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Monday 12 May, 2014

BkofA Merrill Lynch

Form 8.5 (EPT/RI)

RNS Number : 8554G
Bank of America Merrill Lynch
12 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

Pfizer Inc

(c)

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

Pfizer Inc

(d)

Date dealing undertaken:

09/05/2014

(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

320

191 SEK

190.5 SEK

Common - ISIN US7170811035

Sale

320

191 SEK

190.5 SEK

Common - ISIN US7170811035

Purchase

19,500

28.795 USD

28.795 USD

Common - ISIN US7170811035

Sale

19,500

28.795 USD

28.795 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:

12/05/2014

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:

09/05/2014

(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

415,873

46.765 GBP

45.13 GBP

Common - ISIN GB0009895292

Purchase

25,200

516.5 SEK

508.5 SEK

Common - ISIN GB0009895292

Sale

455,491

46.776 GBP

46.005 GBP

Common - ISIN GB0009895292

Sale

24,625

516 SEK

509 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

123

46.093 GBP

Common - ISIN GB0009895292

Swaps

Short

400

46.657 GBP

Common - ISIN GB0009895292

Swaps

Long

177

46.093 GBP

Common - ISIN GB0009895292

Swaps

Short

367

46.005 GBP

Common - ISIN GB0009895292

Swaps

Long

132

46.62 GBP

Common - ISIN GB0009895292

Swaps

Short

675

46.005 GBP

Common - ISIN GB0009895292

Swaps

Short

3,169

46.005 GBP

Common - ISIN GB0009895292

Swaps

Short

132

46.005 GBP

Common - ISIN GB0009895292

Swaps

Short

291

46.005 GBP

Common - ISIN GB0009895292

Swaps

Short

6,579

46.005 GBP

Common - ISIN GB0009895292

Swaps

Short

1,612

46.005 GBP

Common - ISIN GB0009895292

Swaps

Short

407

46.014 GBP

Common - ISIN GB0009895292

Swaps

Short

206

46.008 GBP

Common - ISIN GB0009895292

Swaps

Long

195

46.015 GBP

Common - ISIN GB0009895292

Swaps

Long

283

46.015 GBP

Common - ISIN GB0009895292

Swaps

Long

1,304

46.015 GBP

Common - ISIN GB0009895292

Swaps

Long

3,076

46.015 GBP

Common - ISIN GB0009895292

Swaps

Long

69,760

46.015 GBP

Common - ISIN GB0009895292

Swaps

Long

41,040

46.015 GBP

Common - ISIN GB0009895292

Swaps

Short

318

46.012 GBP

Common - ISIN GB0009895292

Swaps

Short

225

46.008 GBP

Common - ISIN GB0009895292

Swaps

Short

10,000

46.01 GBP

Common - ISIN GB0009895292

Swaps

Long

5,000

46.64 GBP

Common - ISIN GB0009895292

Swaps

Short

59

511.533 SEK

Common - ISIN GB0009895292

Swaps

Short

516

511.533 SEK

Common - ISIN GB0009895292

Swaps

Short

90

46.079 GBP

Common - ISIN GB0009895292

Swaps

Short

1,000

45.341 GBP

Common - ISIN GB0009895292

Swaps

Short

57,380

45.341 GBP

Common - ISIN GB0009895292

Swaps

Long

23,100

46.015 GBP

Common - ISIN GB0009895292

Swaps

Short

200

46.257 GBP

Common - ISIN GB0009895292

Swaps

Short

13,620

45.341 GBP

Common - ISIN GB0009895292

Swaps

Long

200

46.015 GBP

Common - ISIN GB0009895292

Swaps

Long

8,200

46.016 GBP

Common - ISIN GB0009895292

Swaps

Short

920

46.014 GBP

Common - ISIN GB0009895292

Swaps

Long

500

509.92 SEK

Common - ISIN GB0009895292

Swaps

Short

500

511.57 SEK

 

(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:

12/05/2014

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.

 

 

 


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