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Form 8.5 (EPT/RI) Replacement Astrazeneca Plc

21st May 2014 11:33

RNS Number : 6897H

Morgan Stanley Securities Limited

21 May 2014

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:	20 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	3,460,837	43.0850 GBP	41.8450 GBP
USD 0.25 ORDINARY	SALES	4,967,994	43.0850 GBP	41.8650 GBP
USD 0.25 ORDINARY	PURCHASES	463,592	72.5175 GBP	72.0775 GBP
USD 0.25 ORDINARY	SALES	74,500	72.2000 GBP	72.2000 GBP
ADRS	PURCHASES	513,092.00 (Traded in ADR form)	72.5175 USD	72.0775 USD
ADRS	SALES	513,092.00 (Traded in ADR form)	72.4700 USD	72.2000 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	145	52.5544 EUR
USD 0.25 ORDINARY	CFD	LONG	168	52.7800 EUR
USD 0.25 ORDINARY	CFD	SHORT	145	52.3220 EUR
USD 0.25 ORDINARY	CFD	SHORT	168	52.4100 EUR
USD 0.25 ORDINARY	CFD	LONG	100	41.9550 GBP
USD 0.25 ORDINARY	CFD	LONG	2,302	42.0239 GBP
USD 0.25 ORDINARY	CFD	LONG	62	42.0239 GBP
USD 0.25 ORDINARY	CFD	LONG	2,302	42.0273 GBP
USD 0.25 ORDINARY	CFD	LONG	87	42.2113 GBP
USD 0.25 ORDINARY	CFD	LONG	274	42.2113 GBP
USD 0.25 ORDINARY	CFD	LONG	497	42.2250 GBP
USD 0.25 ORDINARY	CFD	LONG	109,000	42.3010 GBP
USD 0.25 ORDINARY	CFD	LONG	4,216	42.3237 GBP
USD 0.25 ORDINARY	CFD	LONG	7,505	42.3237 GBP
USD 0.25 ORDINARY	CFD	LONG	8,433	42.3237 GBP
USD 0.25 ORDINARY	CFD	LONG	928	42.3237 GBP
USD 0.25 ORDINARY	CFD	LONG	520	42.3826 GBP
USD 0.25 ORDINARY	CFD	LONG	4,729	42.3826 GBP
USD 0.25 ORDINARY	CFD	LONG	2,365	42.3826 GBP
USD 0.25 ORDINARY	CFD	LONG	4,209	42.3826 GBP
USD 0.25 ORDINARY	CFD	LONG	166,059	42.4116 GBP
USD 0.25 ORDINARY	CFD	LONG	105,750	42.4190 GBP
USD 0.25 ORDINARY	CFD	LONG	122,500	42.4794 GBP
USD 0.25 ORDINARY	CFD	LONG	227,500	42.4794 GBP
USD 0.25 ORDINARY	CFD	LONG	7,412	42.4806 GBP
USD 0.25 ORDINARY	CFD	LONG	200,000	42.5265 GBP
USD 0.25 ORDINARY	CFD	LONG	774,196	42.5860 GBP
USD 0.25 ORDINARY	CFD	LONG	11,157	42.5985 GBP
USD 0.25 ORDINARY	CFD	LONG	19,840	42.6477 GBP
USD 0.25 ORDINARY	CFD	LONG	856	42.7261 GBP
USD 0.25 ORDINARY	CFD	LONG	5,361	42.7404 GBP
USD 0.25 ORDINARY	CFD	LONG	2,385	42.7404 GBP
USD 0.25 ORDINARY	CFD	LONG	11,004	42.7404 GBP
USD 0.25 ORDINARY	CFD	LONG	162,500	42.7516 GBP
USD 0.25 ORDINARY	CFD	LONG	87,500	42.7516 GBP
USD 0.25 ORDINARY	CFD	LONG	98,000	42.7911 GBP
USD 0.25 ORDINARY	CFD	LONG	182,000	42.7911 GBP
USD 0.25 ORDINARY	CFD	LONG	200	42.8000 GBP
