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Wednesday 14 May, 2014

Goldman Sachs (EPT)

Form 8.5 (EPT/RI) - Amendment

RNS Number : 1530H
GoldmanSachs International
14 May 2014
 

Amendment - due to the amendment of Derivative transactions, the disclosure made on 13 May for dealings on 09 May has been updated. Section 2(b) has 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:

09 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

1,216,646
901
22,500

46.8164 GBP
515.5000 SEK
78.0900 USD

46.0050 GBP
510.5000 SEK
77.9300 USD

USD 0.25 ordinary

Sales

543,139
901
48,200

46.7700 GBP
515.0000 SEK
77.2750 USD

46.0050 GBP
512.5460 SEK
77.2750 USD

ADR

Purchases

51,000

78.0200 USD

75.5000 USD

ADR

Sales

2,800

78.0200 USD

75.5000 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

Opening a long position

2,970

46.0050 GBP

USD 0.25 ordinary

CFD

Opening a short position

1,000

46.0700 GBP

USD 0.25 ordinary

CFD

Reducing a long position

19,497

46.0758 GBP

USD 0.25 ordinary

CFD

Reducing a long position

834

46.0758 GBP

USD 0.25 ordinary

CFD

Opening a long position

56,200

46.2283 GBP

USD 0.25 ordinary

CFD

Opening a long position

2,200

46.3121 GBP

USD 0.25 ordinary

CFD

Opening a short position

25,000

46.4012 GBP

USD 0.25 ordinary

CFD

Opening a long position

1,500

46.4722 GBP

USD 0.25 ordinary

CFD

Opening a long position

15,000

46.6245 GBP

USD 0.25 ordinary

CFD

Reducing a short position

6,500

46.6360 GBP

USD 0.25 ordinary

CFD

Opening a long position

7,500

46.6360 GBP

USD 0.25 ordinary

CFD

Opening a long position

7,500

46.6360 GBP

USD 0.25 ordinary

CFD

Opening a long position

4,000

46.6540 GBP

USD 0.25 ordinary

CFD

Opening a short position

15

46.6695 GBP

USD 0.25 ordinary

CFD

Opening a short position

99

46.6695 GBP

USD 0.25 ordinary

CFD

Opening a short position

20,000

46.8164 GBP

USD 0.25 ordinary

CFD

Reducing a long position

28,349

48.2418 GBP

USD 0.25 ordinary

CFD

Reducing a long position

21,651

48.2418 GBP

USD 0.25 ordinary

CFD

Opening a short position

7,500

77.9300 USD

USD 0.25 ordinary

CFD

Opening a short position

15,000

78.0900 USD

USD 0.25 ordinary

CFD

Reducing a short position

50,000

81.0462 USD

USD 0.25 ordinary

SWAP

Increasing a short position

443

46.0321 GBP

USD 0.25 ordinary

SWAP

Increasing a short position

5,726

46.0321 GBP

USD 0.25 ordinary

SWAP

Increasing a short position

1,764

46.0321 GBP

USD 0.25 ordinary

SWAP

Increasing a short position

411

46.0321 GBP

USD 0.25 ordinary

SWAP

Increasing a short position

15,262

46.0321 GBP

USD 0.25 ordinary

SWAP

Increasing a short position

42,201

46.0321 GBP

USD 0.25 ordinary

SWAP

Increasing a short position

3,511

46.0321 GBP

USD 0.25 ordinary

SWAP

Opening a short position

2,811

46.0923 GBP

USD 0.25 ordinary

SWAP

Opening a short position

10,313

46.0923 GBP

USD 0.25 ordinary

SWAP

Opening a short position

804

46.0923 GBP

USD 0.25 ordinary

SWAP

Opening a short position

3,211

46.0923 GBP

USD 0.25 ordinary

SWAP

Opening a short position

129,344

46.0923 GBP

USD 0.25 ordinary

SWAP

Opening a short position

4,724

46.0923 GBP

USD 0.25 ordinary

SWAP

Opening a short position

24,988

46.0923 GBP

USD 0.25 ordinary

SWAP

Opening a short position

34,351

46.0923 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,242

46.3201 GBP

USD 0.25 ordinary

SWAP

Opening a short position

2,844

46.3201 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,056

46.3201 GBP

USD 0.25 ordinary

SWAP

Opening a short position

2,087

46.3201 GBP

USD 0.25 ordinary

SWAP

Opening a short position

3,069

46.3201 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,419

46.3201 GBP

USD 0.25 ordinary

SWAP

Opening a short position

11,047

46.3201 GBP

USD 0.25 ordinary

SWAP

Opening a short position

15,177

46.3201 GBP

USD 0.25 ordinary

SWAP

Opening a short position

4,556

46.3201 GBP

USD 0.25 ordinary

SWAP

Opening a short position

57,147

46.3201 GBP

USD 0.25 ordinary

SWAP

Opening a short position

356

46.3201 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,602

46.3713 GBP

USD 0.25 ordinary

SWAP

Opening a short position

401

46.3713 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,194

46.3713 GBP

USD 0.25 ordinary

SWAP

Opening a short position

12,483

46.3713 GBP

USD 0.25 ordinary

SWAP

Opening a short position

5,149

46.3713 GBP

USD 0.25 ordinary

SWAP

Opening a short position

3,469

46.3713 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,402

46.3713 GBP

USD 0.25 ordinary

SWAP

Opening a short position

3,215

46.3713 GBP

USD 0.25 ordinary

SWAP

Opening a short position

2,359

46.3713 GBP

USD 0.25 ordinary

SWAP

Opening a short position

64,576

46.3713 GBP

USD 0.25 ordinary

SWAP

Opening a short position

17,150

46.3713 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,242

46.6695 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,419

46.6695 GBP

USD 0.25 ordinary

SWAP

Opening a short position

4,556

46.6695 GBP

USD 0.25 ordinary

SWAP

Opening a short position

2,087

46.6695 GBP

USD 0.25 ordinary

SWAP

Opening a short position

11,047

46.6695 GBP

USD 0.25 ordinary

SWAP

Opening a short position

3,069

46.6695 GBP

USD 0.25 ordinary

SWAP

Opening a short position

2,844

46.6695 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,056

46.6695 GBP

USD 0.25 ordinary

SWAP

Opening a short position

15,177

46.6695 GBP

USD 0.25 ordinary

SWAP

Opening a short position

356

46.6695 GBP

USD 0.25 ordinary

SWAP

Opening a short position

57,147

46.6695 GBP

USD 0.25 ordinary

SWAP

Closing a long position

160,000

46.6500 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

Put Option / (1.00 : 1,000.00)

Selling

75 (75,000)

46.0000 GBP

AMERICAN

16/05/2014

0.7500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Selling

75 (75,000)

46.0000 GBP

AMERICAN

16/05/2014

0.7500 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:

14 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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