20th Feb 2017 10:35
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 & Co. International plc |
(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 | 382,790 | 46.4483 USD | 46.4483 USD |
ADRs | SALES | 382,790 | 46.4483 USD | 46.4483 USD |
EUR 0.16 ordinary | PURCHASES | 4,720 | 44.7650 EUR | 42.2906 EUR |
EUR 0.16 ordinary | SALES | 4,150 | 44.7271 EUR | 39.8000 EUR |
New York registry | PURCHASES | 25,580 | 46.8300 USD | 46.6500 USD |
New York registry | SALES | 25,580 | 46.8300 USD | 46.6852 USD |
ODRs | PURCHASES | 13,361,311 | 44.9050 EUR | 23.8300 EUR |
ODRs | SALES | 12,510,398 | 44.9150 EUR | 23.4100 EUR |
ODRs | PURCHASES | 88,146 | 47.2221 USD | 46.7155 USD |
ODRs | SALES | 83,751 | 46.6747 USD | 46.6747 USD |
3 1_9p ordinary | PURCHASES | 5,809,979 | 38.4700 GBP | 33.4450 GBP |
3 1_9p ordinary | SALES | 4,555,115 | 38.4700 GBP | 33.4300 GBP |
3 1_9p ordinary | PURCHASES | 84,635 | 47.0122 USD | 47.0122 USD |
3 1_9p ordinary | SALES | 589,074 | 47.2495 USD | 46.3948 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 | 11,890 | 45.1587 USD |
ADRs | CFD | LONG | 26 | 46.3800 USD |
ADRs | CFD | LONG | 174 | 46.3800 USD |
ADRs | CFD | LONG | 3,000 | 46.9400 USD |
ADRs | CFD | LONG | 200 | 47.8400 USD |
ADRs | CFD | LONG | 1,300 | 48.1000 USD |
ADRs | CFD | LONG | 1,797 | 48.5300 USD |
ADRs | CFD | LONG | 2,195 | 48.5300 USD |
ADRs | CFD | SHORT | 26 | 46.3100 USD |
ADRs | CFD | SHORT | 200 | 47.2625 USD |
ADRs | CFD | SHORT | 174 | 47.2625 USD |
ADRs | CFD | SHORT | 3,267 | 48.5300 USD |
New York registry | CFD | LONG | 5,000 | 43.6380 USD |
New York registry | CFD | LONG | 1,200 | 43.9300 USD |
New York registry | CFD | LONG | 2,500 | 43.9684 USD |
New York registry | CFD | LONG | 2,500 | 44.0000 USD |
New York registry | CFD | LONG | 11,000 | 44.0835 USD |
New York registry | CFD | LONG | 7,410 | 45.2389 USD |
New York registry | CFD | LONG | 5,000 | 45.7590 USD |
New York registry | CFD | LONG | 6,500 | 46.0000 USD |
New York registry | CFD | LONG | 2,590 | 46.0004 USD |
New York registry | CFD | LONG | 6,250 | 46.0718 USD |
New York registry | CFD | LONG | 5,000 | 46.0916 USD |
New York registry | CFD | LONG | 7,000 | 46.1081 USD |
New York registry | CFD | LONG | 5,000 | 46.1562 USD |
New York registry | CFD | LONG | 1,000 | 46.2580 USD |
New York registry | CFD | LONG | 2,182 | 48.7900 USD |
New York registry | CFD | LONG | 1,787 | 48.7900 USD |
New York registry | CFD | SHORT | 3,000 | 46.7697 USD |
New York registry | CFD | SHORT | 1,000 | 47.7900 USD |
New York registry | CFD | SHORT | 200 | 47.7900 USD |
New York registry | CFD | SHORT | 4,284 | 48.7900 USD |
ADRs | CFD | LONG | 2,000,000 | 2.7125 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 |
ODRs | CALL | PURCHASE | 100 | 40.0000 | A | 17/03/2017 | 0.7000 EUR |
ODRs | CALL | PURCHASE | 19,000 | 46.0000 | A | 21/04/2017 | 0.8700 EUR |
ODRs | CALL | PURCHASE | 20,000 | 46.0000 | A | 21/04/2017 | 0.8800 EUR |
ODRs | CALL | PURCHASE | 3,100 | 46.0000 | A | 21/04/2017 | 1.0000 EUR |
ODRs | CALL | PURCHASE | 40,000 | 46.0000 | A | 21/04/2017 | 1.1200 EUR |
ODRs | CALL | SALE | 9,900 | 42.0000 | A | 17/03/2017 | 0.2000 EUR |
