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Wednesday 30 April, 2014

Goldman Sachs & Co.

Form 8.5 (EPT/NON-RI)

RNS Number : 8448F
Goldman Sachs & Co.
29 April 2014
 

 

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:

28 April 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 - disclosing today for PFIZER INC

 

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:

 

ADRs


Interests

Short positions


Number

%

Number

%

(1) Relevant securities owned and/or controlled:

204

0.00

0

0.00

(2) Derivatives (other than options):

0

0.00

0

0.00

(3) Options and agreements to purchase/sell:

0

0.00

0

0.00

 

     TOTAL:

204

0.00

0

0.00

 

 

 

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

100

74.1800 USD

ADR

Purchase

100

74.2000 USD

ADR

Purchase

100

74.2000 USD

ADR

Purchase

200

74.2500 USD

ADR

Purchase

100

74.3000 USD

ADR

Purchase

100

74.3800 USD

ADR

Purchase

100

74.4300 USD

ADR

Purchase

100

74.4700 USD

ADR

Purchase

600

74.5700 USD

ADR

Purchase

400

74.5900 USD

ADR

Purchase

100

74.6300 USD

ADR

Purchase

100

74.6300 USD

ADR

Purchase

100

74.6600 USD

ADR

Purchase

100

74.7600 USD

ADR

Purchase

300

74.8100 USD

ADR

Purchase

100

74.8300 USD

ADR

Purchase

100

74.9000 USD

ADR

Purchase

200

74.9000 USD

ADR

Purchase

100

74.9000 USD

ADR

Purchase

100

75.0100 USD

ADR

Purchase

200

75.0700 USD

ADR

Purchase

100

75.1600 USD

ADR

Purchase

100

75.2200 USD

ADR

Purchase

100

75.3600 USD

ADR

Purchase

300

75.5400 USD

ADR

Purchase

100

75.5600 USD

ADR

Purchase

110

75.5600 USD

ADR

Purchase

100

75.6100 USD

ADR

Purchase

400

75.6100 USD

ADR

Purchase

300

75.7200 USD

ADR

Purchase

300

75.8100 USD

ADR

Purchase

157

75.8100 USD

ADR

Purchase

200

75.8100 USD

ADR

Purchase

100

75.8100 USD

ADR

Purchase

100

75.8700 USD

ADR

Purchase

700

75.8900 USD

ADR

Purchase

300

75.8900 USD

ADR

Purchase

100

75.8900 USD

ADR

Purchase

500

75.9100 USD

ADR

Purchase

300

75.9500 USD

ADR

Purchase

100

75.9500 USD

ADR

Purchase

300

75.9500 USD

ADR

Purchase

200

75.9900 USD

ADR

Purchase

100

75.9900 USD

ADR

Purchase

100

75.9900 USD

ADR

Purchase

100

75.9900 USD

ADR

Purchase

100

75.9900 USD

ADR

Purchase

100

75.9900 USD

ADR

Purchase

100

75.9900 USD

ADR

Purchase

100

75.9900 USD

ADR

Purchase

100

76.0300 USD

ADR

Purchase

300

76.1100 USD

ADR

Purchase

600

76.1200 USD

ADR

Purchase

200

76.1500 USD

ADR

Purchase

200

76.1700 USD

ADR

Purchase

100

76.1700 USD

ADR

Purchase

100

76.1800 USD

ADR

Purchase

100

76.1800 USD

ADR

Purchase

100

76.2100 USD

ADR

Purchase

300

76.2400 USD

ADR

Purchase

100

