20th Feb 2017 10:40
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 Capital Services LLC |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Unilever Plc and Unilever N.V. |
(c) Name of the party to the offer with which exempt principal trader is connected:
| Unilever Plc and Unilever N.V. |
(d) Date dealing undertaken: | 17 FEBRUARY 2017 |
(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
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.
The currency of all prices and other monetary amounts should be stated.
(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 |
ADRs | PURCHASES | 56,376 | 48.8000 USD | 46.0700 USD |
ADRs | SALES | 252,568 | 48.8100 USD | 43.9800 USD |
New York registry | PURCHASES | 269,828 | 48.8400 USD | 46.3400 USD |
New York registry | SALES | 259,395 | 49.1600 USD | 43.6300 USD |
(b) Cash-settled derivative transactions
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 |
ADRs | CFD | LONG | 3,000 | 44.3000 USD |
ADRs | CFD | LONG | 2,300 | 46.4660 USD |
ADRs | CFD | LONG | 15,000 | 46.4967 USD |
ADRs | CFD | LONG | 44,924 | 46.6641 USD |
ADRs | CFD | LONG | 779 | 46.7400 USD |
ADRs | CFD | LONG | 11,817 | 46.8076 USD |
ADRs | CFD | LONG | 3,000 | 46.9400 USD |
ADRs | CFD | LONG | 96 | 47.4238 USD |
ADRs | CFD | LONG | 35,479 | 47.4238 USD |
ADRs | CFD | LONG | 53,600 | 47.9162 USD |
ADRs | CFD | LONG | 53,600 | 47.9162 USD |
ADRs | CFD | LONG | 78,645 | 47.9163 USD |
ADRs | CFD | LONG | 1,300 | 48.1000 USD |
ADRs | CFD | LONG | 1,045 | 48.2746 USD |
ADRs | CFD | LONG | 800 | 48.2775 USD |
ADRs | CFD | LONG | 1,200 | 48.3356 USD |
ADRs | CFD | LONG | 2,534 | 48.3480 USD |
ADRs | CFD | LONG | 32,100 | 48.4789 USD |
ADRs | CFD | LONG | 612 | 48.5011 USD |
ADRs | CFD | LONG | 25,000 | 48.5300 USD |
ADRs | CFD | LONG | 1,797 | 48.5300 USD |
ADRs | CFD | LONG | 1,700 | 48.5630 USD |
ADRs | CFD | SHORT | 20,120 | 46.5620 USD |
ADRs | CFD | SHORT | 6,120 | 46.7777 USD |
ADRs | CFD | SHORT | 5,900 | 46.9404 USD |
ADRs | CFD | SHORT | 5,900 | 46.9404 USD |
ADRs | CFD | SHORT | 45,876 | 47.1093 USD |
ADRs | CFD | SHORT | 1,236 | 47.2500 USD |
ADRs | CFD | SHORT | 300 | 47.2500 USD |
ADRs | CFD | SHORT | 8,400 | 47.5766 USD |
ADRs | CFD | SHORT | 2,300 | 47.6254 USD |
ADRs | CFD | SHORT | 5,700 | 48.1106 USD |
ADRs | CFD | SHORT | 1,700 | 48.2889 USD |
ADRs | CFD | SHORT | 333 | 48.3448 USD |
ADRs | CFD | SHORT | 100 | 48.3700 USD |
ADRs | CFD | SHORT | 100 | 48.3700 USD |
ADRs | CFD | SHORT | 500 | 48.5300 USD |
ADRs | CFD | SHORT | 3,267 | 48.5300 USD |
New York registry | CFD | LONG | 11,000 | 44.0835 USD |
New York registry | CFD | LONG | 6,500 | 46.0000 USD |
New York registry | CFD | LONG | 674 | 46.8000 USD |
New York registry | CFD | LONG | 64,363 | 47.2709 USD |
New York registry | CFD | LONG | 36,301 | 47.2795 USD |
New York registry | CFD | LONG | 102,849 | 47.8004 USD |
New York registry | CFD | LONG | 4,526 | 47.9461 USD |
New York registry | CFD | LONG | 32,300 | 48.0455 USD |
New York registry | CFD | LONG | 32,300 | 48.0455 USD |
New York registry | CFD | LONG | 5,800 | 48.4432 USD |
New York registry | CFD | LONG | 3,600 | 48.5403 USD |
New York registry | CFD | LONG | 2,482 | 48.6291 USD |
New York registry | CFD | LONG | 1,200 | 48.6534 USD |
New York registry | CFD | LONG | 1,230 | 48.7189 USD |
New York registry | CFD | LONG | 500 | 48.7900 USD |
New York registry | CFD | LONG | 1,787 | 48.7900 USD |
New York registry | CFD | LONG | 23,500 | 48.8281 USD |
New York registry | CFD | SHORT | 15,400 | 46.6531 USD |
New York registry | CFD | SHORT | 5,900 | 46.7283 USD |
New York registry | CFD | SHORT | 5,900 | 46.7283 USD |
New York registry | CFD | SHORT | 300 | 46.9500 USD |
New York registry | CFD | SHORT | 26,070 | 46.9828 USD |
New York registry | CFD | SHORT | 3,600 | 47.2261 USD |
New York registry | CFD | SHORT | 4,370 | 47.5316 USD |
New York registry | CFD | SHORT | 2,400 | 47.7376 USD |
New York registry | CFD | SHORT | 700 | 48.4257 USD |
New York registry | CFD | SHORT | 700 | 48.4257 USD |
New York registry | CFD | SHORT | 2,900 | 48.7900 USD |
New York registry | CFD | SHORT | 4,284 | 48.7900 USD |
(c) Stock-settled derivative transactions (including options)
(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 | CALL | SALE | 5,000 | 45.0000 | A | 17/03/2017 | 2.2500 USD |
ADRs | CALL | SALE | 5,000 | 45.0000 | A | 17/03/2017 | 2.5000 USD |
ADRs | CALL | SALE | 5,000 | 45.0000 | A | 17/03/2017 | 2.5000 USD |
ADRs | CALL | SALE | 5,000 | 45.0000 | A | 17/03/2017 | 3.6000 USD |
(ii) Exercise
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: | 20 FEBRUARY 2017 |
| Contact name: | Craig Horsley |
| Telephone number: | +44(141) 245 7736 |
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.
Related Shares:
Unilever