15th May 2014 15:23
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: | 13 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 | 2,667,341 | 47.3000 GBP | 46.1100 GBP |
USD 0.25 ORDINARY | SALES | 2,617,403 | 47.2900 GBP | 46.1500 GBP |
ADRS | PURCHASES | 291,000(Traded in ADR form) | 78.5800 USD | 78.5800 USD |
ADRS | SALES | 291,000(Traded in ADR form) | 78.6441 USD | 78.6000 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 | 70 | 57.4900 EUR |
USD 0.25 ORDINARY | CFD | SHORT | 70 | 56.8700 EUR |
USD 0.25 ORDINARY | CFD | LONG | 451 | 46.3500 GBP |
USD 0.25 ORDINARY | CFD | LONG | 490 | 46.3501 GBP |
USD 0.25 ORDINARY | CFD | LONG | 12,729 | 46.4200 GBP |
USD 0.25 ORDINARY | CFD | LONG | 241 | 46.4200 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2 | 46.4200 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,800 | 46.4515 GBP |
USD 0.25 ORDINARY | CFD | LONG | 9,500 | 46.4827 GBP |
USD 0.25 ORDINARY | CFD | LONG | 431 | 46.4965 GBP |
USD 0.25 ORDINARY | CFD | LONG | 47 | 46.5185 GBP |
USD 0.25 ORDINARY | CFD | LONG | 687 | 46.5536 GBP |
USD 0.25 ORDINARY | CFD | LONG | 34,661 | 46.5536 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,137 | 46.5681 GBP |
USD 0.25 ORDINARY | CFD | LONG | 185 | 46.6000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,944 | 46.6278 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,166 | 46.6299 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,497 | 46.6299 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,794 | 46.6299 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,173 | 46.6299 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,429 | 46.6299 GBP |
USD 0.25 ORDINARY | CFD | LONG | 291,000 | 46.6300 GBP |
USD 0.25 ORDINARY | CFD | LONG | 189,150 | 46.6300 GBP |
USD 0.25 ORDINARY | CFD | LONG | 101,850 | 46.6300 GBP |
USD 0.25 ORDINARY | CFD | LONG | 346,460 | 46.6550 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,461 | 46.6550 GBP |
USD 0.25 ORDINARY | CFD | LONG | 677 | 46.6631 GBP |
USD 0.25 ORDINARY | CFD | LONG | 186 | 46.7480 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,629 | 46.9467 GBP |
USD 0.25 ORDINARY | CFD | LONG | 161 | 46.9467 GBP |
USD 0.25 ORDINARY | CFD | LONG | 805 | 46.9467 GBP |
USD 0.25 ORDINARY | CFD | LONG | 10,000 | 47.2048 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 435 | 46.4127 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,960 | 46.4127 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 87 | 46.4127 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2 | 46.4200 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 438 | 46.4200 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,093 | 46.4200 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 843 | 46.4200 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 685 | 46.4200 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 31 | 46.4200 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,294 | 46.4200 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,163 | 46.4204 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,800 | 46.4273 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 26,002 | 46.4878 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 34,661 | 46.5107 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 810 | 46.5158 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 427 | 46.5324 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2 | 46.5600 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,314 | 46.5606 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 9,500 | 46.5645 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 514 | 46.5818 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 300 | 46.5850 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 489 | 46.6360 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 346,460 | 46.6526 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,704 | 46.6526 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 507 | 46.7133 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,600 | 46.7259 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14 | 46.7292 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,400 | 46.7518 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,000 | 46.7650 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 22 | 46.7918 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,767 | 46.8141 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 16 | 46.9468 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 360 | 46.9635 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14 | 47.0737 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2 | 47.1200 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 9 | 47.1855 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,500 | 519.0000 SEK |
ADRS | CFD | LONG | 57 (Traded in ADR form) | 78.3600 USD |
ADRS | CFD | LONG | 9 (Traded in ADR form) | 78.3600 USD |
ADRS | CFD | SHORT | 189,150 (Traded in ADR form) | 78.6442 USD |
ADRS | CFD | SHORT | 101,850 (Traded in ADR form) | 78.6442 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 | SALE | 50,000 | 4,500.0000 | A | 20/06/2014 | 2.9300 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: | 15 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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