Goldman Sachs (EPT)

Form 8.5 (EPT/RI) - Amendment

RNS Number : 5192H
GoldmanSachs International
19 May 2014
 

Amendment - due to the amendment of Derivative transactions, the disclosure made on 16 May for dealings on 15 May has been updated. Section 2(b) has been updated.

 

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:

15 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

478,720
5,521

47.2650 GBP
521.0000 SEK

46.3450 GBP
516.8859 SEK

USD 0.25 ordinary

Sales

561,544
4,234

47.2650 GBP
518.0000 SEK

46.4250 GBP
513.5000 SEK

 

 

(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

Reducing a long position

7,500

46.2204 GBP

USD 0.25 ordinary

CFD

Reducing a long position

5,329

46.5272 GBP

USD 0.25 ordinary

CFD

Reducing a long position

11,622

46.5272 GBP

USD 0.25 ordinary

CFD

Reducing a long position

30,000

46.5272 GBP

USD 0.25 ordinary

CFD

Reducing a long position

26,049

46.5272 GBP

USD 0.25 ordinary

CFD

Reducing a long position

2,000

46.5272 GBP

USD 0.25 ordinary

CFD

Reducing a short position

245

46.6998 GBP

USD 0.25 ordinary

CFD

Reducing a short position

184

46.6998 GBP

USD 0.25 ordinary

CFD

Reducing a short position

529

46.6998 GBP

USD 0.25 ordinary

CFD

Reducing a short position

748

46.6998 GBP

USD 0.25 ordinary

CFD

Reducing a long position

871

46.7683 GBP

USD 0.25 ordinary

CFD

Reducing a long position

2,929

46.7683 GBP

USD 0.25 ordinary

CFD

Reducing a long position

50,000

46.8725 GBP

USD 0.25 ordinary

CFD

Opening a short position

11,000

46.9343 GBP

USD 0.25 ordinary

CFD

Opening a short position

14

46.9499 GBP

USD 0.25 ordinary

CFD

Opening a short position

121

46.9499 GBP

USD 0.25 ordinary

CFD

Opening a long position

63,022

47.0760 GBP

USD 0.25 ordinary

CFD

Opening a long position

20,000

47.2251 GBP

USD 0.25 ordinary

CFD

Reducing a long position

1,548

47.2650 GBP

USD 0.25 ordinary

CFD

Opening a long position

2,000

47.2650 GBP

USD 0.25 ordinary

CFD

Reducing a short position

7,500

77.9456 USD

USD 0.25 ordinary

CFD

Reducing a short position

75,000

78.1656 USD

USD 0.25 ordinary

CFD

Reducing a short position

50,000

78.7457 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

 

 

(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:

19 May 2014

Contact name:

Helen-Marie Moloney and Christopher Owers

Telephone number:

+44(20) 7774 8019 / +44(20) 7552 1461

 

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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