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Tuesday 20 May, 2014

Goldman Sachs (EPT)

Form 8.5 (EPT/RI) - Amendment

RNS Number : 6240H
GoldmanSachs International
20 May 2014
 



Amendment - due to the amendment of Equity and Derivative transactions, the disclosure made on 19 May for dealings on 16 May has been updated. Sections 2(a) and 2(b) 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:

16 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

1,144,366

48.2350 GBP

47.3600 GBP

USD 0.25 ordinary

Sales

1,099,785

48.2350 GBP

47.4100 GBP

ADR

Purchases

20,000

80.5324 USD

80.5069 USD

ADR

Sales

20,000

80.5197 USD

80.5197 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

31,057

47.6319 GBP

USD 0.25 ordinary

CFD

Reducing a short position

1

47.8082 GBP

USD 0.25 ordinary

CFD

Reducing a short position

37

47.8082 GBP

USD 0.25 ordinary

CFD

Reducing a short position

418

47.8082 GBP

USD 0.25 ordinary

CFD

Reducing a short position

2

47.8082 GBP

USD 0.25 ordinary

CFD

Reducing a short position

546

47.8082 GBP

USD 0.25 ordinary

CFD

Reducing a long position

1,400

47.8154 GBP

USD 0.25 ordinary

CFD

Reducing a short position

2,384

47.8300 GBP

USD 0.25 ordinary

CFD

Reducing a short position

3,323

47.8300 GBP

USD 0.25 ordinary

CFD

Reducing a short position

10,000

47.8790 GBP

USD 0.25 ordinary

CFD

Opening a short position

18

47.8937 GBP

USD 0.25 ordinary

CFD

Opening a short position

108

47.8937 GBP

USD 0.25 ordinary

CFD

Opening a short position

14

47.8937 GBP

USD 0.25 ordinary

CFD

Opening a short position

15

47.8937 GBP

USD 0.25 ordinary

CFD

Opening a short position

950

48.0876 GBP

USD 0.25 ordinary

CFD

Opening a long position

19,553

48.1020 GBP

USD 0.25 ordinary

CFD

Opening a short position

1,500

48.1754 GBP

USD 0.25 ordinary

SWAP

Opening a short position

67,572

47.8066 GBP

USD 0.25 ordinary

SWAP

Opening a short position

5,387

47.8066 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,468

47.8066 GBP

USD 0.25 ordinary

SWAP

Opening a short position

3,487

47.8066 GBP

USD 0.25 ordinary

SWAP

Opening a short position

9,157

47.8066 GBP

USD 0.25 ordinary

SWAP

Opening a short position

2,468

47.8066 GBP

USD 0.25 ordinary

SWAP

Opening a short position

13,054

47.8066 GBP

USD 0.25 ordinary

SWAP

Opening a short position

420

47.8066 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,678

47.8066 GBP

USD 0.25 ordinary

SWAP

Opening a short position

17,945

47.8066 GBP

USD 0.25 ordinary

SWAP

Opening a short position

10,082

47.8066 GBP

USD 0.25 ordinary

SWAP

Opening a short position

664

47.8817 GBP

USD 0.25 ordinary

SWAP

Opening a short position

2,486

47.8817 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,744

47.8817 GBP

USD 0.25 ordinary

SWAP

Opening a short position

320

47.8817 GBP

USD 0.25 ordinary

SWAP

Opening a short position

470

47.8817 GBP

USD 0.25 ordinary

SWAP

Opening a short position

80

47.8817 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,026

47.8817 GBP

USD 0.25 ordinary

SWAP

Opening a short position

12,868

47.8817 GBP

USD 0.25 ordinary

SWAP

Opening a short position

280

47.8817 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,920

47.8817 GBP

USD 0.25 ordinary

SWAP

Opening a short position

3,418

47.8817 GBP

USD 0.25 ordinary

SWAP

Opening a short position

10,899

48.1647 GBP

USD 0.25 ordinary

SWAP

Opening a short position

21,358

48.1647 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,996

48.1647 GBP

USD 0.25 ordinary

SWAP

Opening a short position

11,998

48.1647 GBP

USD 0.25 ordinary

SWAP

Opening a short position

80,421

48.1647 GBP

USD 0.25 ordinary

SWAP

Opening a short position

15,537

48.1647 GBP

USD 0.25 ordinary

SWAP

Opening a short position

4,149

48.1647 GBP

USD 0.25 ordinary

SWAP

Opening a short position

500

48.1647 GBP

USD 0.25 ordinary

SWAP

Opening a short position

2,937

48.1647 GBP

USD 0.25 ordinary

SWAP

Opening a short position

6,412

48.1647 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,747

48.1647 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

 

 

(ii)        Exercising

 

Class of relevant security

Product description

e.g. call option

Number of securities

Exercise price per unit

USD 0.25 ordinary

Call Option

2,500

48.0000 GBP

USD 0.25 ordinary

Call Option

2,500

48.0000 GBP

USD 0.25 ordinary

Call Option

37,300

48.0000 GBP

USD 0.25 ordinary

Call Option

37,300

48.0000 GBP

USD 0.25 ordinary

Call Option

52,200

48.0000 GBP

USD 0.25 ordinary

Call Option

52,200

48.0000 GBP

USD 0.25 ordinary

Call Option

52,300

48.0000 GBP

USD 0.25 ordinary

Call Option

52,300

48.0000 GBP

USD 0.25 ordinary

Call Option

59,700

48.0000 GBP

USD 0.25 ordinary

Call Option

59,700

48.0000 GBP

USD 0.25 ordinary

Call Option

121,900

48.0000 GBP

USD 0.25 ordinary

Call Option

121,900

48.0000 GBP

USD 0.25 ordinary

Call Option

174,100

48.0000 GBP

USD 0.25 ordinary

Call Option

174,100

48.0000 GBP

 

 

(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:

20 May 2014

Contact name:

Aadithya Rao and Yiannis Bardis

Telephone number:

+44(20) 7051 9046 / +44(20) 7774 7107

 

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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