76.2600 USD

ADR

Purchase

100

76.2600 USD

ADR

Purchase

100

76.2700 USD

ADR

Purchase

100

76.2900 USD

ADR

Purchase

100

76.3000 USD

ADR

Purchase

100

76.3700 USD

ADR

Purchase

100

76.4000 USD

ADR

Purchase

200

76.4000 USD

ADR

Purchase

500

76.4000 USD

ADR

Purchase

100

76.4500 USD

ADR

Purchase

200

76.5000 USD

ADR

Purchase

300

76.5000 USD

ADR

Purchase

200

76.5000 USD

ADR

Purchase

200

76.5100 USD

ADR

Purchase

200

76.5100 USD

ADR

Purchase

200

76.5100 USD

ADR

Purchase

200

76.5100 USD

ADR

Purchase

200

76.5100 USD

ADR

Purchase

300

76.5100 USD

ADR

Purchase

100

76.5200 USD

ADR

Purchase

100

76.5200 USD

ADR

Purchase

100

76.5300 USD

ADR

Purchase

300

76.5300 USD

ADR

Purchase

100

76.5300 USD

ADR

Purchase

100

76.5400 USD

ADR

Purchase

600

76.5500 USD

ADR

Purchase

300

76.5500 USD

ADR

Purchase

100

76.5500 USD

ADR

Purchase

100

76.5700 USD

ADR

Purchase

600

76.5700 USD

ADR

Purchase

100

76.5700 USD

ADR

Purchase

279

76.5700 USD

ADR

Purchase

100

76.5800 USD

ADR

Purchase

400

76.5900 USD

ADR

Purchase

200

76.6000 USD

ADR

Purchase

500

76.6200 USD

ADR

Purchase

400

76.6200 USD

ADR

Purchase

78

76.6300 USD

ADR

Purchase

100

76.6500 USD

ADR

Purchase

100

76.6600 USD

ADR

Purchase

300

76.6900 USD

ADR

Purchase

400

76.6900 USD

ADR

Purchase

100

76.6900 USD

ADR

Purchase

200

76.6900 USD

ADR

Purchase

100

76.7500 USD

ADR

Purchase

300

76.7500 USD

ADR

Purchase

200

76.7600 USD

ADR

Purchase

400

76.7700 USD

ADR

Purchase

200

76.7800 USD

ADR

Purchase

100

76.8100 USD

ADR

Purchase

300

76.8300 USD

ADR

Purchase

200

76.8600 USD

ADR

Purchase

200

76.8800 USD

ADR

Purchase

100

76.8800 USD

ADR

Purchase

600

76.8800 USD

ADR

Purchase

100

76.8800 USD

ADR

Purchase

100

76.8900 USD

ADR

Purchase

5

76.9800 USD

ADR

Purchase

100

76.9800 USD

ADR

Purchase

100

76.9900 USD

ADR

Purchase

275

77.0000 USD

ADR

Purchase

297

77.0100 USD

ADR

Purchase

500

77.0100 USD

ADR

Purchase

406

77.0100 USD

ADR

Purchase

3

77.0100 USD

ADR

Purchase

200

77.0100 USD

ADR

Purchase

300

77.0300 USD

ADR

Purchase

100

77.0300 USD

ADR

Purchase

100

77.0600 USD

ADR

Purchase

400

77.2000 USD

ADR

Purchase

200

77.2400 USD

ADR

Purchase

200

77.2800 USD

ADR

Purchase

100

77.2800 USD

ADR

Purchase

100

77.2900 USD

ADR

Purchase

200

77.3200 USD

ADR

Purchase

200

77.3400 USD

ADR

Purchase

100

77.3900 USD

ADR

Purchase

100

77.4200 USD

ADR

Purchase

100

77.4200 USD

ADR

Purchase

100

77.4800 USD

ADR

Purchase

14

77.5500 USD

ADR

Purchase

100

77.5600 USD

ADR

Purchase

100

77.5700 USD

ADR

Purchase

107

77.7500 USD

