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Wednesday 30 April, 2014

BkofA Merrill Lynch

Form 8.5 (EPT/RI)

RNS Number : 9143F
Bank of America Merrill Lynch
30 April 2014
 

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:

Bank of America Merrill Lynch

(b)

Name of offeror/offeree in relation to whose
relevant securities this form relates:
Use a separate form for each offeror/offeree

Pfizer Inc

(c)

Name of the party to the offer with which exempt principal trader is connected:

Pfizer Inc

(d)

Date dealing undertaken:

29/04/2014

(e)

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

No

 

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

Common - ISIN US7170811035

Purchase

371

210.5 SEK

207 SEK

Common - ISIN US7170811035

Sale

371

210.5 SEK

207 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

N/A

N/A

N/A

N/A

N/A

 

(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:

30/04/2014

Contact name:

Stacy Otieno

Telephone number:

0207 995 1335

 

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.



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:

Bank of America Merrill Lynch

(b)

Name of offeror/offeree in relation to whose
relevant securities this form relates:
Use a separate form for each offeror/offeree

AZ Electronic Materials SA

(c)

Name of the party to the offer with which exempt principal trader is connected:

AZ Electronic Materials SA

(d)

Date dealing undertaken:

29/04/2014

(e)

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

No

 

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

Common - ISIN LU0552383324

Purchase

113

4.01 GBP

4.01 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

Common - ISIN LU0552383324

Swaps

Short

54

4.01 GBP

Common - ISIN LU0552383324

Swaps

Short

59

4.01 GBP

 

(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:

30/04/2014

Contact name:

Stacy Otieno

Telephone number:

0207 995 1335

 

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.

 



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:

Bank of America Merrill Lynch

(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:

Pfizer Inc

(d)

Date dealing undertaken:

29/04/2014

(e)

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

No

 

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

Common - ISIN GB0009895292

Purchase

341

55.955 EUR

55.955 EUR

Common - ISIN GB0009895292

Purchase

1,221,546

46.77 GBP

45.973 GBP

Common - ISIN GB0009895292

Purchase

696,460

516 SEK

504.5 SEK

Common - ISIN GB0009895292

Sale

613,450

46.74 GBP

45.98 GBP

Common - ISIN GB0009895292

Sale

698,429

516 SEK

504.5 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

Common - ISIN GB0009895292

Swaps

Long

222

46.102 GBP

Common - ISIN GB0009895292

Swaps

Long

147

46.481 GBP

Common - ISIN GB0009895292

Swaps

Short

5,468

46.43 GBP

Common - ISIN GB0009895292

Swaps

Short

817

46.43 GBP

Common - ISIN GB0009895292

Swaps

Short

53,366

46.232 GBP

Common - ISIN GB0009895292

Swaps

Short

6,803

46.232 GBP

Common - ISIN GB0009895292

Swaps

Short

9,542

46.232 GBP

Common - ISIN GB0009895292

Swaps

Short

16,600

46.232 GBP

Common - ISIN GB0009895292

Swaps

Short

30,732

46.232 GBP

Common - ISIN GB0009895292

Swaps

Short

45,531

46.232 GBP

Common - ISIN GB0009895292

Swaps

Short

65,828

46.232 GBP

Common - ISIN GB0009895292

Swaps

Short

81,598

46.232 GBP

Common - ISIN GB0009895292

Swaps

Long

36,920

46.392 GBP

Common - ISIN GB0009895292

Swaps

Long

11,250

46.46 GBP

Common - ISIN GB0009895292

Swaps

Long

500

46.481 GBP

Common - ISIN GB0009895292

Swaps

Short

500

46.207 GBP

Common - ISIN GB0009895292

Swaps

Short

1,000

46.244 GBP

Common - ISIN GB0009895292

Swaps

Short

3,800

46.244 GBP

Common - ISIN GB0009895292

Swaps

Short

227

46.325 GBP

Common - ISIN GB0009895292

Swaps

Short

242

46.362 GBP

Common - ISIN GB0009895292

Swaps

Short

350

46.325 GBP

Common - ISIN GB0009895292

Swaps

Short

2,223

46.325 GBP

Common - ISIN GB0009895292

Swaps

Short

5,408

46.325 GBP

Common - ISIN GB0009895292

Swaps

Short

1,498

46.362 GBP

Common - ISIN GB0009895292

Swaps

Short

1,431

45.997 GBP

Common - ISIN GB0009895292

Swaps

Short

1,431

46.029 GBP

Common - ISIN GB0009895292

Swaps

Short

569

46.029 GBP

Common - ISIN GB0009895292

Swaps

Short

569

45.997 GBP

Common - ISIN GB0009895292

Swaps

Short

51

46.507 GBP

Common - ISIN GB0009895292

Swaps

Long

325

46.523 GBP

Common - ISIN GB0009895292

Swaps

Long

3,557

46.519 GBP

Common - ISIN GB0009895292

Swaps

Long

3,808

46.529 GBP

Common - ISIN GB0009895292

Swaps

Long

4,665

46.498 GBP

Common - ISIN GB0009895292

Swaps

Short

341

55.955 EUR

Common - ISIN GB0009895292

Swaps

Short

6

46.328 GBP

Common - ISIN GB0009895292

Swaps

Short

4

46.328 GBP

Common - ISIN GB0009895292

Swaps

Short

3

46.328 GBP

Common - ISIN GB0009895292

Swaps

Short

1,000

46.093 GBP

Common - ISIN GB0009895292

Swaps

Long

2,000

46.531 GBP

Common - ISIN GB0009895292

Swaps

Short

2,000

46.093 GBP

Common - ISIN GB0009895292

Swaps

Short

196

46.293 GBP

Common - ISIN GB0009895292

Swaps

Short

664

46.272 GBP

Common - ISIN GB0009895292

Swaps

Short

2,805

46.338 GBP

Common - ISIN GB0009895292

Swaps

Short

120

46.328 GBP

Common - ISIN GB0009895292

Swaps

Short

167

46.332 GBP

Common - ISIN GB0009895292

Swaps

Short

130

46.328 GBP

Common - ISIN GB0009895292

Swaps

Short

222

507.492 SEK

Common - ISIN GB0009895292

Swaps

Long

7,100

46.386 GBP

Common - ISIN GB0009895292

Swaps

Short

2,500

46.141 GBP

Common - ISIN GB0009895292

Swaps

Short

2,000

46.115 GBP

Common - ISIN GB0009895292

Swaps

Long

2,000

46.516 GBP

Common - ISIN GB0009895292

Swaps

Short

1,000

46.115 GBP

Common - ISIN GB0009895292

Swaps

Long

897

506.935 SEK

Common - ISIN GB0009895292

Swaps

Long

1,294

510.261 SEK

Common - ISIN GB0009895292

Swaps

Short

150,000

46.144 GBP

Common - ISIN GB0009895292

Swaps

Short

123,370

46.71 GBP

 

(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:

30/04/2014

Contact name:

Stacy Otieno

Telephone number:

0207 995 1335

 

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.

 

 

 


This information is provided by RNS
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