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Monday 19 May, 2014

Goldman Sachs & Co.

Form 8.5 (EPT/NON-RI) - Amendment

RNS Number : 5205H
Goldman Sachs & Co.
19 May 2014
 

 

Amendment - due to the amendment of Derivative transactions, the disclosure made on 13 May for dealings on 12 May has been updated. Sections 2(a) and 3(b) have been updated.

 

FORM 8.5 (EPT/NON-RI)

 

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the "Code")

 

1.         KEY INFORMATION

 

(a) Name of exempt principal trader:

(GS) GOLDMAN, SACHS & CO.

(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:

ASTRAZENECA PLC

(d) Date position held/dealing undertaken:

12 May 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.         POSITIONS OF THE EXEMPT PRINCIPAL TRADER

 

(a)        Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

 

Class of relevant security:

 

USD 0.25 ordinary and ADRs


Interests

Short positions


Number

%

Number

%

(1) Relevant securities owned and/or controlled:

0

0.00

258,107

0.02

(2) Derivatives (other than options):

160

0.00

0

0.00

(3) Options and agreements to purchase/sell:

2,186,000

0.17

547,600

0.04

 

     TOTAL:

2,186,160

0.17

805,707

0.06

 

 

All interests and all short positions should be disclosed.

 

Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

 

(b)        Rights to subscribe for new securities (including directors' and other executive options)

 

Class of relevant security in relation to which subscription right exists:


Details, including nature of the rights concerned and relevant percentages:


 

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

 

3.         DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

 

(a)        Purchases and sales

 

Class of relevant security

Purchase/sale

 

