Information  X 
Enter a valid email address

AstraZeneca PLC (AZN)

  Print      Mail a friend       Annual reports

Monday 12 May, 2014

AstraZeneca PLC

Form 8 (OPD) AstraZeneca PLC

RNS Number : 9066G
AstraZeneca PLC
12 May 2014
 



FORM 8 (OPD)

 

PUBLIC OPENING POSITION DISCLOSURE BY A PARTY TO AN OFFER

Rules 8.1 and 8.2 of the Takeover Code (the "Code")

 

1.         KEY INFORMATION

 

(a) Identity of the party to the offer making the disclosure:

ASTRAZENECA PLC

(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 party to the offer

ASTRAZENECA PLC (OFFEREE)

(d) Is the party to the offer making the disclosure the offeror or the offeree?

OFFEREE

(e) Date position held:

12 MAY 2014

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

YES: PFIZER INC. (OFFEROR)

DISCLOSING TODAY

 

2.         POSITIONS OF THE PARTY TO THE OFFER MAKING THE DISCLOSURE

 

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

 

Class of relevant security:

 


 

 

Interests

Short positions

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

Nil

0

Nil

0

(2) Derivatives (other than options):

Nil

0

Nil

0

(3) Options and agreements to purchase/sell:

Nil

0

Nil

0

 

     TOTAL:

Nil

0

Nil

0

 

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).

 

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

 

(b)        Rights to subscribe for new securities

 

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

None

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

None

 

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(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

 

(c)        Irrevocable commitments and letters of intent

 

Details of any irrevocable commitments or letters of intent procured by the party to the offer making the disclosure or any person acting in concert with it (see Note 3 on Rule 2.11 of the Code):

None

 

 

 

3.         POSITIONS OF PERSONS ACTING IN CONCERT WITH THE PARTY TO THE OFFER MAKING THE DISCLOSURE

 

Details of any interests, short positions and rights to subscribe of any person acting in concert with the party to the offer making the disclosure:

 

3(a)      Shares held by directors of AstraZeneca PLC

 

Director

Number of AstraZeneca Shares

Percentage of total issued share capital (%)

Pascal Soriot

151,581

0.01200826

Marc Dunoyer

500

0.00003961

Leif Johansson

33,009

0.002614976

Genevieve Berger

1,790

0.000141804

Bruce Burlington

2,249

0.000178166

Ann Cairns

1,225

0.000097044

Graham Chipchase

1,900

0.000150518

Jean-Philippe Courtois

2,635

0.000208745

Rudy Markham

2,452

0.000194248

Nancy Rothwell

2,643

0.000209379

Shriti Vadera

3,000

0.00023766

John Varley

9,500

0.000752591

Marcus Wallenberg

63,646

0.005042042

 

3(b)      Directors' interests in awards of AstraZeneca PLC shares under AstraZeneca PLC's share plans

 

Deferred Bonus Plan

 

Director

Number of AstraZeneca Shares

Date of grant

Award price (pence)

Vesting date

Pascal Soriot

3,799

25/02/2013

2939

25/02/2016

Pascal Soriot

15,966

28/03/2014

3904

28/03/2017

Marc Dunoyer

2,679

28/03/2014

3904

28/03/2017

 

Performance Share Plan

 

Director

Number of AstraZeneca Shares

Date of grant

Award price (pence)

Vesting date

Pascal Soriot

125,113

11/06/2013

3297

11/06/2016

Pascal Soriot

124,066

28/03/2014

3904

28/03/2017

Marc Dunoyer

90,853

01/08/2013

3302

01/08/2016

Marc Dunoyer

52,254

28/03/2014

3904

28/03/2017

 

AstraZeneca Investment Plan

 

Director

Number of AstraZeneca Shares

Date of grant

Award price (pence)

Vesting date

Pascal Soriot

89,960

11/06/2013

3297

01/01/2021

Pascal Soriot

20,677

28/03/2014

3904

01/01/2022

Marc Dunoyer

8,176

01/08/2013

3302

01/01/2021

Marc Dunoyer

8,709

28/03/2014

3904

01/01/2022

 

Restricted Share Award

 

Director

Number of AstraZeneca Shares

Date of grant

Award price (pence)

Vesting date

Pascal Soriot

20,732

26/10/2012

2894

01/10/2014

Pascal Soriot

20,732

26/10/2012

2894

01/10/2015

 

Restricted Share Plan

 

Director

Number of AstraZeneca Shares

Date of grant

Award price (pence)

Vesting date

Marc Dunoyer

9,103

01/08/2013

3302

15/06/2014

Marc Dunoyer

41,472

01/08/2013

3302

15/06/2015

Marc Dunoyer

14,930

01/08/2013

3302

01/08/2016

 

3(c)       Interests of connected advisers

 

Goldman, Sachs & Co

 

Class of relevant security:

 

USD 0.25 ordinary and ADRs


Interests

Short positions


Number

%

Number

%

(1) Relevant securities owned and/or controlled:

15,066

0.00

222,448

0.01

(2) Derivatives (other than options):

0

0.00

0

0.00

(3) Options and agreements to purchase/sell:

205,600

0.02

177,900

0.01

 

     TOTAL:

220,666

0.02

400,348

0.03

 

Morgan Stanley B.V.

