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Thursday 22 May, 2014

Goldman Sachs (EPT)

Form 8.5 (EPT/RI) - Amendment

RNS Number : 8735H
GoldmanSachs International
22 May 2014
 

Amendment - due to the amendment of Derivative transactions, the disclosure made on 21 May for dealings on 19 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:

19 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

605,039
3,730,478

485.0000 SEK
44.0975 GBP

460.2000 SEK
40.9875 GBP

USD 0.25 ordinary

Sales

3,348,235
605,039

44.1014 GBP
477.5000 SEK

40.9950 GBP
459.5000 SEK

ADR

Purchases

26,105

72.3493 USD

70.1083 USD

ADR

Sales

26,105

72.3493 USD

70.0000 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 short position

30,000

41.0966 GBP

USD 0.25 ordinary

CFD

Reducing a short position

100,000

41.1364 GBP

USD 0.25 ordinary

CFD

Opening a long position

800

41.1649 GBP

USD 0.25 ordinary

CFD

Opening a short position

28,926

41.2649 GBP

USD 0.25 ordinary

CFD

Opening a short position

6,884

41.3400 GBP

USD 0.25 ordinary

CFD

Opening a short position

2,000

41.4800 GBP

USD 0.25 ordinary

CFD

Reducing a long position

4,000

41.4800 GBP

USD 0.25 ordinary

CFD

Opening a short position

14,651

41.4972 GBP

USD 0.25 ordinary

CFD

Opening a short position

3,291

41.5217 GBP

USD 0.25 ordinary

CFD

Opening a short position

25,000

41.5622 GBP

USD 0.25 ordinary

CFD

Opening a short position

500

41.6100 GBP

USD 0.25 ordinary

CFD

Opening a short position

2,996

41.6113 GBP

USD 0.25 ordinary

CFD

Opening a short position

16,843

41.6113 GBP

USD 0.25 ordinary

CFD

Opening a short position

9,130

41.6113 GBP

USD 0.25 ordinary

CFD

Reducing a long position

5,000

41.6229 GBP

USD 0.25 ordinary

CFD

Opening a long position

15,189

41.8606 GBP

USD 0.25 ordinary

CFD

Opening a short position

5,500

41.9152 GBP

USD 0.25 ordinary

CFD

Reducing a short position

5,500

41.9366 GBP

USD 0.25 ordinary

CFD

Reducing a short position

1,500

41.9366 GBP

USD 0.25 ordinary

CFD

Opening a short position

25,000

41.9660 GBP

USD 0.25 ordinary

CFD

Opening a short position

220

42.0000 GBP

USD 0.25 ordinary

CFD

Reducing a short position

7,500

42.0000 GBP

USD 0.25 ordinary

CFD

Reducing a short position

12,500

42.0118 GBP

USD 0.25 ordinary

CFD

Reducing a short position

5,000

42.0118 GBP

USD 0.25 ordinary

CFD

Opening a long position

5,000

42.0432 GBP

USD 0.25 ordinary

CFD

Reducing a short position

15,000

42.1029 GBP

USD 0.25 ordinary

CFD

Opening a short position

6,500

42.1252 GBP

USD 0.25 ordinary

CFD

Reducing a long position

3,000

42.1286 GBP

USD 0.25 ordinary

CFD

Opening a short position

20,000

42.2000 GBP

USD 0.25 ordinary

CFD

Opening a short position

25,000

42.2296 GBP

USD 0.25 ordinary

CFD

Reducing a short position

1,000

42.4750 GBP

USD 0.25 ordinary

CFD

Reducing a short position

1,000

42.4750 GBP

USD 0.25 ordinary

CFD

Opening a long position

3,000

42.4750 GBP

USD 0.25 ordinary

CFD

Reducing a short position

14,129

42.4790 GBP

USD 0.25 ordinary

CFD

Reducing a short position

281

42.4790 GBP

USD 0.25 ordinary

CFD

Reducing a short position

8,625

42.4790 GBP

USD 0.25 ordinary

CFD

Reducing a short position

5,465

42.4790 GBP

USD 0.25 ordinary

CFD

Opening a long position

20,000

42.6020 GBP

USD 0.25 ordinary

CFD

Reducing a short position

25,000

42.6037 GBP

USD 0.25 ordinary

CFD

Reducing a short position

75,000

42.6037 GBP

USD 0.25 ordinary

CFD

Reducing a short position

25,000

42.6037 GBP

USD 0.25 ordinary

CFD

Reducing a short position

14,800

42.6119 GBP

USD 0.25 ordinary

CFD

Reducing a short position

3,700

42.6119 GBP

USD 0.25 ordinary

CFD

Opening a short position

15

42.6726 GBP

USD 0.25 ordinary

CFD

Opening a short position

122

42.6726 GBP

USD 0.25 ordinary

CFD

Opening a short position

14

42.6726 GBP

USD 0.25 ordinary

CFD

Reducing a long position

3,000

42.6753 GBP

USD 0.25 ordinary

CFD

Reducing a short position

11,500

42.6823 GBP

USD 0.25 ordinary

CFD

Reducing a short position

26,500

42.6823 GBP

USD 0.25 ordinary

CFD

Reducing a long position

4,000

42.7000 GBP

USD 0.25 ordinary

CFD

Opening a short position

19,465

42.7593 GBP

USD 0.25 ordinary

CFD

Opening a short position

