BlackRock Group

Form 8.3 - AstraZeneca Plc

RNS Number : 3906G
BlackRock Group
06 May 2014
 



FORM 8.3

 

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the "Code")

4. (c) Supplemental Form 8 (Open Positions) attached

 

 

1.         KEY INFORMATION

 

(a) Identity of the person whose positions/dealings are being disclosed:

BlackRock, Inc.

(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

     The naming of nominee or vehicle companies is insufficient

N/A

(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

     Use a separate form for each offeror/offeree

AstraZeneca Plc

(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:


(e) Date position held/dealing undertaken:

02 May 2014

(f)  Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer?

Yes, Pfizer Inc

 

2.         POSITIONS OF THE PERSON MAKING THE DISCLOSURE

 

(a)        Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

 

Class of relevant security:

 

USD 0.25 ordinary

 

 

Interests

Short positions

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

98,502,539

7.80%

0

0.00%

(2) Derivatives (other than options):

631,021

0.05%

343,385

0.02%

(3) Options and agreements to purchase/sell:

0

0.00%

259,900

0.02%

     TOTAL:

99,133,560

7.85%

603,285

0.04%

 

All interests and all short positions should be disclosed.

 

Details of any open derivative or option positions, or agreements to purchase

or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

 

(b) Rights to subscribe for new securities (including directors' and other executive options)

Class of relevant security in relation to which subscription right exists:


Details, including nature of the rights concerned and relevant percentages:


 

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1©, copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

 

 

3.         DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

 

(a)        Purchases and sales

 

Class of relevant security

Purchase/sale

 

Number of securities

Price per unit

USD 0.25 ordinary

Purchase

70,620

GBP 47.9800

USD 0.25 ordinary

Purchase

752

GBP 48.0100

USD 0.25 ordinary

Purchase

1,395

GBP 48.0261

USD 0.25 ordinary

Purchase

3,745

GBP 48.0775

USD 0.25 ordinary

Purchase

27,043

GBP 48.0800

USD 0.25 ordinary

Purchase

1,237,000

GBP 48.1803

USD 0.25 ordinary

Purchase

6,000

GBP 48.2500

USD 0.25 ordinary

Purchase

500,000

GBP 48.2575

USD 0.25 ordinary

Sale

25,506

GBP 48.0800

ADR

Sale

144,660

USD 80.8720

ADR

Sale

75,030

USD 80.9282

ADR

Sale

74,730

USD 80.9479

ADR

Sale

102,990

USD 80.9743

ADR

Sale

19,300

USD 81.0020

ADR

Sale

149,860

USD 81.1085

ADR

Sale

127,430

USD 81.1874

 

Please note: there was also a Transfer In of 12,621 Shares

 

(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

Increasing Long

285

GBP 47.9872

USD 0.25 ordinary

CFD

Increasing Long

1,184

GBP 48.0261

(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

Option

Call Option

Sell Open

93,600

49.0416

American

10-Jun-14

GBP 1.3078

 

(ii)        Exercising

 

 

Class of relevant security

Product description

e.g. call option

Number of securities

Exercise price per unit

Option

Written Call Option

25,000

41.3343

Option

Written Call Option

12,600

40.2788

Option

Written Call Option

46,800

40.1879

 

  (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(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

 

4.         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 person 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 person 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.

 

(c)        Attachments

 

Is a Supplemental Form 8 (Open Positions) attached?

Yes

Date of disclosure:

06 May 2014

Contact name:

Duncan Murray

Telephone number:

020 7743 3334

 

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.

 

 

 

 

 

 

 

 

 



SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

 

DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the "Code")

 

 

1.         KEY INFORMATION

 

 

Identity of person whose open positions are being disclosed:

BlackRock, Inc.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:


 

2.         OPTIONS AND DERIVATIVES

 

Class of relevant security

Product description e.g. call option

Written or purchased

Number of securities to which option or derivative relates

Exercise price per unit

Type

e.g. American, European etc.

Expiry date

USD 0.25 ordinary

Call option

Written

138,000

38.0738

American

15/05/2014

USD 0.25 ordinary

Call option

Written

6,300

42.0362

American

15/05/2014

USD 0.25 ordinary

Call option

Written

93,600

49.0416

American

10/06/2014

USD 0.25 ordinary

Call option

Written

11,000

65.000000

American

21/06/2014

USD 0.25 ordinary

Call option

Written

11,000

65.000000

American

17/05/2014

 

3.         AGREEMENTS TO PURCHASE OR SELL ETC.

 

Full details should be given so that the nature of the interest or position can be fully understood:

 

 

 

 

 

 

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to contracts for differences ("CFDs") or spread bets.

 

The currency of all prices and other monetary amounts should be stated.

 

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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