ADR

Purchase

200

77.8100 USD

ADR

Purchase

100

78.0000 USD

ADR

Purchase

100

78.0700 USD

ADR

Purchase

100

78.0800 USD

ADR

Purchase

100

78.2100 USD

ADR

Purchase

100

78.2700 USD

ADR

Purchase

25

78.2700 USD

ADR

Purchase

600

78.3000 USD

ADR

Purchase

100

78.3500 USD

ADR

Purchase

500

78.6500 USD

ADR

Purchase

100

78.6600 USD

ADR

Purchase

200

78.6600 USD

ADR

Purchase

100

78.7000 USD

ADR

Purchase

200

78.7300 USD

ADR

Purchase

100

78.7300 USD

ADR

Purchase

300

78.7500 USD

ADR

Purchase

200

78.7500 USD

ADR

Purchase

100

78.7500 USD

ADR

Purchase

159

78.7500 USD

ADR

Purchase

200

78.7500 USD

ADR

Purchase

141

78.7500 USD

ADR

Purchase

100

78.8500 USD

ADR

Purchase

400

78.8500 USD

ADR

Purchase

200

78.8700 USD

ADR

Purchase

300

78.8700 USD

ADR

Purchase

100

78.8800 USD

ADR

Purchase

100

78.8900 USD

ADR

Purchase

100

78.8900 USD

ADR

Purchase

100

78.9200 USD

ADR

Purchase

300

78.9500 USD

ADR

Purchase

400

78.9600 USD

ADR

Purchase

400

78.9600 USD

ADR

Purchase

100

78.9600 USD

ADR

Purchase

200

79.0200 USD

ADR

Purchase

100

79.0300 USD

ADR

Purchase

100

79.0300 USD

ADR

Purchase

200

79.2100 USD

ADR

Purchase

370

79.2200 USD

ADR

Purchase

100

79.3700 USD

ADR

Purchase

100

79.5500 USD

ADR

Purchase

100

79.5500 USD

ADR

Purchase

100

79.5500 USD

ADR

Purchase

100

79.5500 USD

ADR

Purchase

300

79.6000 USD

ADR

Purchase

100

79.7000 USD

ADR

Purchase

100

79.7400 USD

ADR

Purchase

100

79.7800 USD

ADR

Purchase

200

79.7900 USD

ADR

Purchase

100

79.8200 USD

ADR

Purchase

100

79.8200 USD

ADR

Sale

100

74.0900 USD

ADR

Sale

100

74.4700 USD

ADR

Sale

100

74.5700 USD

ADR

Sale

100

74.6400 USD

ADR

Sale

100

74.6800 USD

ADR

Sale

100

74.7800 USD

ADR

Sale

18

74.7900 USD

ADR

Sale

400

74.8100 USD

ADR

Sale

400

74.8900 USD

ADR

Sale

68

74.9500 USD

ADR

Sale

200

74.9700 USD

ADR

Sale

110

75.0000 USD

ADR

Sale

390

75.0000 USD

ADR

Sale

83

75.0600 USD

ADR

Sale

300

75.0800 USD

ADR

Sale

100

75.1300 USD

ADR

Sale

100

75.1700 USD

ADR

Sale

100

75.1700 USD

ADR

Sale

200

75.1900 USD

ADR

Sale

100

75.2100 USD

ADR

Sale

100

75.2100 USD

ADR

Sale

200

75.2700 USD

ADR

Sale

100

75.6200 USD

ADR

Sale

100

75.6500 USD

ADR

Sale

100

75.7900 USD

ADR

Sale

100

75.8300 USD

ADR

Sale

500

75.8300 USD

ADR

Sale

200

75.8800 USD

ADR

Sale

200

75.8800 USD

ADR

Sale

100

75.8800 USD

ADR

Sale

400

75.8800 USD

ADR

Sale

100

75.8900 USD

ADR

Sale

100

75.9000 USD

ADR

Sale

500

75.9000 USD

ADR

Sale

300

75.9000 USD

ADR

Sale

200

75.9000 USD

ADR

Sale

100

75.9500 USD

ADR

Sale

