20th May 2014 11:53
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: | (GS) GOLDMAN SACHS INTERNATIONAL |
(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 - disclosed previously for PFIZER INC |
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 | 605,0393,680,478 | 485.0000 SEK44.0975 GBP | 460.2000 SEK40.9875 GBP |
USD 0.25 ordinary | Sales | 3,348,235605,039 | 44.1014 GBP477.5000 SEK | 40.9950 GBP459.5000 SEK |
ADR | Purchases | 26,105 | 72.3493 USD | 70.1083 USD |
ADR | Sales | 26,105 | 72.3493 USD | 70.0000 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 | Opening a short position | 30,000 | 41.0966 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 100,000 | 41.1364 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 800 | 41.1649 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 28,926 | 41.2649 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 6,884 | 41.3400 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 2,000 | 41.4800 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 4,000 | 41.4800 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 14,651 | 41.4972 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 3,291 | 41.5217 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 25,000 | 41.5622 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 500 | 41.6100 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 2,996 | 41.6113 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 16,843 | 41.6113 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 9,130 | 41.6113 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 5,000 | 41.6229 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 15,189 | 41.8606 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 5,500 | 41.9152 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 5,500 | 41.9366 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 1,500 | 41.9366 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 25,000 | 41.9660 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 220 | 42.0000 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 7,500 | 42.0000 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 12,500 | 42.0118 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 5,000 | 42.0118 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 5,000 | 42.0432 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 15,000 | 42.1029 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 6,500 | 42.1252 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 3,000 | 42.1286 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 20,000 | 42.2000 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 25,000 | 42.2296 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 1,000 | 42.4750 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 1,000 | 42.4750 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 3,000 | 42.4750 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 14,129 | 42.4790 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 281 | 42.4790 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 8,625 | 42.4790 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 5,465 | 42.4790 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 20,000 | 42.6020 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 18,500 | 42.6034 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 125,000 | 42.6037 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 15 | 42.6726 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 122 | 42.6726 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 14 | 42.6726 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 3,000 | 42.6753 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 38,000 | 42.6823 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 4,000 | 42.7000 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 1,500 | 42.7720 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 100 | 42.7720 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 2,000 | 42.7720 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 400 | 42.7720 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 5,000 | 42.7886 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 15,000 | 42.7886 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 5,000 | 42.7886 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 5,000 | 42.7886 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 5,000 | 42.7886 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 5,000 | 42.7886 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 19,465 | 42.8270 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 10,552 | 42.8270 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 3,462 | 42.8270 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 400 | 42.8306 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 13,000 | 42.8306 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 20,242 | 42.8750 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 220 | 42.8750 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 11,478 | 42.8762 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 20,340 | 42.8762 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 43,182 | 42.8762 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 409 | 42.8814 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 227 | 42.9328 GBP |
USD 0.25 ordinary | CFD | Reducing a long position | 20,343 | 42.9328 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 8,000 | 42.9580 GBP |
USD 0.25 ordinary | CFD | Opening a short position | 10,000 | 42.9838 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 4,000 | 43.1312 GBP |
USD 0.25 ordinary | CFD | Opening a long position | 3,000 | 43.3235 GBP |
USD 0.25 ordinary | CFD | Reducing a short position | 8,000 | 43.3235 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 4,539 | 41.4093 GBP |
USD 0.25 ordinary | SWAP | Increasing a short position | 3,445 | 41.9979 GBP |
USD 0.25 ordinary | SWAP | Reducing a short position | 3,200 | 42.0118 GBP |
USD 0.25 ordinary | SWAP | Reducing a short position | 16,800 | 42.0118 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 56,000 | 42.1176 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 14,000 | 42.1176 GBP |
USD 0.25 ordinary | SWAP | Reducing a short position | 4,539 | 42.2575 GBP |
USD 0.25 ordinary | SWAP | Reducing a long position | 2,184 | 42.6813 GBP |
USD 0.25 ordinary | SWAP | Reducing a long position | 350,000 | 42.8750 GBP |
USD 0.25 ordinary | SWAP | Reducing a short position | 20,242 | 42.8750 GBP |
USD 0.25 ordinary | SWAP | Opening a long position | 350,000 | 42.8750 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 16,800 | 43.9548 GBP |
USD 0.25 ordinary | SWAP | Opening a short position | 3,200 | 43.9548 GBP |
(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 |
ADR | Call Option / (1.00 : 100.00) | Purchasing | 11 (1,100) | 80.0000 USD | AMERICAN | 21/06/2014 | 1.7000 USD |
ADR | Call Option / (1.00 : 100.00) | Purchasing | 12 (1,200) | 80.0000 USD | AMERICAN | 21/06/2014 | 1.7000 USD |
ADR | Call Option / (1.00 : 100.00) | Purchasing | 2 (200) | 80.0000 USD | AMERICAN | 21/06/2014 | 1.7000 USD |
ADR | Call Option / (1.00 : 100.00) | Purchasing | 5 (500) | 80.0000 USD | AMERICAN | 21/06/2014 | 1.7000 USD |
ADR | Call Option / (1.00 : 100.00) | Selling | 12 (1,200) | 80.0000 USD | AMERICAN | 21/06/2014 | 1.7000 USD |
ADR | Call Option / (1.00 : 100.00) | Selling | 11 (1,100) | 80.0000 USD | AMERICAN | 21/06/2014 | 1.7000 USD |
ADR | Call Option / (1.00 : 100.00) | Selling | 5 (500) | 80.0000 USD | AMERICAN | 21/06/2014 | 1.7000 USD |
ADR | Call Option / (1.00 : 100.00) | Selling | 2 (200) | 80.0000 USD | AMERICAN | 21/06/2014 | 1.7000 USD |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Purchasing | 10 (10,000) | 39.0000 USD | AMERICAN | 18/07/2014 | 1.0000 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Purchasing | 10 (10,000) | 39.0000 GBP | AMERICAN | 18/07/2014 | 1.0000 GBP |
USD 0.25 ordinary | Put Option / (1.00 : 1,000.00) | Selling | 10 (10,000) | 39.0000 GBP | AMERICAN | 18/07/2014 | 1.0000 GBP |
(ii) Exercising
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
(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) |
|
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: | 20 May 2014 |
| Contact name: | Aadithya Rao and Yiannis Bardis |
| Telephone number: | +44(20) 7051 9046 / +44(20) 7774 7107 |
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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