 

Class of relevant security:

 

USD 0.25 ordinary and ADRs


Interests

Short positions


Number

%

Number

%

(1) Relevant securities owned and/or controlled:

0

0.00

0

0.00

(2) Derivatives (other than options):

0

0.00

0

0.00

(3) Options and agreements to purchase/sell:

6,883

0.00

0

0.00

     TOTAL:

6,883

0.0005

0

0.00

 



3(d)      Interests of employment benefit trusts

 

Entity

Number of AstraZeneca Shares

Percentage of existing issued shares (%)

AstraZeneca Employee Share Trust Limited

1,051,810

0.083324481

AstraZeneca Share Trust Limited

100

0.000007922

 

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(c), copy table 3 for each additional class of relevant security.

 

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).

 

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

 

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 party to the offer making the disclosure or any person acting in concert with it:

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 party to the offer making the disclosure, or any person acting in concert with it, 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

 

Are any Supplemental Forms attached?

 

Supplemental Form 8 (Open Positions)

YES

Supplemental Form 8 (SBL)

NO

 

Date of disclosure:

12 May 2014

Contact name:

Adrian Kemp, Company Secretary

Telephone number:

020 7604 8000

 

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, AGREEMENT TO 

PURCHASE OR SELL ETC.

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

 

1.         KEY INFORMATION

 

     Identity of the person whose open positions are being disclosed:

GOLDMAN, SACHS & CO.

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

ASTRAZENECA PLC (OFFEREE)

 

 

