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Friday 16 May, 2014

Goldman Sachs (EPT)

Form 8.5 (EPT/RI) - Amendment

RNS Number : 2838H
GoldmanSachs International
15 May 2014
 

Amendment - due to the amendment of Derivative transactions, the disclosure made on 14 May for dealings on 13 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:

13 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

1,037,436

47.3400 GBP

46.3000 GBP

USD 0.25 ordinary

Sales

853,507
26,694

47.2885 GBP
514.0000 SEK

46.3600 GBP
514.0000 SEK

ADR

Purchases

50

79.0100 USD

79.0100 USD

ADR

Sales

50

79.0100 USD

79.0100 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

164

46.4200 GBP

USD 0.25 ordinary

CFD

Opening a short position

919

46.4270 GBP

USD 0.25 ordinary

CFD

Reducing a long position

3,580

46.4953 GBP

USD 0.25 ordinary

CFD

Reducing a long position

22,620

46.4953 GBP

USD 0.25 ordinary

CFD

Reducing a short position

500

46.6025 GBP

USD 0.25 ordinary

CFD

Reducing a short position

500

46.6025 GBP

USD 0.25 ordinary

CFD

Opening a long position

1,931

46.6299 GBP

USD 0.25 ordinary

CFD

Opening a long position

26,049

46.6615 GBP

USD 0.25 ordinary

CFD

Opening a short position

10,000

46.7200 GBP

USD 0.25 ordinary

CFD

Opening a short position

15

47.0471 GBP

USD 0.25 ordinary

CFD

Opening a short position

16

47.0471 GBP

USD 0.25 ordinary

CFD

Opening a short position

112

47.0471 GBP

USD 0.25 ordinary

SWAP

Opening a short position

51,200

46.5963 GBP

USD 0.25 ordinary

SWAP

Opening a short position

12,800

46.5963 GBP

USD 0.25 ordinary

SWAP

Reducing a short position

25,000

46.9357 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

250 (250,000)

50.0000 GBP

AMERICAN

20/06/2014

0.7500 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

250 (250,000)

50.0000 GBP

AMERICAN

20/06/2014

0.7500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

2 (2,000)

36.0000 GBP

AMERICAN

19/09/2014

0.1500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

2 (2,000)

36.0000 USD

AMERICAN

19/09/2014

0.1500 USD

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

10 (10,000)

48.0000 GBP

AMERICAN

20/06/2014

2.8800 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

5 (5,000)

48.0000 GBP

AMERICAN

20/06/2014

2.9500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

5 (5,000)

48.0000 GBP

AMERICAN

20/06/2014

2.9500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

10 (10,000)

48.0000 GBP

AMERICAN

20/06/2014

2.8800 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

20 (20,000)

48.0000 GBP

AMERICAN

20/06/2014

2.8500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

20 (20,000)

48.0000 GBP

AMERICAN

20/06/2014

2.8500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Selling

2 (2,000)

36.0000 GBP

AMERICAN

19/09/2014

0.1500 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:

15 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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