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Thursday 15 May, 2014

BkofA Merrill Lynch

Form 8.5 (EPT/RI)

RNS Number : 2294H
Bank of America Merrill Lynch
15 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:

14/05/2014

(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

47

191 SEK

191 SEK

Common - ISIN US7170811035

Sale

47

191 SEK

191 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:

15/05/2014

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:

14/05/2014

(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

286,816

46.895 GBP

44.685 GBP

Common - ISIN GB0009895292

Purchase

24,044

517 SEK

512.5 SEK

Common - ISIN GB0009895292

Sale

329,489

46.84 GBP

46.311 GBP

Common - ISIN GB0009895292

Sale

23,228

516 SEK

512 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

Short

48

46.626 GBP

Common - ISIN GB0009895292

Swaps

Short

31,259

46.533 GBP

Common - ISIN GB0009895292

Swaps

Long

400

46.538 GBP

Common - ISIN GB0009895292

Swaps

Long

2,200

46.552 GBP

Common - ISIN GB0009895292

Swaps

Long

100

46.5 GBP

Common - ISIN GB0009895292

Swaps

Long

500

46.508 GBP

Common - ISIN GB0009895292

Swaps

Long

21,388

46.508 GBP

Common - ISIN GB0009895292

Swaps

Long

147,512

46.508 GBP

Common - ISIN GB0009895292

Swaps

Short

400

46.535 GBP

Common - ISIN GB0009895292

Swaps

Short

2,200

46.535 GBP

Common - ISIN GB0009895292

Swaps

Short

5,721

46.535 GBP

Common - ISIN GB0009895292

Swaps

Long

1,341

46.629 GBP

Common - ISIN GB0009895292

Swaps

Short

470

46.53 GBP

Common - ISIN GB0009895292

Swaps

Long

20,000

46.49 GBP

Common - ISIN GB0009895292

Swaps

Short

20,000

46.861 GBP

Common - ISIN GB0009895292

Swaps

Short

37

46.53 GBP

Common - ISIN GB0009895292

Swaps

Long

107

46.629 GBP

Common - ISIN GB0009895292

Swaps

Short

1,113

46.53 GBP

Common - ISIN GB0009895292

Swaps

Long

3,174

46.629 GBP

Common - ISIN GB0009895292

Swaps

Short

123

46.552 GBP

Common - ISIN GB0009895292

Swaps

Short

3,780

46.53 GBP

Common - ISIN GB0009895292

Swaps

Long

10,778

46.629 GBP

Common - ISIN GB0009895292

Swaps

Short

12,000

46.544 GBP

Common - ISIN GB0009895292

Swaps

Long

1,610

46.54 GBP

Common - ISIN GB0009895292

Swaps

Long

87

46.537 GBP

Common - ISIN GB0009895292

Swaps

Long

94

46.537 GBP

Common - ISIN GB0009895292

Swaps

Short

10,000

46.588 GBP

Common - ISIN GB0009895292

Swaps

Short

200

512.543 SEK

Common - ISIN GB0009895292

Swaps

Short

200

512.533 SEK

Common - ISIN GB0009895292

Swaps

Short

2,835

46.581 GBP

Common - ISIN GB0009895292

Swaps

Short

7,165

46.581 GBP

Common - ISIN GB0009895292

Swaps

Short

69,000

44.685 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

 

GBP

Type
e.g. American, European etc.

Expiry date

Option money paid/ received per unit GBP

Common - ISIN GB0009895292

Put Option

Purchasing

1,000

45

American

21/06/2014

1.185

 

(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:

15/05/2014

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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