22nd May 2014 13:06
AMENDMENT
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: | 19 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 | 200,000 | 71.5500 USD | 71.5500 USD |
USD 0.25 ORDINARY | PURCHASES | 7,808,095 | 44.1100 GBP | 40.9850 GBP |
USD 0.25 ORDINARY | SALES | 11,047,140 | 44.1100 GBP | 40.9590 GBP |
ADRS | PURCHASES | 200,000.00 (Traded in ADR form) | 71.5500 USD | 69.8269 USD |
ADRS | SALES | 200,000.00 (Traded in ADR form) | 71.5000 USD | 71.5000 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 | LONG | 75 | 52.7700 EUR |
USD 0.25 ORDINARY | CFD | SHORT | 75 | 52.7600 EUR |
USD 0.25 ORDINARY | CFD | LONG | 9,541 | 40.9590 GBP |
USD 0.25 ORDINARY | CFD | LONG | 609 | 40.9590 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,300 | 41.1019 GBP |
USD 0.25 ORDINARY | CFD | LONG | 676 | 41.3539 GBP |
USD 0.25 ORDINARY | CFD | LONG | 20,000 | 41.4194 GBP |
USD 0.25 ORDINARY | CFD | LONG | 52 | 41.6150 GBP |
USD 0.25 ORDINARY | CFD | LONG | 100 | 41.7600 GBP |
USD 0.25 ORDINARY | CFD | LONG | 25,000 | 41.7790 GBP |
USD 0.25 ORDINARY | CFD | LONG | 780 | 42.1271 GBP |
USD 0.25 ORDINARY | CFD | LONG | 12,220 | 42.1271 GBP |
USD 0.25 ORDINARY | CFD | LONG | 15,617 | 42.2829 GBP |
USD 0.25 ORDINARY | CFD | LONG | 9,056 | 42.2829 GBP |
USD 0.25 ORDINARY | CFD | LONG | 29,000 | 42.3223 GBP |
USD 0.25 ORDINARY | CFD | LONG | 35,129 | 42.4067 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,404 | 42.4872 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,747,831 | 42.4872 GBP |
USD 0.25 ORDINARY | CFD | LONG | 496,690 | 42.5336 GBP |
USD 0.25 ORDINARY | CFD | LONG | 220,867 | 42.6045 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,356 | 42.6153 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,435 | 42.6346 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,981 | 42.6346 GBP |
USD 0.25 ORDINARY | CFD | LONG | 9,123 | 42.6346 GBP |
USD 0.25 ORDINARY | CFD | LONG | 30,000 | 42.6839 GBP |
USD 0.25 ORDINARY | CFD | LONG | 15 | 42.6925 GBP |
USD 0.25 ORDINARY | CFD | LONG | 300,000 | 42.6968 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,947 | 42.7650 GBP |
USD 0.25 ORDINARY | CFD | LONG | 45,000 | 42.7777 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,000 | 42.7777 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,786 | 42.8326 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | LONG | 6,886 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,590 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | LONG | 542 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,563 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,044 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | LONG | 368 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | LONG | 523 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,789 | 42.9113 GBP |
USD 0.25 ORDINARY | CFD | LONG | 30 | 42.9170 GBP |
USD 0.25 ORDINARY | CFD | LONG | 81,260 | 43.0069 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5 | 43.0639 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,000 | 43.2099 GBP |
USD 0.25 ORDINARY | CFD | LONG | 700,000 | 43.2709 GBP |
USD 0.25 ORDINARY | CFD | LONG | 125 | 43.3500 GBP |
USD 0.25 ORDINARY | CFD | LONG | 25,000 | 43.3670 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 12,529 | 41.2648 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,439 | 41.3112 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,535 | 41.3209 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,415 | 41.3209 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,550 | 41.3209 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,981 | 41.3400 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,345 | 41.4971 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,426 | 41.5216 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 109,000 | 41.5622 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 100 | 41.6350 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 16,343 | 41.7038 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,300 | 41.7133 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 18,161 | 41.7868 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 36,210 | 41.8349 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 21,300 | 41.8349 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 13,490 | 41.8349 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 125 | 41.8650 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,300 | 41.8872 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 18,000 | 41.9418 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,800 | 41.9919 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 35,129 | 42.1213 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 282 | 42.1476 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 24,186 | 42.1476 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 15,000 | 42.1856 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,000 | 42.1972 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,527 | 42.2444 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,200 | 42.2444 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,996 | 42.2444 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 11,397 | 42.2444 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 27,044 | 42.2444 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 506 | 42.2444 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 9,077 | 42.2961 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,000 | 42.2996 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 25,000 | 42.2996 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,000 | 42.3395 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 15,848 | 42.3467 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 20,000 | 42.4120 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 496,690 | 42.4328 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,747,831 | 42.4729 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 707 | 42.4729 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 220,867 | 42.4752 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1 | 42.4850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 26 | 42.4950 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 20,422 | 42.5037 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,578 | 42.5037 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 117 | 42.5288 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,000 | 42.5478 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 203 | 42.5581 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,088 | 42.6422 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 965 | 42.6433 