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Friday 16 May, 2014

BkofA Merrill Lynch

Form 8.5 (EPT/RI)

RNS Number : 3442H
Bank of America Merrill Lynch
16 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

AstraZeneca PLC

(c)

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

Pfizer Inc

(d)

Date dealing undertaken:

15/05/2014

(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

122,936

47.265 GBP

46.425 GBP

Common - ISIN GB0009895292

Purchase

98,082

519.5 SEK

515 SEK

Common - ISIN GB0009895292

Sale

113,863

47.265 GBP

46.49 GBP

Common - ISIN GB0009895292

Sale

98,001

521 SEK

515.5 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

600

46.79 GBP

Common - ISIN GB0009895292

Swaps

Short

14,198

46.709 GBP

Common - ISIN GB0009895292

Swaps

Long

5,450

46.993 GBP

Common - ISIN GB0009895292

Swaps

Short

24,911

47.003 GBP

Common - ISIN GB0009895292

Swaps

Long

1,110

47.265 GBP

Common - ISIN GB0009895292

Swaps

Long

2,502

47.265 GBP

Common - ISIN GB0009895292

Swaps

Long

307

47.265 GBP

Common - ISIN GB0009895292

Swaps

Long

6,664

47.265 GBP

Common - ISIN GB0009895292

Swaps

Long

665

47.265 GBP

Common - ISIN GB0009895292

Swaps

Long

6,900

46.905 GBP

Common - ISIN GB0009895292

Swaps

Short

175

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

625

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

745

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

850

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

1,295

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

1,750

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

5,235

46.543 GBP

Common - ISIN GB0009895292

Swaps

Long

230

47.261 GBP

Common - ISIN GB0009895292

Swaps

Short

22

47.272 GBP

Common - ISIN GB0009895292

Swaps

Long

251

47.261 GBP

Common - ISIN GB0009895292

Swaps

Long

2,000

47.26 GBP

Common - ISIN GB0009895292

Swaps

Short

2,100

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

10

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

190

46.598 GBP

Common - ISIN GB0009895292

Swaps

Short

568

517.498 SEK

Common - ISIN GB0009895292

Swaps

Short

76

46.941 GBP

Common - ISIN GB0009895292

Swaps

Long

1,875

46.874 GBP

Common - ISIN GB0009895292

Swaps

Long

2,900

46.875 GBP

Common - ISIN GB0009895292

Swaps

Short

1,767

46.709 GBP

Common - ISIN GB0009895292

Swaps

Long

678

46.993 GBP

Common - ISIN GB0009895292

Swaps

Long

54

46.993 GBP

Common - ISIN GB0009895292

Swaps

Short

141

46.709 GBP

Common - ISIN GB0009895292

Swaps

Short

4,182

46.709 GBP

Common - ISIN GB0009895292

Swaps

Long

1,606

46.993 GBP

Common - ISIN GB0009895292

Swaps

Short

3,165

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

3,250

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

3,910

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

13,750

46.543 GBP

Common - ISIN GB0009895292

Swaps

Short

600

46.497 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

Call option

Purchasing

100

48

American

16/05/2014

1.5

 

(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:

16/05/2014

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:

15/05/2014

(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

190 SEK

190 SEK

Common - ISIN US7170811035

Sale

47

190 SEK

190 SEK

Common - ISIN US7170811035

Sale

2,238

29.05 USD

29.05 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:

16/05/2014

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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