10,552

42.7593 GBP

USD 0.25 ordinary

CFD

Opening a short position

3,462

42.7593 GBP

USD 0.25 ordinary

CFD

Reducing a long position

1,500

42.7720 GBP

USD 0.25 ordinary

CFD

Reducing a long position

100

42.7720 GBP

USD 0.25 ordinary

CFD

Reducing a long position

2,000

42.7720 GBP

USD 0.25 ordinary

CFD

Opening a short position

400

42.7720 GBP

USD 0.25 ordinary

CFD

Reducing a short position

5,000

42.7886 GBP

USD 0.25 ordinary

CFD

Reducing a short position

15,000

42.7886 GBP

USD 0.25 ordinary

CFD

Reducing a short position

5,000

42.7886 GBP

USD 0.25 ordinary

CFD

Reducing a short position

5,000

42.7886 GBP

USD 0.25 ordinary

CFD

Reducing a short position

5,000

42.7886 GBP

USD 0.25 ordinary

CFD

Reducing a short position

5,000

42.7886 GBP

USD 0.25 ordinary

CFD

Reducing a short position

400

42.8306 GBP

USD 0.25 ordinary

CFD

Opening a long position

13,000

42.8306 GBP

USD 0.25 ordinary

CFD

Opening a short position

20,242

42.8750 GBP

USD 0.25 ordinary

CFD

Reducing a short position

220

42.8750 GBP

USD 0.25 ordinary

CFD

Opening a short position

11,478

42.8762 GBP

USD 0.25 ordinary

CFD

Opening a short position

20,340

42.8762 GBP

USD 0.25 ordinary

CFD

Opening a short position

43,182

42.8762 GBP

USD 0.25 ordinary

CFD

Opening a short position

409

42.8814 GBP

USD 0.25 ordinary

CFD

Reducing a long position

227

42.9328 GBP

USD 0.25 ordinary

CFD

Reducing a long position

20,343

42.9328 GBP

USD 0.25 ordinary

CFD

Opening a short position

8,000

42.9580 GBP

USD 0.25 ordinary

CFD

Opening a short position

10,000

42.9838 GBP

USD 0.25 ordinary

CFD

Opening a long position

4,000

43.1312 GBP

USD 0.25 ordinary

CFD

Opening a long position

3,000

43.3235 GBP

USD 0.25 ordinary

CFD

Reducing a short position

8,000

43.3235 GBP

USD 0.25 ordinary

SWAP

Opening a short position

14,000

41.3353 GBP

USD 0.25 ordinary

SWAP

Opening a short position

56,000

41.3353 GBP

USD 0.25 ordinary

SWAP

Opening a short position

4,539

41.4093 GBP

USD 0.25 ordinary

SWAP

Increasing a short position

3,445

41.9979 GBP

USD 0.25 ordinary

SWAP

Reducing a short position

3,200

42.0118 GBP

USD 0.25 ordinary

SWAP

Reducing a short position

16,800

42.0118 GBP

USD 0.25 ordinary

SWAP

Opening a short position

56,000

42.1176 GBP

USD 0.25 ordinary

SWAP

Opening a short position

14,000

42.1176 GBP

USD 0.25 ordinary

SWAP

Reducing a short position

4,539

42.2575 GBP

USD 0.25 ordinary

SWAP

Reducing a long position

2,184

42.6813 GBP

USD 0.25 ordinary

SWAP

Reducing a long position

350,000

42.8750 GBP

USD 0.25 ordinary

SWAP

Reducing a short position

20,242

42.8750 GBP

USD 0.25 ordinary

SWAP

Opening a long position

350,000

42.8750 GBP

USD 0.25 ordinary

SWAP

Opening a short position

16,800

43.9548 GBP

USD 0.25 ordinary

SWAP

Opening a short position

3,200

43.9548 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

ADR

Call Option / (1.00 : 100.00)

Purchasing

11 (1,100)

80.0000 USD

AMERICAN

21/06/2014

1.7000 USD

ADR

Call Option / (1.00 : 100.00)

Purchasing

12 (1,200)

80.0000 USD

AMERICAN

21/06/2014

1.7000 USD

ADR

Call Option / (1.00 : 100.00)

Purchasing

2 (200)

80.0000 USD

AMERICAN

21/06/2014

1.7000 USD

ADR

Call Option / (1.00 : 100.00)

Purchasing

5 (500)

80.0000 USD

AMERICAN

21/06/2014

1.7000 USD

ADR

Call Option / (1.00 : 100.00)

Selling

12 (1,200)

80.0000 USD

AMERICAN

21/06/2014

1.7000 USD

ADR

Call Option / (1.00 : 100.00)

Selling

11 (1,100)

80.0000 USD

AMERICAN

21/06/2014

1.7000 USD

ADR

Call Option / (1.00 : 100.00)

Selling

5 (500)

80.0000 USD

AMERICAN

21/06/2014

1.7000 USD

ADR

Call Option / (1.00 : 100.00)

Selling

2 (200)

80.0000 USD

AMERICAN

21/06/2014

1.7000 USD

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

10 (10,000)

39.0000 USD

AMERICAN

18/07/2014

1.0000 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

10 (10,000)

39.0000 GBP

AMERICAN

18/07/2014

1.0000 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Selling

10 (10,000)

39.0000 GBP

AMERICAN

18/07/2014

1.0000 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:

22 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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