500

75.9800 USD

ADR

Sale

200

75.9800 USD

ADR

Sale

300

75.9800 USD

ADR

Sale

100

76.0000 USD

ADR

Sale

100

76.0400 USD

ADR

Sale

79

76.0500 USD

ADR

Sale

300

76.0500 USD

ADR

Sale

100

76.0500 USD

ADR

Sale

100

76.0500 USD

ADR

Sale

200

76.0500 USD

ADR

Sale

100

76.0700 USD

ADR

Sale

100

76.0700 USD

ADR

Sale

100

76.0700 USD

ADR

Sale

99

76.0700 USD

ADR

Sale

200

76.0700 USD

ADR

Sale

400

76.0900 USD

ADR

Sale

200

76.0900 USD

ADR

Sale

200

76.1100 USD

ADR

Sale

200

76.1200 USD

ADR

Sale

100

76.1300 USD

ADR

Sale

216

76.1800 USD

ADR

Sale

84

76.1800 USD

ADR

Sale

200

76.2200 USD

ADR

Sale

300

76.2500 USD

ADR

Sale

300

76.2500 USD

ADR

Sale

100

76.2500 USD

ADR

Sale

75

76.2600 USD

ADR

Sale

25

76.2600 USD

ADR

Sale

125

76.2600 USD

ADR

Sale

100

76.2900 USD

ADR

Sale

103

76.3800 USD

ADR

Sale

200

76.4000 USD

ADR

Sale

100

76.4000 USD

ADR

Sale

100

76.4000 USD

ADR

Sale

300

76.4100 USD

ADR

Sale

100

76.4100 USD

ADR

Sale

100

76.4200 USD

ADR

Sale

100

76.4400 USD

ADR

Sale

100

76.4400 USD

ADR

Sale

200

76.4600 USD

ADR

Sale

100

76.4600 USD

ADR

Sale

500

76.4700 USD

ADR

Sale

100

76.4800 USD

ADR

Sale

200

76.5300 USD

ADR

Sale

200

76.5300 USD

ADR

Sale

100

76.5300 USD

ADR

Sale

100

76.5300 USD

ADR

Sale

100

76.5500 USD

ADR

Sale

100

76.5500 USD

ADR

Sale

85

76.5500 USD

ADR

Sale

300

76.5500 USD

ADR

Sale

100

76.5500 USD

ADR

Sale

300

76.5900 USD

ADR

Sale

46

76.5900 USD

ADR

Sale

100

76.6000 USD

ADR

Sale

80

76.6000 USD

ADR

Sale

100

76.6400 USD

ADR

Sale

100

76.6400 USD

ADR

Sale

1

76.6500 USD

ADR

Sale

200

76.6600 USD

ADR

Sale

500

76.6700 USD

ADR

Sale

400

76.6700 USD

ADR

Sale

200

76.6800 USD

ADR

Sale

100

76.6800 USD

ADR

Sale

100

76.6800 USD

ADR

Sale

200

76.6800 USD

ADR

Sale

500

76.6900 USD

ADR

Sale

500

76.6900 USD

ADR

Sale

100

76.7000 USD

ADR

Sale

100

76.7000 USD

ADR

Sale

52

76.7200 USD

ADR

Sale

200

76.7200 USD

ADR

Sale

400

76.7200 USD

ADR

Sale

400

76.7400 USD

ADR

Sale

100

76.7400 USD

ADR

Sale

400

76.7500 USD

ADR

Sale

91

76.7600 USD

ADR

Sale

100

76.7800 USD

ADR

Sale

300

76.7900 USD

ADR

Sale

100

76.8300 USD

ADR

Sale

100

76.8300 USD

ADR

Sale

400

76.8300 USD

ADR

Sale

100

76.8400 USD

ADR

Sale

600

76.8900 USD

ADR

Sale

100

76.8900 USD

ADR

Sale

300

76.8900 USD

ADR

Sale

333

76.9000 USD

ADR

Sale

100

76.9000 USD

ADR

Sale

66

76.9000 USD

ADR

Sale

100

76.9000 USD

ADR

Sale

300

76.9000 USD

ADR

Sale

100

76.9000 USD

ADR

Sale

200

76.9100 USD

ADR

Sale

300

76.9100 USD

ADR

Sale

200

76.9300 USD

ADR

