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Thursday 15 May, 2014

Goldman Sachs (EPT)

Form 8.5 (EPT/RI)

RNS Number : 2237H
GoldmanSachs International
15 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:

14 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

875,754
8,020
75,000

46.8800 GBP
513.8806 SEK
78.1500 USD

46.4800 GBP
513.8806 SEK
78.1500 USD

USD 0.25 ordinary

Sales

253,791
8,020

46.8850 GBP
516.5000 SEK

46.4800 GBP
512.0000 SEK

 

 

(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

2,000

46.5375 GBP

USD 0.25 ordinary

CFD

Reducing a long position

65,156

46.5586 GBP

USD 0.25 ordinary

CFD

Reducing a long position

3,500

46.5586 GBP

USD 0.25 ordinary

CFD

Reducing a long position

9,371

46.5586 GBP

USD 0.25 ordinary

CFD

Opening a short position

1

46.6098 GBP

USD 0.25 ordinary

CFD

Opening a short position

2

46.6098 GBP

USD 0.25 ordinary

CFD

Reducing a long position

300

46.6194 GBP

USD 0.25 ordinary

CFD

Reducing a long position

2,000

46.6194 GBP

USD 0.25 ordinary

CFD

Reducing a long position

2,000

46.6194 GBP

USD 0.25 ordinary

CFD

Reducing a short position

818

46.6528 GBP

USD 0.25 ordinary

CFD

Reducing a short position

587

46.6528 GBP

USD 0.25 ordinary

CFD

Opening a short position

1,718

46.6972 GBP

USD 0.25 ordinary

CFD

Opening a short position

4,760

46.6972 GBP

USD 0.25 ordinary

CFD

Opening a short position

2,913

46.6972 GBP

USD 0.25 ordinary

CFD

Reducing a short position

500

46.7150 GBP

USD 0.25 ordinary

CFD

Opening a short position

13

46.8030 GBP

USD 0.25 ordinary

CFD

Opening a short position

117

46.8030 GBP

USD 0.25 ordinary

CFD

Opening a short position

20

46.8030 GBP

USD 0.25 ordinary

CFD

Opening a short position

14

46.8030 GBP

USD 0.25 ordinary

CFD

Opening a short position

75,000

78.1500 USD

USD 0.25 ordinary

SWAP

Opening a short position

16,128

46.5698 GBP

USD 0.25 ordinary

SWAP

Opening a short position

60,731

46.5698 GBP

USD 0.25 ordinary

SWAP

Opening a short position

2,218

46.5698 GBP

USD 0.25 ordinary

SWAP

Opening a short position

4,842

46.5698 GBP

USD 0.25 ordinary

SWAP

Opening a short position

11,725

46.5698 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,508

46.5698 GBP

USD 0.25 ordinary

SWAP

Opening a short position

377

46.5698 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,319

46.5698 GBP

USD 0.25 ordinary

SWAP

Opening a short position

102,400

46.5715 GBP

USD 0.25 ordinary

SWAP

Opening a short position

25,600

46.5715 GBP

USD 0.25 ordinary

SWAP

Opening a short position

422

46.5823 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,689

46.5823 GBP

USD 0.25 ordinary

SWAP

Opening a short position

2,484

46.5823 GBP

USD 0.25 ordinary

SWAP

Opening a short position

1,478

46.5823 GBP

USD 0.25 ordinary

SWAP

Opening a short position

13,131

46.5823 GBP

USD 0.25 ordinary

SWAP

Opening a short position

5,423

46.5823 GBP

USD 0.25 ordinary

SWAP

Opening a short position

18,063

46.5823 GBP

USD 0.25 ordinary

SWAP

Opening a short position

68,019

46.5823 GBP

USD 0.25 ordinary

SWAP

Opening a long position

414,556

46.5000 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

284,590

41.1216 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:

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
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