1st May 2014 14:04
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: | 29 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 | 3,766,129 | 47.6181 GBP | 45.9650 GBP |
USD 0.25 ORDINARY | SALES | 3,415,840 | 47.6321 GBP | 45.9650 GBP |
(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 | 3,000 | 46.0000 GBP |
USD 0.25 ORDINARY | CFD | LONG | 44 | 46.0081 GBP |
USD 0.25 ORDINARY | CFD | LONG | 131 | 46.0936 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,872 | 46.0936 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,300 | 46.1911 GBP |
USD 0.25 ORDINARY | CFD | LONG | 282 | 46.2256 GBP |
USD 0.25 ORDINARY | CFD | LONG | 903 | 46.2256 GBP |
USD 0.25 ORDINARY | CFD | LONG | 197 | 46.3250 GBP |
USD 0.25 ORDINARY | CFD | LONG | 13,930 | 46.3250 GBP |
USD 0.25 ORDINARY | CFD | LONG | 25,240 | 46.3268 GBP |
USD 0.25 ORDINARY | CFD | LONG | 12,470 | 46.3322 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,031 | 46.3712 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,864 | 46.3712 GBP |
USD 0.25 ORDINARY | CFD | LONG | 7,421 | 46.3712 GBP |
USD 0.25 ORDINARY | CFD | LONG | 11,081 | 46.3712 GBP |
USD 0.25 ORDINARY | CFD | LONG | 6,605 | 46.3712 GBP |
USD 0.25 ORDINARY | CFD | LONG | 193 | 46.3750 GBP |
USD 0.25 ORDINARY | CFD | LONG | 590 | 46.3798 GBP |
USD 0.25 ORDINARY | CFD | LONG | 510 | 46.3798 GBP |
USD 0.25 ORDINARY | CFD | LONG | 910 | 46.3862 GBP |
USD 0.25 ORDINARY | CFD | LONG | 10,404 | 46.4105 GBP |
USD 0.25 ORDINARY | CFD | LONG | 510,477 | 46.4105 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,497 | 46.4326 GBP |
USD 0.25 ORDINARY | CFD | LONG | 500 | 46.4326 GBP |
USD 0.25 ORDINARY | CFD | LONG | 10,805 | 46.4326 GBP |
USD 0.25 ORDINARY | CFD | LONG | 75 | 46.4579 GBP |
USD 0.25 ORDINARY | CFD | LONG | 122 | 46.4800 GBP |
USD 0.25 ORDINARY | CFD | LONG | 53,951 | 46.4948 GBP |
USD 0.25 ORDINARY | CFD | LONG | 6,026 | 46.5106 GBP |
USD 0.25 ORDINARY | CFD | LONG | 58,379 | 46.5284 GBP |
USD 0.25 ORDINARY | CFD | LONG | 70 | 46.5325 GBP |
USD 0.25 ORDINARY | CFD | LONG | 840 | 46.6042 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,500 | 46.6272 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 55 | 46.0514 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 4,000 | 46.0672 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,300 | 46.0888 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 112 | 46.1176 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,765 | 46.1177 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,000 | 46.1305 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 151 | 46.1433 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 100 | 46.1650 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 145 | 46.1800 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,721 | 46.2666 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 126 | 46.2666 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 629 | 46.2666 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 38,643 | 46.3010 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 12,470 | 46.3079 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 14,000 | 46.3111 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 605 | 46.3250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 30 | 46.3250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6 | 46.3250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 12 | 46.3250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 28,869 | 46.3250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 193 | 46.3250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,576 | 46.3250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 197 | 46.3250 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 118,675 | 46.3355 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 54,584 | 46.3989 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,591 | 46.4178 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 510,477 | 46.4239 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,219 | 46.4239 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,862 | 46.4346 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 12,005 | 46.5982 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 767 | 46.5983 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 395 | 46.6067 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,190 | 46.6067 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,667 | 46.6372 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,002 | 46.6792 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 383 | 46.6792 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 379 | 47.0341 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,941 | 47.0341 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 375 | 47.6181 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,875 | 47.6181 GBP |
USD 0.25 ORDINARY | CFD | LONG | 28,365 | 513.0000 SEK |
USD 0.25 ORDINARY | CFD | SHORT | 700,000 (Traded in ADR Form) | 0.7000 USD |
USD 0.25 ORDINARY | CFD | SHORT | 800,000 (Traded in ADR Form) | 0.7500 USD |
USD 0.25 ORDINARY | CFD | SHORT | 220,000 (Traded in ADR Form) | 0.7500 USD |
USD 0.25 ORDINARY | CFD | SHORT | 200,000 (Traded in ADR Form) | 2.2000 USD |
USD 0.25 ORDINARY | CFD | SHORT | 350,000 (Traded in ADR Form) | 2.3000 USD |
USD 0.25 ORDINARY | CFD | SHORT | 150,000 (Traded in ADR Form) | 2.9000 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: | 01 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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