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 13,679 | 42.7039 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,421 | 42.7369 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 24,969 | 42.7926 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,932 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,705 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,705 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 299 | 42.8750 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 18,513 | 42.8888 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,391 | 42.8888 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,269 | 42.8888 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,927 | 42.8888 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 24,073 | 42.8888 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 842 | 42.9035 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,000 | 42.9348 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 212 | 42.9383 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 709 | 42.9383 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,000 | 42.9740 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,000 | 42.9914 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,760 | 42.9977 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,240 | 42.9977 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,000 | 42.9977 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 16,000 | 42.9977 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,000 | 43.0162 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,800 | 43.1730 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,905 | 43.1730 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 891 | 43.1730 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 997 | 43.1730 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,234 | 43.1730 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 50,000 | 43.2218 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,356 | 43.3815 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,000 | 43.5593 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 30,000 | 43.8258 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 45,000 | 43.8258 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,000 | 43.9847 GBP |
USD 0.25 ORDINARY | CFD | LONG | 35,202 | 465.4733 SEK |
USD 0.25 ORDINARY | CFD | LONG | 30,951 | 466.9951 SEK |
USD 0.25 ORDINARY | CFD | LONG | 12,000 | 470.8488 SEK |
USD 0.25 ORDINARY | CFD | SHORT | 35,202 | 464.9604 SEK |
USD 0.25 ORDINARY | CFD | SHORT | 30,951 | 467.5237 SEK |
USD 0.25 ORDINARY | CFD | SHORT | 165 | 471.7545 SEK |
ADRS | CFD | LONG | 693.00 (Traded in ADR form) | 70.6400 USD |
ADRS | CFD | LONG | 4,222.00 (Traded in ADR form) | 70.6400 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 70.8000 USD |
ADRS | CFD | LONG | 48,425.00 (Traded in ADR form) | 71.0198 USD |
ADRS | CFD | LONG | 26,075.00 (Traded in ADR form) | 71.0198 USD |
ADRS | CFD | LONG | 59,150.00 (Traded in ADR form) | 71.1199 USD |
ADRS | CFD | LONG | 109,850.00 (Traded in ADR form) | 71.1199 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 71.2188 USD |
ADRS | CFD | LONG | 3,000.00 (Traded in ADR form) | 71.2900 USD |
ADRS | CFD | LONG | 4,000.00 (Traded in ADR form) | 71.3000 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 71.4000 USD |
ADRS | CFD | LONG | 200,000.00 (Traded in ADR form) | 71.5099 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 71.6000 USD |
ADRS | CFD | LONG | 400.00 (Traded in ADR form) | 71.6288 USD |
ADRS | CFD | LONG | 4,200.00 (Traded in ADR form) | 71.7821 USD |
ADRS | CFD | LONG | 1,000.00 (Traded in ADR form) | 71.7900 USD |
ADRS | CFD | LONG | 1,000.00 (Traded in ADR form) | 71.7990 USD |
ADRS | CFD | LONG | 22,000.00 (Traded in ADR form) | 71.8882 USD |
ADRS | CFD | LONG | 640.00 (Traded in ADR form) | 71.8900 USD |
ADRS | CFD | LONG | 3,000.00 (Traded in ADR form) | 71.8997 USD |
ADRS | CFD | LONG | 6,500.00 (Traded in ADR form) | 71.9000 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 72.0000 USD |
ADRS | CFD | LONG | 4,750.00 (Traded in ADR form) | 72.0000 USD |
ADRS | CFD | LONG | 20,000.00 (Traded in ADR form) | 72.0424 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 72.2000 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 72.2000 USD |
ADRS | CFD | LONG | 819.00 (Traded in ADR form) | 72.2978 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 72.3100 USD |
ADRS | CFD | LONG | 200.00 (Traded in ADR form) | 72.3200 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 72.3500 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 72.4000 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 72.6640 USD |
ADRS | CFD | LONG | 500.00 (Traded in ADR form) | 72.7300 USD |
ADRS | CFD | LONG | 300.00 (Traded in ADR form) | 72.7400 USD |
ADRS | CFD | LONG | 1,000.00 (Traded in ADR form) | 72.8300 USD |
ADRS | CFD | SHORT | 2,440.00 (Traded in ADR form) | 70.6400 USD |
ADRS | CFD | SHORT | 401.00 (Traded in ADR form) | 70.6400 USD |
ADRS | CFD | SHORT | 400.00 (Traded in ADR form) | 71.5000 USD |
ADRS | CFD | SHORT | 819.00 (Traded in ADR form) | 72.0920 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.3390 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.3400 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.3400 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.3450 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.3495 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.3700 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.3720 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.3780 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.3880 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.3900 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.3900 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.4050 USD |
ADRS | CFD | SHORT | 1,000.00 (Traded in ADR form) | 72.4100 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 | CALL | PURCHASE | 500,000 | 52.0000 | A | 19/09/2014 | 0.5150 GBP |
USD 0.25 ORDINARY | PUT | PURCHASE | 250,000 | 38.0000 | A | 19/09/2014 | 1.1700 GBP |
USD 0.25 ORDINARY | PUT | PURCHASE | 73,000 | 42.0000 | A | 20/06/2014 | 1.6200 GBP |
USD 0.25 ORDINARY | PUT | PURCHASE | 15,000 | 44.0000 | A | 20/06/2014 | 3.2031 GBP |
USD 0.25 ORDINARY | CALL | SALE | 500,000 | 48.0000 | A | 19/09/2014 | 1.2000 GBP |
ADRS | PUT | SALE | 50,000 | 75.0000 | A | 21/06/2014 | 5.9000 USD |
ADRS | PUT | SALE | 50,000 | 77.0000 | A | 21/06/2014 | 7.7000 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: | 22 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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