8th May 2014 10:18
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: | 30 APRIL 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 | 3,417,899 | 46.9700 GBP | 46.1200 GBP |
USD 0.25 ORDINARY | SALES | 2,132,988 | 46.9600 GBP | 46.0059 GBP |
USD 0.25 ORDINARY | SALES | 650,000 | 79.0525 USD | 78.6800 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 | 71 | 57.1600 EUR |
USD 0.25 ORDINARY | CFD | SHORT | 71 | 56.5700 EUR |
USD 0.25 ORDINARY | CFD | LONG | 1,473 | 46.0059 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,228 | 46.0059 GBP |
USD 0.25 ORDINARY | CFD | LONG | 196 | 46.1806 GBP |
USD 0.25 ORDINARY | CFD | LONG | 82 | 46.1806 GBP |
USD 0.25 ORDINARY | CFD | LONG | 67 | 46.1806 GBP |
USD 0.25 ORDINARY | CFD | LONG | 92 | 46.1806 GBP |
USD 0.25 ORDINARY | CFD | LONG | 332 | 46.1806 GBP |
USD 0.25 ORDINARY | CFD | LONG | 116 | 46.2344 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4 | 46.2375 GBP |
USD 0.25 ORDINARY | CFD | LONG | 80 | 46.2433 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3 | 46.2450 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,000 | 46.2453 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,084 | 46.2493 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1 | 46.2500 GBP |
USD 0.25 ORDINARY | CFD | LONG | 100 | 46.2575 GBP |
USD 0.25 ORDINARY | CFD | LONG | 631 | 46.4631 GBP |
USD 0.25 ORDINARY | CFD | LONG | 57,076 | 46.5392 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,243 | 46.5490 GBP |
USD 0.25 ORDINARY | CFD | LONG | 200 | 46.5928 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,335 | 46.5928 GBP |
USD 0.25 ORDINARY | CFD | LONG | 489,254 | 46.6085 GBP |
USD 0.25 ORDINARY | CFD | LONG | 10,911 | 46.6218 GBP |
USD 0.25 ORDINARY | CFD | LONG | 24,435 | 46.6400 GBP |
USD 0.25 ORDINARY | CFD | LONG | 182 | 46.6400 GBP |
USD 0.25 ORDINARY | CFD | LONG | 72 | 46.6400 GBP |
USD 0.25 ORDINARY | CFD | LONG | 37 | 46.6400 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,376 | 46.6492 GBP |
USD 0.25 ORDINARY | CFD | LONG | 160 | 46.6550 GBP |
USD 0.25 ORDINARY | CFD | LONG | 37,126 | 46.6649 GBP |
USD 0.25 ORDINARY | CFD | LONG | 114 | 46.6873 GBP |
USD 0.25 ORDINARY | CFD | LONG | 200 | 46.6985 GBP |
USD 0.25 ORDINARY | CFD | LONG | 127 | 46.7075 GBP |
USD 0.25 ORDINARY | CFD | LONG | 409 | 46.7114 GBP |
USD 0.25 ORDINARY | CFD | LONG | 232 | 46.7139 GBP |
USD 0.25 ORDINARY | CFD | LONG | 379 | 46.7200 GBP |
USD 0.25 ORDINARY | CFD | LONG | 167 | 46.7700 GBP |
USD 0.25 ORDINARY | CFD | LONG | 3,773 | 46.7700 GBP |
USD 0.25 ORDINARY | CFD | LONG | 836 | 46.7700 GBP |
USD 0.25 ORDINARY | CFD | LONG | 107 | 46.8900 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,000 | 46.8913 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 31 | 46.1908 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 9,500 | 46.2210 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 331 | 46.2487 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,168 | 46.2493 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,333 | 46.2500 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 52 | 46.2501 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1 | 46.2600 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 113,837 | 46.2687 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 341 | 46.3234 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,491 | 46.3973 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,166 | 46.3973 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 298 | 46.3973 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 510 | 46.5117 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 10,411 | 46.5341 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 57,076 | 46.5589 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 10,404 | 46.5907 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 494,143 | 46.5907 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 300 | 46.6400 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,492 | 46.6400 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 13,930 | 46.6400 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,828 | 46.6458 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 13 | 46.6550 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,685 | 46.6636 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,210 | 46.6636 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,105 | 46.6636 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 40,549 | 46.6640 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 8,428 | 46.7012 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,210 | 46.7591 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,420 | 46.7591 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 29,370 | 46.7591 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,685 | 46.8385 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,210 | 46.8385 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 7,105 | 46.8385 GBP |
USD 0.25 ORDINARY | CFD | LONG | 185 | 514.0000 SEK |
USD 0.25 ORDINARY | CFD | LONG | 120,000 | 0.6000 USD |
ADRS | CFD | LONG | 41 (Traded in ADR form) | 79.0500 USD |
ADRS | CFD | LONG | 249 (Traded in ADR form) | 79.0500 USD |
ADRS | CFD | LONG | 680 (Traded in ADR form) | 79.0500 USD |
ADRS | CFD | LONG | 4,143 (Traded in ADR form) | 79.0500 USD |
ADRS | CFD | SHORT | 2,259 (Traded in ADR form) | 78.8400 USD |
ADRS | CFD | SHORT | 371 (Traded in ADR form) | 78.8400 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 |
N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
(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: | 07 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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