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Friday 09 May, 2014

Goldman Sachs (EPT)

Form 8.5 (EPT/RI)

RNS Number : 7210G
GoldmanSachs International
09 May 2014
 



 

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:

08 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

336,158
539

47.3000 GBP
518.0000 SEK

46.1913 GBP
511.0000 SEK

USD 0.25 ordinary

Sales

487,061
539
325,000

47.3400 GBP
518.0000 SEK
78.7431 USD

46.3000 GBP
511.0000 SEK
78.7431 USD

ADR

Purchases

325,115

78.9300 USD

78.7131 USD

ADR

Sales

373,315

78.9300 USD

78.7338 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

9,295

46.7019 GBP

USD 0.25 ordinary

CFD

Opening a short position

15,240

46.7019 GBP

USD 0.25 ordinary

CFD

Opening a short position

5,465

46.7019 GBP

USD 0.25 ordinary

CFD

Reducing a short position

14,399

46.9113 GBP

USD 0.25 ordinary

CFD

Reducing a short position

6,780

46.9113 GBP

USD 0.25 ordinary

CFD

Reducing a short position

3,821

46.9113 GBP

USD 0.25 ordinary

CFD

Reducing a long position

1,700

46.9200 GBP

USD 0.25 ordinary

CFD

Reducing a long position

300

46.9200 GBP

USD 0.25 ordinary

CFD

Reducing a long position

2,000

46.9200 GBP

USD 0.25 ordinary

CFD

Reducing a short position

15

46.9332 USD

USD 0.25 ordinary

CFD

Reducing a short position

165

46.9332 USD

USD 0.25 ordinary

CFD

Reducing a short position

1,629

46.9616 USD

USD 0.25 ordinary

CFD

Reducing a short position

3,539

46.9616 USD

USD 0.25 ordinary

CFD

Opening a short position

18,000

46.9730 GBP

USD 0.25 ordinary

CFD

Opening a long position

12,300

47.0465 GBP

USD 0.25 ordinary

CFD

Reducing a long position

16

47.1300 GBP

USD 0.25 ordinary

CFD

Reducing a long position

1,500

47.1300 GBP

USD 0.25 ordinary

CFD

Reducing a long position

4,000

47.1300 GBP

USD 0.25 ordinary

CFD

Opening a long position

3,500

47.1709 GBP

USD 0.25 ordinary

CFD

Opening a short position

20

47.2254 GBP

USD 0.25 ordinary

CFD

Opening a short position

90

47.2254 GBP

USD 0.25 ordinary

SWAP

Opening a short position

948

46.1913 GBP

USD 0.25 ordinary

SWAP

Opening a short position

15,278

46.1913 GBP

USD 0.25 ordinary

SWAP

Opening a short position

30,274

46.1913 GBP

USD 0.25 ordinary

SWAP

Opening a short position

16,156

46.1913 GBP

USD 0.25 ordinary

SWAP

Increasing a long position

960

47.1159 GBP

USD 0.25 ordinary

SWAP

Reducing a short position

12,483

47.1843 GBP

USD 0.25 ordinary

SWAP

Reducing a short position

49,933

47.1843 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

1.0000 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

250 (250,000)

50.0000 GBP

AMERICAN

20/06/2014

1.0000 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

15 (15,000)

50.0000 GBP

AMERICAN

16/05/2014

0.3000 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

15 (15,000)

50.0000 GBP

AMERICAN

16/05/2014

0.3000 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

5 (5,000)

50.0000 GBP

AMERICAN

16/05/2014

0.2500 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

5 (5,000)

50.0000 GBP

AMERICAN

16/05/2014

0.2500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Selling

250 (250,000)

44.0000 GBP

AMERICAN

20/06/2014

1.1000 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Selling

250 (250,000)

44.0000 GBP

AMERICAN

20/06/2014

1.1000 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:

09 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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