Sale

1

76.9500 USD

ADR

Sale

399

76.9500 USD

ADR

Sale

1

76.9500 USD

ADR

Sale

100

76.9600 USD

ADR

Sale

100

77.0100 USD

ADR

Sale

200

77.0200 USD

ADR

Sale

100

77.0300 USD

ADR

Sale

100

77.0700 USD

ADR

Sale

100

77.0700 USD

ADR

Sale

100

77.1300 USD

ADR

Sale

100

77.1300 USD

ADR

Sale

15

77.1400 USD

ADR

Sale

100

77.1400 USD

ADR

Sale

200

77.3000 USD

ADR

Sale

100

77.3300 USD

ADR

Sale

100

77.3600 USD

ADR

Sale

100

77.4700 USD

ADR

Sale

100

77.4700 USD

ADR

Sale

100

77.4800 USD

ADR

Sale

100

77.4900 USD

ADR

Sale

100

77.5700 USD

ADR

Sale

100

77.6100 USD

ADR

Sale

100

77.7400 USD

ADR

Sale

200

77.7400 USD

ADR

Sale

100

78.0700 USD

ADR

Sale

200

78.0700 USD

ADR

Sale

500

78.2400 USD

ADR

Sale

100

78.3700 USD

ADR

Sale

100

78.5400 USD

ADR

Sale

100

78.5600 USD

ADR

Sale

300

78.5900 USD

ADR

Sale

200

78.6200 USD

ADR

Sale

100

78.6800 USD

ADR

Sale

500

78.8000 USD

ADR

Sale

100

78.8000 USD

ADR

Sale

100

78.8000 USD

ADR

Sale

400

78.8100 USD

ADR

Sale

200

78.8400 USD

ADR

Sale

400

78.8500 USD

ADR

Sale

300

78.8500 USD

ADR

Sale

200

78.8600 USD

ADR

Sale

100

78.8600 USD

ADR

Sale

100

78.8600 USD

ADR

Sale

86

78.8800 USD

ADR

Sale

100

78.8800 USD

ADR

Sale

100

78.8800 USD

ADR

Sale

100

78.8800 USD

ADR

Sale

100

78.8900 USD

ADR

Sale

100

78.9000 USD

ADR

Sale

100

78.9200 USD

ADR

Sale

800

78.9200 USD

ADR

Sale

100

78.9200 USD

ADR

Sale

500

78.9800 USD

ADR

Sale

125

79.1600 USD

ADR

Sale

100

79.1600 USD

ADR

Sale

75

79.1600 USD

ADR

Sale

100

79.1700 USD

ADR

Sale

100

79.2000 USD

ADR

Sale

50

79.2000 USD

ADR

Sale

200

79.2600 USD

ADR

Sale

100

79.3200 USD

ADR

Sale

100

79.3400 USD

ADR

Sale

100

79.4000 USD

ADR

Sale

45

79.4000 USD

ADR

Sale

255

79.4000 USD

ADR

Sale

100

79.4100 USD

ADR

Sale

100

79.4300 USD

ADR

Sale

100

79.4300 USD

ADR

Sale

100

79.4500 USD

ADR

Sale

100

79.4600 USD

ADR

Sale

100

79.4800 USD

ADR

Sale

90

79.4800 USD

ADR

Sale

400

79.5100 USD

ADR

Sale

100

79.5500 USD

ADR

Sale

100

79.5600 USD

ADR

Sale

64

79.6800 USD

ADR

Sale

36

79.6800 USD

ADR

Sale

400

79.6800 USD

 

 

Class of relevant security

Purchases/sales

Total number of securities

ADR

Purchases

36,626

ADR

Sales

36,271

 

(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

 

 

(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?

NO

 

 

Date of disclosure:

29 April 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.

 


This information is provided by RNS
The company news service from the London Stock Exchange
 
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