USD 0.25 ORDINARY	CFD	LONG	463	42.8167 GBP
USD 0.25 ORDINARY	CFD	LONG	6,424	42.8239 GBP
USD 0.25 ORDINARY	CFD	LONG	19,498	42.8502 GBP
USD 0.25 ORDINARY	CFD	LONG	595	42.8502 GBP
USD 0.25 ORDINARY	CFD	LONG	5,000	42.8744 GBP
USD 0.25 ORDINARY	CFD	LONG	26,075	42.9000 GBP
USD 0.25 ORDINARY	CFD	LONG	48,425	42.9000 GBP
USD 0.25 ORDINARY	CFD	LONG	20	42.9185 GBP
USD 0.25 ORDINARY	CFD	LONG	1,209	42.9258 GBP
USD 0.25 ORDINARY	CFD	LONG	54	42.9258 GBP
USD 0.25 ORDINARY	CFD	LONG	268	42.9258 GBP
USD 0.25 ORDINARY	CFD	LONG	3,400	42.9650 GBP
USD 0.25 ORDINARY	CFD	LONG	160	43.0485 GBP
USD 0.25 ORDINARY	CFD	LONG	60	43.0850 GBP
USD 0.25 ORDINARY	CFD	LONG	29,049	43.0850 GBP
USD 0.25 ORDINARY	CFD	SHORT	2,000	41.9712 GBP
USD 0.25 ORDINARY	CFD	SHORT	100	42.0100 GBP
USD 0.25 ORDINARY	CFD	SHORT	91	42.0137 GBP
USD 0.25 ORDINARY	CFD	SHORT	2,051	42.0137 GBP
USD 0.25 ORDINARY	CFD	SHORT	455	42.0137 GBP
USD 0.25 ORDINARY	CFD	SHORT	200	42.0300 GBP
USD 0.25 ORDINARY	CFD	SHORT	6,999	42.0376 GBP
USD 0.25 ORDINARY	CFD	SHORT	3,385	42.0376 GBP
USD 0.25 ORDINARY	CFD	SHORT	241	42.0376 GBP
USD 0.25 ORDINARY	CFD	SHORT	81	42.0376 GBP
USD 0.25 ORDINARY	CFD	SHORT	47	42.0400 GBP
USD 0.25 ORDINARY	CFD	SHORT	66,786	42.0814 GBP
USD 0.25 ORDINARY	CFD	SHORT	180	42.1137 GBP
USD 0.25 ORDINARY	CFD	SHORT	1,430	42.2781 GBP
USD 0.25 ORDINARY	CFD	SHORT	274	42.2781 GBP
USD 0.25 ORDINARY	CFD	SHORT	4,386	42.2781 GBP
USD 0.25 ORDINARY	CFD	SHORT	19,840	42.3194 GBP
USD 0.25 ORDINARY	CFD	SHORT	473	42.3500 GBP
USD 0.25 ORDINARY	CFD	SHORT	106,750	42.3548 GBP
USD 0.25 ORDINARY	CFD	SHORT	166,059	42.3688 GBP
USD 0.25 ORDINARY	CFD	SHORT	6,600	42.3850 GBP
USD 0.25 ORDINARY	CFD	SHORT	600	42.3850 GBP
USD 0.25 ORDINARY	CFD	SHORT	301	42.3950 GBP
USD 0.25 ORDINARY	CFD	SHORT	323	42.4000 GBP
USD 0.25 ORDINARY	CFD	SHORT	2,700	42.4000 GBP
USD 0.25 ORDINARY	CFD	SHORT	122	42.4494 GBP
USD 0.25 ORDINARY	CFD	SHORT	149	42.4650 GBP
USD 0.25 ORDINARY	CFD	SHORT	160	42.4900 GBP
USD 0.25 ORDINARY	CFD	SHORT	132	42.5000 GBP
USD 0.25 ORDINARY	CFD	SHORT	780,864	42.5724 GBP
USD 0.25 ORDINARY	CFD	SHORT	4,404	42.5724 GBP
USD 0.25 ORDINARY	CFD	SHORT	5,331	42.5814 GBP
USD 0.25 ORDINARY	CFD	SHORT	8,418	42.5814 GBP
USD 0.25 ORDINARY	CFD	SHORT	14,311	42.5814 GBP
USD 0.25 ORDINARY	CFD	SHORT	1,242	42.6778 GBP
USD 0.25 ORDINARY	CFD	SHORT	507	42.8105 GBP
USD 0.25 ORDINARY	CFD	SHORT	19,498	42.8105 GBP
USD 0.25 ORDINARY	CFD	SHORT	4,000	42.8144 GBP