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

Sold

100

75.0000 USD

AMER

15/01/2016

USD 0.25 ordinary

Call Option

Sold

200

45.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Sold

200

75.0000 USD

AMER

17/05/2014

USD 0.25 ordinary

Call Option

Purchased

200

80.0000 USD

AMER

18/10/2014

USD 0.25 ordinary

Call Option

Purchased

300

72.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Sold

500

80.0000 USD

AMER

21/06/2014

USD 0.25 ordinary

Call Option

Purchased

600

60.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Sold

600

67.5000 USD

AMER

17/05/2014

USD 0.25 ordinary

Call Option

Purchased

600

70.0000 USD

AMER

15/01/2016

USD 0.25 ordinary

Call Option

Sold

800

67.5000 USD

AMER

18/10/2014

USD 0.25 ordinary

Call Option

Sold

1,000

90.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Purchased

1,100

65.0000 USD

AMER

17/05/2014

USD 0.25 ordinary

Call Option

Sold

1,100

70.0000 USD

AMER

18/10/2014

USD 0.25 ordinary

Call Option

Purchased

1,200

72.5000 USD

AMER

18/10/2014

USD 0.25 ordinary

Call Option

Sold

1,300

62.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Purchased

1,300

67.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Sold

1,600

65.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Sold

1,600

67.5000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Purchased

1,700

62.5000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Sold

1,800

70.0000 USD

AMER

21/06/2014

USD 0.25 ordinary

Call Option

Purchased

1,800

75.0000 USD

AMER

18/10/2014

USD 0.25 ordinary

Call Option

Purchased

2,000

55.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Purchased

2,000

70.0000 USD

AMER

17/05/2014

USD 0.25 ordinary

Call Option

Purchased

2,400

77.5000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Sold

2,600

67.5000 USD

AMER

21/06/2014

USD 0.25 ordinary

Call Option

Purchased

2,700

57.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Sold

2,800

65.0000 USD

AMER

15/01/2016

USD 0.25 ordinary

Call Option

Purchased

2,800

72.5000 USD

AMER

17/05/2014

USD 0.25 ordinary

Call Option

Purchased

2,900

77.5000 USD

AMER

21/06/2014

USD 0.25 ordinary

Call Option

Sold

3,100

60.0000 USD

AMER

15/01/2016

USD 0.25 ordinary

Call Option

Purchased

3,100

75.0000 USD

AMER

21/06/2014

USD 0.25 ordinary

Call Option

Purchased

3,300

75.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Sold

3,300

85.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Purchased

3,500

72.5000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Purchased

4,600

65.0000 USD

AMER

21/06/2014

USD 0.25 ordinary

Call Option

Purchased

5,400

75.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Sold

7,100

72.5000 USD

AMER

21/06/2014

USD 0.25 ordinary

Call Option

Sold

7,400

70.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Purchased

9,400

80.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Purchased

11,100

65.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Sold

18,100

60.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Sold

21,900

70.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Sold

32,500

80.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Purchased

33,300

60.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Purchased

100

35.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Purchased

100

40.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Put Option

Purchased

100

40.0000 USD

AMER

15/01/2016

USD 0.25 ordinary

Put Option

Purchased

100

47.5000 USD

AMER

15/01/2016

USD 0.25 ordinary

Put Option

Purchased

200

30.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Sold

200

37.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Purchased

300

60.0000 USD

AMER

17/05/2014

USD 0.25 ordinary

Put Option

Purchased

300

70.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Sold

300

75.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Sold

500

52.5000 USD

AMER

19/07/2014

USD 0.25 ordinary

Put Option

Sold

600

57.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Sold

600

65.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Put Option

Sold

800

67.5000 USD

AMER

17/05/2014

USD 0.25 ordinary

Put Option

Sold

900

27.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Sold

900

32.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Sold

900

70.0000 USD

AMER

21/06/2014

USD 0.25 ordinary

Put Option

Purchased

1,000

55.0000 USD

AMER

21/06/2014

USD 0.25 ordinary

Put Option

Purchased

1,000

60.0000 USD

AMER

18/10/2014

USD 0.25 ordinary

Put Option

Purchased

1,000

60.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Purchased

1,000

75.0000 USD

AMER

17/05/2014

USD 0.25 ordinary

Put Option

Sold

1,100

70.0000 USD

AMER

17/05/2014

USD 0.25 ordinary

Put Option

Sold

1,200

67.5000 USD

AMER

18/10/2014

USD 0.25 ordinary

Put Option

Sold

1,200

72.5000 USD

AMER

15/01/2016

USD 0.25 ordinary

Put Option

Sold

1,300

40.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Purchased

2,100

30.0000 USD

AMER

15/01/2016

USD 0.25 ordinary

Put Option

Purchased

2,100

50.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Put Option

Sold

2,100

65.0000 USD

AMER

18/10/2014

USD 0.25 ordinary

Put Option

Sold

2,300

52.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Purchased

2,400

35.0000 USD

AMER

15/01/2016

USD 0.25 ordinary

Put Option

Purchased

2,600

57.5000 USD

AMER

21/06/2014

USD 0.25 ordinary

Put Option

Sold

2,600

65.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Sold

3,100

67.5000 USD

AMER

19/07/2014

USD 0.25 ordinary

Put Option

Sold

3,600

70.0000 USD

AMER

18/10/2014

USD 0.25 ordinary

Put Option

Sold

3,900

52.5000 USD

AMER

15/01/2016

USD 0.25 ordinary

Put Option

Sold

4,100

70.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Put Option

Purchased

4,300

60.0000 USD

AMER

21/06/2014

USD 0.25 ordinary

Put Option

Sold

4,700

42.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Purchased

5,000

25.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Purchased

5,100

47.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Purchased

5,200

45.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Purchased

5,900

62.5000 USD

AMER

17/05/2014

USD 0.25 ordinary

Put Option

Purchased

5,900

62.5000 USD

AMER

19/07/2014

USD 0.25 ordinary

Put Option

Purchased

6,400

50.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Sold

7,100

65.0000 USD

AMER

21/06/2014

USD 0.25 ordinary

Put Option

Purchased

7,500

60.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Put Option

Sold

7,600

67.5000 USD

AMER

21/06/2014

USD 0.25 ordinary

Put Option

Sold

8,400

65.0000 USD

AMER

17/05/2014

USD 0.25 ordinary

Put Option

Purchased

8,600

55.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Sold

10,000

55.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Put Option

Sold

10,400

62.5000 USD

AMER

17/01/2015

USD 0.25 ordinary

Put Option

Sold

11,600

57.5000 USD

AMER

19/07/2014

USD 0.25 ordinary

Put Option

Sold

16,300

62.5000 USD

AMER

21/06/2014

 

 

3.         AGREEMENTS TO PURCHASE OR SELL

 

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 Supplement form (Open Positions) with regard to contracts for differences ("CFD") or spread bets

 

 The currency of all pieces 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.



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:

MORGAN STANLEY B.V.

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

ASTRAZENECA PLC (OFFEREE)

 

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

1,737

SEK 336.9

European

26/11/2015

USD 0.25 ordinary

Call option

Written

610

SEK 307.4

European

23/11/2017

USD 0.25 ordinary

Call option

Written

1,956

SEK 301.9

European

11/5/2016

USD 0.25 ordinary

Call option

Written

2,580

SEK 307.9

European

23/10/2017

 

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.

 


This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
FEESFAFMEFLSEII

a d v e r t i s e m e n t