Number of securities

Price per unit

ADR

Purchase

200

77.6400 USD

ADR

Purchase

200

77.6400 USD

ADR

Purchase

300

77.6700 USD

ADR

Purchase

200

77.6700 USD

ADR

Purchase

100

77.6700 USD

ADR

Purchase

100

77.6700 USD

ADR

Purchase

100

77.6700 USD

ADR

Purchase

100

77.7500 USD

ADR

Purchase

500

77.7700 USD

ADR

Purchase

96

77.7700 USD

ADR

Purchase

200

77.8300 USD

ADR

Purchase

300

77.8300 USD

ADR

Purchase

100

77.8300 USD

ADR

Purchase

100

77.8300 USD

ADR

Purchase

1,000

77.8400 USD

ADR

Purchase

100

77.8400 USD

ADR

Purchase

200

77.8400 USD

ADR

Purchase

100

77.8400 USD

ADR

Purchase

100

77.8400 USD

ADR

Purchase

200

77.8500 USD

ADR

Purchase

200

77.8500 USD

ADR

Purchase

300

77.8500 USD

ADR

Purchase

138

77.8600 USD

ADR

Purchase

100

77.8600 USD

ADR

Purchase

100

77.8600 USD

ADR

Purchase

71

77.8700 USD

ADR

Purchase

71

77.8700 USD

ADR

Purchase

55

77.8700 USD

ADR

Purchase

75

77.8700 USD

ADR

Purchase

71

77.8700 USD

ADR

Purchase

71

77.8700 USD

ADR

Purchase

71

77.8700 USD

ADR

Purchase

71

77.8700 USD

ADR

Purchase

71

77.8700 USD

ADR

Purchase

10

77.8900 USD

ADR

Purchase

52

77.8900 USD

ADR

Purchase

49

77.8900 USD

ADR

Purchase

100

77.8900 USD

ADR

Purchase

300

77.9000 USD

ADR

Purchase

400

77.9100 USD

ADR

Purchase

100

77.9100 USD

ADR

Purchase

100

77.9300 USD

ADR

Purchase

100

77.9500 USD

ADR

Purchase

100

77.9600 USD

ADR

Purchase

500

77.9900 USD

ADR

Purchase

300

78.0300 USD

ADR

Sale

200

77.5900 USD

ADR

Sale

100

77.5900 USD

ADR

Sale

700

77.7100 USD

ADR

Sale

100

77.7700 USD

ADR

Sale

500

77.7800 USD

ADR

Sale

100

77.8000 USD

ADR

Sale

300

77.8000 USD

ADR

Sale

300

77.8300 USD

ADR

Sale

100

77.8400 USD

ADR

Sale

400

77.8400 USD

ADR

Sale

500

77.8500 USD

ADR

Sale

100

77.8600 USD

ADR

Sale

200

77.8600 USD

ADR

Sale

100

77.8600 USD

ADR

Sale

7

77.8600 USD

ADR

Sale

91

77.8600 USD

ADR

Sale

200

77.8700 USD

ADR

Sale

100

77.8700 USD

ADR

Sale

39

77.8800 USD

ADR

Sale

100

77.8800 USD

ADR

Sale

100

77.8800 USD

ADR

Sale

400

77.8800 USD

ADR

Sale

100

77.8800 USD

ADR

Sale

100

77.8800 USD

ADR

Sale

100

77.8800 USD

ADR

Sale

200

77.8900 USD

ADR

Sale

100

77.8900 USD

ADR

Sale

300

77.8900 USD

ADR

Sale

100

77.9000 USD

ADR

Sale

300

77.9000 USD

ADR

Sale

200

77.9000 USD

ADR

Sale

100

77.9000 USD

ADR

Sale

189

77.9000 USD

ADR

Sale

100

77.9100 USD

ADR

Sale

98

77.9200 USD

ADR

Sale

100

77.9500 USD

ADR

Sale

100

77.9500 USD

ADR

Sale

100

78.0000 USD

ADR

Sale

300

78.0000 USD

ADR

Sale

237

78.0500 USD

ADR

Sale

100

78.0900 USD

ADR

Sale

100

78.1000 USD

ADR

Sale

100

78.1000 USD

 

 

 

Class of relevant security

Purchases/sales

Total number of securities

ADR

Purchases

7,872

ADR

Sales

7,861

 

(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

ADR

CFD

Reducing a long position

5,420

77.7800 USD

 

 

(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

 

 

(ii)        Exercising

 

Class of relevant security

Product description

e.g. call option

Number of securities

Exercise price per unit

 

 

(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)


 

 



 

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 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

 

4.         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

 

 

(c)        Attachments

 

Is a Supplemental Form 8 (Open Positions) attached?

YES

 

 

Date of disclosure:

19 May 2014

Contact name:

Helen-Marie Moloney and Christopher Owers

Telephone number:

+44(20) 7774 8019 / +44(20) 7552 1461

 

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.



 

SUPPLEMENTAL FORM 8(OPEN POSITIONS)

 

DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENT TO 

PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the "Code")

 

1.         KEY INFORMATION

 

     Identity of the person whose open positions are being disclosed:

(GS) GOLDMAN, SACHS & CO.

     Name of offeror/offeree in relation to whose relevant securities disclosure relates:

ASTRAZENECA PLC

 

 

2.         OPTIONS AND DERIVATIVES

 

Class of relevant security

Product description e.g. call option

Written or purchased

Number of securities to which option or derivative relates

Exercise price per unit

Type

e.g. American, European etc.

Expiry date

USD 0.25 ordinary

Call Option

Purchased

800

67.5000 USD

AMER

21/06/2014

USD 0.25 ordinary

Call Option

Sold

2,400

75.0000 USD

AMER

21/06/2014

USD 0.25 ordinary

Call Option

Purchased

15,400

72.5000 USD

AMER

21/06/2014

USD 0.25 ordinary

Call Option

Sold

15,800

62.5000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Purchased

16,600

70.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Sold

39,400

67.5000 USD

AMER

17/05/2014

USD 0.25 ordinary

Call Option

Purchased

43,200

70.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Sold

100,000

70.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Purchased

100,000

75.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Purchased

100,000

77.5000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Purchased

100,000

80.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Purchased

138,300

70.0000 USD

AMER

21/06/2014

USD 0.25 ordinary

Call Option

Purchased

153,900

80.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Purchased

165,100

60.0000 USD

AMER

17/01/2015

USD 0.25 ordinary

Call Option

Sold

200,000

40.0000 GBP

AMER

20/06/2014

USD 0.25 ordinary

Call Option

Purchased

200,000

40.0000 GBP

AMER

20/06/2014

USD 0.25 ordinary

Call Option

Purchased

200,000

40.0000 GBP

AMER

20/06/2014

USD 0.25 ordinary

Call Option

Purchased

237,800

65.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Call Option

Purchased

338,800

70.0000 USD

AMER

19/07/2014

USD 0.25 ordinary

Put Option

Purchased

25,000

38.0000 GBP

EURO

16/05/2014

USD 0.25 ordinary

Put Option

Purchased

25,000

38.0000 GBP

EURO

20/06/2014

USD 0.25 ordinary

Put Option

Purchased

40,000

65.0000 USD

AMER

17/05/2014

USD 0.25 ordinary

Put Option

Sold

48,000

62.5000 USD

AMER

17/05/2014

USD 0.25 ordinary

Put Option

Sold

50,000

70.0000 USD

AMER

17/05/2014

USD 0.25 ordinary

Put Option

Sold

85,600

65.0000 USD

AMER

17/05/2014

USD 0.25 ordinary

Put Option

Sold

92,500

62.5000 USD

AMER

21/06/2014

USD 0.25 ordinary

Put Option

Purchased

100,000

40.0000 GBP

AMER

16/05/2014

USD 0.25 ordinary

Put Option

Sold

100,000

67.5000 USD

AMER

17/05/2014

USD 0.25 ordinary

Swap

Purchased

160

0.0000

N/A

08/04/2015

 

 

3.         AGREEMENTS TO PURCHASE OR SELL

 

Full details should be given so that the nature of the interest or position can be fully understood:


 

It is not necessary to provide details on a Supplement form (Open Positions) with regard to contracts for differences ("CFD") or spread bets

 

 The currency of all pieces and other monetary amounts should be stated.

 

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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