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Thursday 01 May, 2014

BkofA Merrill Lynch

Form 8.5 (EPT/RI)

RNS Number : 0715G
Bank of America Merrill Lynch
01 May 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

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:

30/04/2014

(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

Sale

127,948

4.028 GBP

4.024 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

Long

104

4.026 GBP

Common - ISIN LU0552383324

Swaps

Long

283

4.026 GBP

Common - ISIN LU0552383324

Swaps

Long

1,426

4.026 GBP

Common - ISIN LU0552383324

Swaps

Long

114

4.026 GBP

Common - ISIN LU0552383324

Swaps

Long

312

4.026 GBP

Common - ISIN LU0552383324

Swaps

Long

1,550

4.026 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:

01/05/2014

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:

30/04/2014

(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

168

56.41 EUR

56.41 EUR

Common - ISIN GB0009895292

Purchase

1,205,147

46.97 GBP

46.07 GBP

Common - ISIN GB0009895292

Purchase

199,813

514 SEK

507.5 SEK

Common - ISIN GB0009895292

Sale

1,171,229

46.955 GBP

46.105 GBP

Common - ISIN GB0009895292

Sale

199,813

514 SEK

508 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

2,711

46.77 GBP

Common - ISIN GB0009895292

Swaps

Long

3,448

46.77 GBP

Common - ISIN GB0009895292

Swaps

Long

2,919

46.846 GBP

Common - ISIN GB0009895292

Swaps

Long

196

46.773 GBP

Common - ISIN GB0009895292

Swaps

Long

2,805

46.773 GBP

Common - ISIN GB0009895292

Swaps

Long

4,733

46.773 GBP

Common - ISIN GB0009895292

Swaps

Long

3,310

46.849 GBP

Common - ISIN GB0009895292

Swaps

Long

664

46.773 GBP

Common - ISIN GB0009895292

Swaps

Long

264

46.637 GBP

Common - ISIN GB0009895292

Swaps

Long

159

46.633 GBP

Common - ISIN GB0009895292

Swaps

Long

285

46.637 GBP

Common - ISIN GB0009895292

Swaps

Long

29,500

46.589 GBP

Common - ISIN GB0009895292

Swaps

Long

64

46.248 GBP

Common - ISIN GB0009895292

Swaps

Long

253

46.588 GBP

Common - ISIN GB0009895292

Swaps

Long

64,142

46.6 GBP

Common - ISIN GB0009895292

Swaps

Long

12,803

46.679 GBP

Common - ISIN GB0009895292

Swaps

Long

17,658

46.679 GBP

Common - ISIN GB0009895292

Swaps

Short

20,000

46.363 GBP

Common - ISIN GB0009895292

Swaps

Long

20,000

46.61 GBP

Common - ISIN GB0009895292

Swaps

Short

108,203

46.603 GBP

Common - ISIN GB0009895292

Swaps

Long

200

46.713 GBP

Common - ISIN GB0009895292

Swaps

Short

500

46.127 GBP

Common - ISIN GB0009895292

Swaps

Long

300

46.533 GBP

Common - ISIN GB0009895292

Swaps

Short

200

46.64 GBP

Common - ISIN GB0009895292

Swaps

Short

5,400

46.644 GBP

Common - ISIN GB0009895292

Swaps

Short

600

46.72 GBP

Common - ISIN GB0009895292

Swaps

Short

1,187

46.64 GBP

Common - ISIN GB0009895292

Swaps

Long

125

46.226 GBP

Common - ISIN GB0009895292

Swaps

Long

563

46.226 GBP

Common - ISIN GB0009895292

Swaps

Long

1,373

46.232 GBP

Common - ISIN GB0009895292

Swaps

Short

2,152

46.64 GBP

Common - ISIN GB0009895292

Swaps

Short

563

46.64 GBP

Common - ISIN GB0009895292

Swaps

Long

36

46.708 GBP

Common - ISIN GB0009895292

Swaps

Long

51

46.708 GBP

Common - ISIN GB0009895292

Swaps

Long

29

46.708 GBP

Common - ISIN GB0009895292

Swaps

Long

259

46.682 GBP

Common - ISIN GB0009895292

Swaps

Long

128

46.717 GBP

Common - ISIN GB0009895292

Swaps

Short

168

56.415 EUR

 

(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:

01/05/2014

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

Pfizer Inc

(c)

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

Pfizer Inc

(d)

Date dealing undertaken:

30/04/2014

(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

8,025

31.3 USD

31.33 USD

 

(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:

01/05/2014

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
The company news service from the London Stock Exchange
 
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