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Friday 09 May, 2014

Goldman Sachs (EPT)

Form 8.5 (EPT/RI) - Amendment

RNS Number : 6612G
GoldmanSachs International
08 May 2014
 



Amendment - due to the amendment of Derivative and Option transactions, the disclosure made on 07 May for dealings on 06 May has been updated. Sections 2(b) and 2(c)(i) have been updated.

 

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:

(GS) GOLDMAN SACHS INTERNATIONAL

(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 dealing undertaken:

06 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?

YES - disclosed previously for PFIZER INC

 

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

USD 0.25 ordinary

Purchases

607,802
78,399

48.5970 GBP
524.5000 SEK

46.5850 GBP
517.2500 SEK

USD 0.25 ordinary

Sales

548,820
8,608

47.7538 GBP
524.2000 SEK

46.6000 GBP
516.0000 SEK

ADR

Purchases

50,000

79.5475 USD

79.5475 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

USD 0.25 ordinary

CFD

Reducing a long position

70,797

45.5356 GBP

USD 0.25 ordinary

CFD

Reducing a long position

4,203

45.5356 GBP

USD 0.25 ordinary

CFD

Reducing a long position

75,000

46.3019 GBP

USD 0.25 ordinary

CFD

Reducing a long position

7,397

46.3902 GBP

USD 0.25 ordinary

CFD

Reducing a long position

42,603

46.3902 GBP

USD 0.25 ordinary

CFD

Opening a short position

79

46.7595 GBP

USD 0.25 ordinary

CFD

Opening a short position

15

46.7595 GBP

USD 0.25 ordinary

CFD

Opening a short position

13

46.7595 GBP

USD 0.25 ordinary

CFD

Reducing a short position

550

46.7750 GBP

USD 0.25 ordinary

CFD

Opening a short position

2,935

46.7820 GBP

USD 0.25 ordinary

CFD

Reducing a long position

10,000

46.8818 GBP

USD 0.25 ordinary

CFD

Opening a short position

1,000

46.9000 GBP

USD 0.25 ordinary

CFD

Reducing a short position

720

46.9085 GBP

USD 0.25 ordinary

CFD

Reducing a short position

204

46.9085 GBP

USD 0.25 ordinary

CFD

Reducing a short position

155

46.9085 GBP

USD 0.25 ordinary

CFD

Reducing a short position

516

46.9085 GBP

USD 0.25 ordinary

CFD

Opening a short position

25,000

46.9092 GBP

USD 0.25 ordinary

CFD

Opening a long position

2,000

46.9506 GBP

USD 0.25 ordinary

CFD

Opening a short position

25,000

46.9572 GBP

USD 0.25 ordinary

CFD

Opening a long position

68,736

47.0126 GBP

USD 0.25 ordinary

CFD

Opening a short position

12,500

47.0203 GBP

USD 0.25 ordinary

CFD

Opening a short position

4,617

47.0810 GBP

USD 0.25 ordinary

CFD

Opening a short position

3,331

47.0810 GBP

USD 0.25 ordinary

CFD

Opening a short position

1,000

47.1175 GBP

USD 0.25 ordinary

CFD

Opening a short position

5,000

47.1266 GBP

USD 0.25 ordinary

CFD

Opening a short position

550

47.3500 GBP

USD 0.25 ordinary

CFD

Reducing a long position

10,000

47.4103 GBP

USD 0.25 ordinary

CFD

Reducing a short position

75,000

77.4105 USD

USD 0.25 ordinary

CFD

Reducing a short position

75,000

78.7132 USD

USD 0.25 ordinary

CFD

Reducing a short position

50,000

78.8633 USD

USD 0.25 ordinary

CFD

Reducing a short position

10,000

78.9658 USD

USD 0.25 ordinary

CFD

Reducing a short position

2,170

79.7956 USD

USD 0.25 ordinary

CFD

Reducing a short position

10,000

79.8560 USD

USD 0.25 ordinary

SWAP

Opening a long position

1,224

46.7610 GBP

USD 0.25 ordinary

SWAP

Opening a short position

25,000

47.0541 GBP

USD 0.25 ordinary

SWAP

Opening a short position

59,905

47.4906 GBP

USD 0.25 ordinary

SWAP

Increasing a short position

59,905

47.4906 GBP

USD 0.25 ordinary

SWAP

Opening a long position

213

47.7062 GBP

USD 0.25 ordinary

SWAP

Opening a long position

1,934

47.7535 GBP

USD 0.25 ordinary

SWAP

Opening a long position

2,401

47.7536 GBP

USD 0.25 ordinary

SWAP

Opening a long position

4,759

47.7538 GBP

USD 0.25 ordinary

SWAP

Opening a short position

9,307

48.5970 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

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

115 (115,000)

42.0000 GBP

AMERICAN

19/09/2014

5.6900 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

115 (115,000)

42.0000 GBP

AMERICAN

19/09/2014

5.6900 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

43 (43,000)

42.0000 GBP

AMERICAN

19/09/2014

5.6900 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

15 (15,000)

42.0000 GBP

AMERICAN

19/09/2014

5.6900 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

7 (7,000)

42.0000 GBP

AMERICAN

19/09/2014

5.6900 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

7 (7,000)

42.0000 GBP

AMERICAN

19/09/2014

5.6900 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

43 (43,000)

42.0000 GBP

AMERICAN

19/09/2014

5.6900 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

15 (15,000)

42.0000 GBP

AMERICAN

19/09/2014

5.6900 GBP

 

 

(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 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:

08 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.


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