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Monday 19 May, 2014

BkofA Merrill Lynch

Form 8.5 (EPT/RI)

RNS Number : 4666H
Bank of America Merrill Lynch
19 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:

16/05/2014

(e)

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

Yes

 

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

2

25.9 CHF

25.9 CHF

Common - ISIN US7170811035

Purchase

564

191.5 SEK

190.5 SEK

Common - ISIN US7170811035

Purchase

94,865

32 USD

29.183 USD

Common - ISIN US7170811035

Sale

2

25.9 CHF

25.9 CHF

Common - ISIN US7170811035

Sale

564

191.5 SEK

190.5 SEK

Common - ISIN US7170811035

Sale

8,498

29.175 USD

29.175 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:

19/05/2014

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:

16/05/2014

(e)

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

Yes

 

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

280,986

48.24 GBP

47.36 GBP

Common - ISIN GB0009895292

Purchase

85,844

532 SEK

523 SEK

Common - ISIN GB0009895292

Sale

284,328

48.24 GBP

47.55 GBP

Common - ISIN GB0009895292

Sale

86,506

532.5 SEK

523 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

600

530.08 SEK

Common - ISIN GB0009895292

Swaps

Long

600

524.42 SEK

Common - ISIN GB0009895292

Swaps

Long

1

48.179 GBP

Common - ISIN GB0009895292

Swaps

Long

3

48.179 GBP

Common - ISIN GB0009895292

Swaps

Long

7

48.179 GBP

Common - ISIN GB0009895292

Swaps

Long

15

48.179 GBP

Common - ISIN GB0009895292

Swaps

Long

5

48.179 GBP

Common - ISIN GB0009895292

Swaps

Long

2

48.179 GBP

Common - ISIN GB0009895292

Swaps

Long

4

48.179 GBP

Common - ISIN GB0009895292

Swaps

Long

4

48.179 GBP

Common - ISIN GB0009895292

Swaps

Short

3,165

47.676 GBP

Common - ISIN GB0009895292

Swaps

Long

242

48.23 GBP

Common - ISIN GB0009895292

Swaps

Short

871

47.928 GBP

Common - ISIN GB0009895292

Swaps

Long

159

48.23 GBP

Common - ISIN GB0009895292

Swaps

Long

470

48.23 GBP

Common - ISIN GB0009895292

Swaps

Short

70

47.928 GBP

Common - ISIN GB0009895292

Swaps

Long

20

48.23 GBP

Common - ISIN GB0009895292

Swaps

Long

37

48.23 GBP

Common - ISIN GB0009895292

Swaps

Long

13

48.23 GBP

Common - ISIN GB0009895292

Swaps

Short

2,062

47.928 GBP

Common - ISIN GB0009895292

Swaps

Long

373

48.23 GBP

Common - ISIN GB0009895292

Swaps

Long

576

48.23 GBP

Common - ISIN GB0009895292

Swaps

Long

1,113

48.23 GBP

Common - ISIN GB0009895292

Swaps

Short

6,997

47.928 GBP

Common - ISIN GB0009895292

Swaps

Long

1,267

48.23 GBP

Common - ISIN GB0009895292

Swaps

Long

3,780

48.23 GBP

Common - ISIN GB0009895292

Swaps

Long

1,950

48.23 GBP

Common - ISIN GB0009895292

Swaps

Short

2,000

48.239 GBP

Common - ISIN GB0009895292

Swaps

Long

693

47.881 GBP

Common - ISIN GB0009895292

Swaps

Long

105

47.963 GBP

Common - ISIN GB0009895292

Swaps

Short

103

48.239 GBP

Common - ISIN GB0009895292

Swaps

Short

1,000

47.917 GBP

Common - ISIN GB0009895292

Swaps

Short

24

48.242 GBP

Common - ISIN GB0009895292

Swaps

Short

111

48.239 GBP

Common - ISIN GB0009895292

Swaps

Long

10,000

47.743 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:

19/05/2014

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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