ODRs | CALL | SALE | 100 | 40.0000 | A | 17/03/2017 | 1.9400 EUR |
ODRs | PUT | PURCHASE | 2,300 | 32.0000 | A | 15/12/2017 | 0.7200 EUR |
ODRs | PUT | PURCHASE | 2,300 | 34.0000 | A | 15/12/2017 | 1.1100 EUR |
ODRs | PUT | PURCHASE | 8,300 | 34.0000 | A | 15/12/2017 | 1.1200 EUR |
ODRs | PUT | PURCHASE | 3,300 | 34.0000 | A | 15/12/2017 | 1.1200 EUR |
ODRs | PUT | PURCHASE | 10,600 | 35.0000 | A | 15/12/2017 | 1.3700 EUR |
ODRs | PUT | PURCHASE | 18,700 | 35.0000 | A | 15/12/2017 | 1.3800 EUR |
ODRs | PUT | SALE | 150,000 | 39.0000 | A | 17/03/2017 | 0.6100 EUR |
ODRs | CALL | SALE | 16,900 | 48.0000 | A | 21/04/2017 | 0.5300 EUR |
ODRs | CALL | SALE | 96,800 | 48.0000 | A | 21/04/2017 | 0.5300 EUR |
ODRs | CALL | SALE | 180,300 | 48.0000 | A | 21/04/2017 | 0.5300 EUR |
ODRs | CALL | SALE | 133,700 | 48.0000 | A | 21/04/2017 | 0.5300 EUR |
ODRs | CALL | SALE | 63,900 | 48.0000 | A | 21/04/2017 | 0.5300 EUR |
ODRs | CALL | SALE | 900 | 48.0000 | A | 21/04/2017 | 0.5300 EUR |
ODRs | CALL | SALE | 29,500 | 48.0000 | A | 21/04/2017 | 0.5300 EUR |
ODRs | CALL | SALE | 52,800 | 48.0000 | A | 21/04/2017 | 0.5300 EUR |
ODRs | CALL | SALE | 35,000 | 48.0000 | A | 21/04/2017 | 0.5300 EUR |
ODRs | CALL | SALE | 28,800 | 48.0000 | A | 21/04/2017 | 0.5300 EUR |
3 1_9p ordinary | CALL | PURCHASE | 5,000 | 3,500.0000 | A | 17/03/2017 | 0.3400 GBP |
3 1_9p ordinary | CALL | SALE | 4,000 | 3,500.0000 | A | 17/03/2017 | 2.8000 GBP |
3 1_9p ordinary | CALL | SALE | 1,000 | 3,500.0000 | A | 17/03/2017 | 2.8000 GBP |
ODRs | PUT | PURCHASE | 11,300 | 35.0000 | A | 15/12/2017 | 1.3700 EUR |
ODRs | PUT | PURCHASE | 7,800 | 35.0000 | A | 15/12/2017 | 1.3800 EUR |
ODRs | PUT | PURCHASE | 100,000 | 40.0000 | A | 15/12/2017 | 1.7000 EUR |
ODRs | PUT | PURCHASE | 200,000 | 40.0000 | A | 15/12/2017 | 1.7000 EUR |
ODRs | CALL | PURCHASE | 41,500 | 42.0000 | A | 15/12/2017 | 2.4000 EUR |
ODRs | CALL | PURCHASE | 8,500 | 42.0000 | A | 15/12/2017 | 2.4000 EUR |
ODRs | CALL | PURCHASE | 41,500 | 42.0000 | A | 15/12/2017 | 5.0000 EUR |
ODRs | CALL | SALE | 300 | 39.0000 | A | 17/02/2017 | 0.0000 EUR |
ODRs | CALL | SALE | 41,400 | 48.0000 | A | 21/04/2017 | 0.5300 EUR |
ODRs | CALL | SALE | 41,500 | 42.0000 | A | 15/12/2017 | 5.0000 EUR |
3 1_9p ordinary | CALL | PURCHASE | 10,000 | 3,600.0000 | A | 17/03/2017 | 0.1700 GBP |
3 1_9p ordinary | CALL | SALE | 25,000 | 3,600.0000 | A | 17/03/2017 | 1.7000 GBP |
3 1_9p ordinary | CALL | SALE | 20,000 | 3,600.0000 | A | 17/03/2017 | 1.8000 GBP |
3 1_9p ordinary | CALL | SALE | 5,000 | 3,600.0000 | A | 17/03/2017 | 1.8000 GBP |
3 1_9p ordinary | CALL | SALE | 5,000 | 3,600.0000 | A | 17/03/2017 | 2.0000 GBP |
3 1_9p ordinary | CALL | SALE | 2,000 | 3,600.0000 | A | 17/03/2017 | 2.2500 GBP |
3 1_9p ordinary | CALL | SALE | 3,000 | 3,600.0000 | A | 17/03/2017 | 2.2500 GBP |
(ii) Exercise
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
ODRs | PUT | 300,000 | 38.0000 EUR |
ODRs | PUT | 75,000 | 39.0000 EUR |
ODRs | CALL | 2,000 | 40.0000 EUR |
ODRs | CALL | 75,000 | 39.0000 EUR |
ODRs | PUT | 200,000 | 38.0000 EUR |
(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