6th May 2014 15:51
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: | 01 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 |
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 | 647,853 | 48.1500 GBP | 46.6800 GBP |
USD 0.25 ORDINARY | SALES | 508,912 | 48.1500 GBP | 46.6800 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 | 5,000 | 46.7643 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4 | 46.7900 GBP |
USD 0.25 ORDINARY | CFD | LONG | 75 | 46.8341 GBP |
USD 0.25 ORDINARY | CFD | LONG | 184 | 46.8571 GBP |
USD 0.25 ORDINARY | CFD | LONG | 96 | 46.8894 GBP |
USD 0.25 ORDINARY | CFD | LONG | 21 | 46.8933 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2 | 46.9050 GBP |
USD 0.25 ORDINARY | CFD | LONG | 206,061 | 46.9089 GBP |
USD 0.25 ORDINARY | CFD | LONG | 5,000 | 46.9214 GBP |
USD 0.25 ORDINARY | CFD | LONG | 12 | 46.9291 GBP |
USD 0.25 ORDINARY | CFD | LONG | 357 | 46.9757 GBP |
USD 0.25 ORDINARY | CFD | LONG | 640 | 47.0051 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,500 | 47.0572 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,322 | 47.1208 GBP |
USD 0.25 ORDINARY | CFD | LONG | 125 | 47.1275 GBP |
USD 0.25 ORDINARY | CFD | LONG | 6,021 | 47.1579 GBP |
USD 0.25 ORDINARY | CFD | LONG | 2,061 | 47.1852 GBP |
USD 0.25 ORDINARY | CFD | LONG | 4,454 | 48.1500 GBP |
USD 0.25 ORDINARY | CFD | LONG | 1,587 | 48.1500 GBP |
USD 0.25 ORDINARY | CFD | LONG | 21,526 | 48.1500 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,410 | 46.8679 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 9,183 | 46.8679 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 5,477 | 46.8679 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,381 | 46.8679 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,445 | 46.8679 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 6,021 | 46.8820 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 200 | 46.8820 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 209,228 | 46.8938 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 56 | 46.9083 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 35,750 | 46.9481 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 19,250 | 46.9481 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 640 | 47.0361 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 2,500 | 47.5192 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 22,355 | 48.1135 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 1,587 | 48.1500 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 21,526 | 48.1500 GBP |
USD 0.25 ORDINARY | CFD | SHORT | 3,000 | 48.1500 GBP |
USD 0.25 ORDINARY | CFD | LONG | 500,000 | 1.9800 USD |
USD 0.25 ORDINARY | CFD | LONG | 400,000 | 2.3500 USD |
ADRS | CFD | LONG | 1,610,000 | 9.6000 USD |
ADRS | CFD | LONG | 169 (Traded in ADR form) | 78.9700 USD |
ADRS | CFD | LONG | 517 (Traded in ADR form) | 81.0600 USD |
ADRS | CFD | LONG | 93 (Traded in ADR form) | 81.0900 USD |
ADRS | CFD | LONG | 15 (Traded in ADR form) | 81.0900 USD |
ADRS | CFD | LONG | 383 (Traded in ADR form) | 81.3855 USD |
ADRS | CFD | LONG | 517 (Traded in ADR form) | 81.3855 USD |
ADRS | CFD | LONG | 507 (Traded in ADR form) | 81.4100 USD |
ADRS | CFD | LONG | 507 (Traded in ADR form) | 81.4100 USD |
ADRS | CFD | LONG | 507 (Traded in ADR form) | 81.4200 USD |
ADRS | CFD | LONG | 338 (Traded in ADR form) | 81.4400 USD |
ADRS | CFD | LONG | 338 (Traded in ADR form) | 81.4400 USD |
USD 0.25 ORDINARY | CFD | SHORT | 262 | 47.0952 GBP |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 80.8850 USD |
ADRS | CFD | SHORT | 1,690 (Traded in ADR form) | 80.8900 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 80.8920 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 80.9412 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 80.9580 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 80.9630 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 80.9700 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 80.9750 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 80.9900 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 80.9909 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 80.9980 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 80.9990 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.0000 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.0100 USD |
ADRS | CFD | SHORT | 200 (Traded in ADR form) | 81.0200 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.0420 USD |
ADRS | CFD | SHORT | 348 (Traded in ADR form) | 81.0900 USD |
ADRS | CFD | SHORT | 2,117 (Traded in ADR form) | 81.0900 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.1240 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.1390 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.1600 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.1770 USD |
ADRS | CFD | SHORT | 500 (Traded in ADR form) | 81.1800 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.2415 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.2480 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.2700 USD |
ADRS | CFD | SHORT | 517 (Traded in ADR form) | 81.2733 USD |
ADRS | CFD | SHORT | 383 (Traded in ADR form) | 81.2733 USD |
ADRS | CFD | SHORT | 800 (Traded in ADR form) | 81.2800 USD |
ADRS | CFD | SHORT | 338 (Traded in ADR form) | 81.2900 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.2930 USD |
ADRS | CFD | SHORT | 100 (Traded in ADR form) | 81.3000 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3000 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3080 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3100 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3100 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3140 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3200 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3200 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3250 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3400 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3460 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3500 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3500 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3500 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3530 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3600 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3600 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3670 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3700 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3790 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3900 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3900 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3900 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.3949 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4000 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4000 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4000 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4100 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4100 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4140 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4300 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4310 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4320 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4381 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4400 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4590 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4630 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4700 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4700 USD |
ADRS | CFD | SHORT | 1,690 (Traded in ADR form) | 81.4800 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.4880 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.5000 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.5100 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.5200 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.5200 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.5399 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.5440 USD |
ADRS | CFD | SHORT | 18,000 (Traded in ADR form) | 81.5467 USD |
ADRS | CFD | SHORT | 900 (Traded in ADR form) | 81.5800 USD |
ADRS | CFD | SHORT | 2,500 (Traded in ADR form) | 81.5992 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.6000 USD |
ADRS | CFD | SHORT | 338 (Traded in ADR form) | 81.6600 USD |
ADRS | CFD | SHORT | 169 (Traded in ADR form) | 81.6600 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.6900 USD |
ADRS | CFD | SHORT | 169 (Traded in ADR form) | 81.6900 USD |
ADRS | CFD | SHORT | 169 (Traded in ADR form) | 81.7000 USD |
ADRS | CFD | SHORT | 338 (Traded in ADR form) | 81.7000 USD |
ADRS | CFD | SHORT | 338 (Traded in ADR form) | 81.7500 USD |
ADRS | CFD | SHORT | 338 (Traded in ADR form) | 81.7900 USD |
ADRS | CFD | SHORT | 331 (Traded in ADR form) | 81.8300 USD |
ADRS | CFD | SHORT | 169 (Traded in ADR form) | 81.8300 USD |
ADRS | CFD | SHORT | 2,535 (Traded in ADR form) | 81.8700 USD |
ADRS | CFD | SHORT | 1,690 (Traded in ADR form) | 81.8700 USD |
ADRS | CFD | SHORT | 169 (Traded in ADR form) | 81.9200 USD |
ADRS | CFD | SHORT | 1,000 (Traded in ADR form) | 81.9785 USD |
ADRS | CFD | SHORT | 338 (Traded in ADR form) | 81.9800 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: | 06 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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