 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,897 | 42.3634 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,085 | 42.3634 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,740 | 42.3634 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 41 | 42.4900 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 138 | 42.5127 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,452 | 42.5244 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 67,204 | 42.5244 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 200 | 42.5250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5 | 42.5380 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,525 | 42.5570 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7 | 42.5628 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 306 | 42.7190 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 462,513 | 42.8304 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,457 | 42.8454 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 16,079 | 42.9668 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,800 | 42.9698 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 30,600 | 42.9860 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 116 | 43.0594 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,810 | 43.1301 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,867 | 43.1400 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,672 | 43.2274 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 10,667 | 43.2800 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,282 | 43.2800 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,900 | 43.2929 GBP |
ADRS | CFD | LONG | 1,000.00 (Traded in ADR form) | 71.4220 USD |
ADRS | CFD | LONG | 1,000.00 (Traded in ADR form) | 71.5200 USD |
ADRS | CFD | LONG | 389.00 (Traded in ADR form) | 72.3000 USD |
ADRS | CFD | LONG | 2,367.00 (Traded in ADR form) | 72.3000 USD |
ADRS | CFD | SHORT | 2,373.00 (Traded in ADR form) | 72.2800 USD |
ADRS | CFD | SHORT | 390.00 (Traded in ADR form) | 72.2800 USD |
ADRS | CFD | SHORT | 4,846.00 (Traded in ADR form) | 72.2800 USD |
ADRS | CFD | SHORT | 795.00 (Traded in ADR form) | 72.2800 USD |
ADRS | CFD | SHORT | 50.00 (Traded in ADR form) | 72.5000 USD |
ADRS | CFD | SHORT | 25,000.00 (Traded in ADR form) | 72.5149 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 |
ADRS | CALL | SALE | 2,500,000 | 75.0000 | A | 21/06/2014 | 2.1000 USD |
ADRS | CALL | SALE | 1,500,000 | 75.0000 | A | 21/06/2014 | 2.1500 USD |
ADRS | CALL | SALE | 3,500,000 | 72.0000 | A | 21/06/2014 | 2.9500 USD |
ADRS | CALL | SALE | 2,500,000 | 72.0000 | A | 21/06/2014 | 3.0000 USD |
ADRS | CALL | SALE | 2,500,000 | 77.0000 | A | 21/06/2014 | 1.5000 USD |
(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: | 27 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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