USD 0.25 ORDINARY	CFD	SHORT	8,000	42.8144 GBP
USD 0.25 ORDINARY	CFD	SHORT	7,120	42.8144 GBP
USD 0.25 ORDINARY	CFD	SHORT	880	42.8144 GBP
USD 0.25 ORDINARY	CFD	SHORT	2,877	42.8382 GBP
USD 0.25 ORDINARY	CFD	SHORT	4,638	42.8382 GBP
USD 0.25 ORDINARY	CFD	SHORT	1,424	42.8382 GBP
USD 0.25 ORDINARY	CFD	SHORT	1,594	42.8382 GBP
USD 0.25 ORDINARY	CFD	SHORT	3,567	42.8382 GBP
USD 0.25 ORDINARY	CFD	SHORT	35	42.8525 GBP
USD 0.25 ORDINARY	CFD	SHORT	1	42.8800 GBP
USD 0.25 ORDINARY	CFD	SHORT	173	42.8864 GBP
USD 0.25 ORDINARY	CFD	SHORT	928	42.9105 GBP
USD 0.25 ORDINARY	CFD	SHORT	8,433	42.9105 GBP
USD 0.25 ORDINARY	CFD	SHORT	4,216	42.9105 GBP
USD 0.25 ORDINARY	CFD	SHORT	7,505	42.9105 GBP
USD 0.25 ORDINARY	CFD	SHORT	157	42.9688 GBP
USD 0.25 ORDINARY	CFD	SHORT	13,354	43.0850 GBP
USD 0.25 ORDINARY	CFD	SHORT	567	43.0850 GBP
USD 0.25 ORDINARY	CFD	SHORT	116	43.0850 GBP
USD 0.25 ORDINARY	CFD	SHORT	205	43.0850 GBP
USD 0.25 ORDINARY	CFD	SHORT	1,108	43.0850 GBP
USD 0.25 ORDINARY	CFD	SHORT	15,862	43.0850 GBP
USD 0.25 ORDINARY	CFD	SHORT	2,759	43.0850 GBP
USD 0.25 ORDINARY	CFD	SHORT	499	43.0850 GBP
USD 0.25 ORDINARY	CFD	SHORT	368	43.0850 GBP
USD 0.25 ORDINARY	CFD	SHORT	332	43.0850 GBP
USD 0.25 ORDINARY	FUTURE	SALE	21	4,206.4870 GBP
ADRS	CFD	LONG	3,402.00 (Traded in ADR form)	71.3720 USD
ADRS	CFD	LONG	2,440.00 (Traded in ADR form)	72.0000 USD
ADRS	CFD	LONG	401.00 (Traded in ADR form)	72.0000 USD
ADRS	CFD	LONG	400.00 (Traded in ADR form)	72.3300 USD
ADRS	CFD	SHORT	3,402.00 (Traded in ADR form)	72.1411 USD
ADRS	CFD	SHORT	400.00 (Traded in ADR form)	72.2000 USD
ADRS	CFD	SHORT	392.00 (Traded in ADR form)	72.2000 USD
ADRS	CFD	SHORT	2,386.00 (Traded in ADR form)	72.2000 USD

(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	PUT	PURCHASE	700,000	34.0000	A	19/12/2014	0.4000 GBP
USD 0.25 ORDINARY	PUT	PURCHASE	13,000	41.0000	E	19/12/2014	2.6000 GBP
USD 0.25 ORDINARY	CALL	SALE	392,000	52.0000	A	19/09/2014	0.7100 GBP
USD 0.25 ORDINARY	CALL	SALE	200,000	52.0000	A	19/09/2014	0.7250 GBP
USD 0.25 ORDINARY	CALL	SALE	108,000	52.0000	A	19/09/2014	0.7250 GBP
USD 0.25 ORDINARY	CALL	SALE	13,000	44.7300	E	19/12/2014	2.6000 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:	21 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.

This information is provided by RNS

The company news service from the London Stock Exchange

END

FERLLFVIEFILFIS

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