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Tuesday 27 May, 2014

Goldman Sachs (EPT)

Form 8.5 (EPT/RI)

RNS Number : 0069I
GoldmanSachs International
26 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:

23 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

1,118,880
41,801

43.2865 GBP
484.3000 SEK

42.2000 GBP
474.3000 SEK

USD 0.25 ordinary

Sales

1,182,082
41,801

43.2800 GBP
484.3000 SEK

42.2400 GBP
472.5000 SEK

ADR

Purchases

106,422

72.8448 USD

72.4088 USD

ADR

Sales

140,922

72.7358 USD

72.5500 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

3,328

42.3635 GBP

USD 0.25 ordinary

CFD

Opening a short position

4,640

42.3635 GBP

USD 0.25 ordinary

CFD

Opening a short position

23,269

42.4438 GBP

USD 0.25 ordinary

CFD

Opening a short position

192

42.4975 GBP

USD 0.25 ordinary

CFD

Opening a short position

116

42.6164 GBP

USD 0.25 ordinary

CFD

Opening a short position

15

42.6164 GBP

USD 0.25 ordinary

CFD

Opening a short position

69,476

42.9123 GBP

USD 0.25 ordinary

CFD

Reducing a short position

4,616

43.1442 GBP

USD 0.25 ordinary

CFD

Reducing a short position

3,310

43.1442 GBP

USD 0.25 ordinary

CFD

Opening a long position

56,328

43.1693 GBP

USD 0.25 ordinary

CFD

Reducing a short position

60,000

43.2030 GBP

USD 0.25 ordinary

CFD

Reducing a long position

10,000

43.2300 GBP

USD 0.25 ordinary

CFD

Reducing a long position

4,117

43.2438 GBP

USD 0.25 ordinary

CFD

Reducing a long position

3,000

43.2438 GBP

USD 0.25 ordinary

CFD

Reducing a long position

2,200

43.2438 GBP

USD 0.25 ordinary

CFD

Reducing a long position

800

43.2438 GBP

USD 0.25 ordinary

CFD

Reducing a long position

4,000

43.2438 GBP

USD 0.25 ordinary

CFD

Opening a short position

174

43.2865 GBP

USD 0.25 ordinary

CFD*

Closing a long position

350,000

43.2800 GBP

USD 0.25 ordinary

CFD*

Opening a long position

350,000

43.2800 GBP

*Please note this SWAP is part of a basket of securities for which AstraZeneca Plc is a component.

 

 

(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

Put Option / (1.00 : 100.00)

Selling

150 (15,000)

67.5000 USD

AMERICAN

21/06/2014

0.8000 USD

ADR

Put Option / (1.00 : 100.00)

Selling

1,350 (135,000)

67.5000 USD

AMERICAN

21/06/2014

0.7742 USD

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

10 (10,000)

44.0000 GBP

AMERICAN

20/06/2014

1.5200 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

25 (25,000)

44.0000 GBP

AMERICAN

20/06/2014

1.5200 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

5 (5,000)

44.0000 GBP

AMERICAN

20/06/2014

1.5200 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

10 (10,000)

44.0000 GBP

AMERICAN

20/06/2014

1.5200 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

5 (5,000)

45.0000 GBP

AMERICAN

20/06/2014

1.2750 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

345 (345,000)

45.0000 GBP

AMERICAN

19/12/2014

2.6400 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

10 (10,000)

45.0000 GBP

AMERICAN

20/06/2014

1.2750 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Purchasing

35 (35,000)

45.0000 GBP

AMERICAN

20/06/2014

1.2750 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

10 (10,000)

44.0000 GBP

AMERICAN

20/06/2014

1.5200 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

10 (10,000)

44.0000 GBP

AMERICAN

20/06/2014

1.5200 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

25 (25,000)

44.0000 GBP

AMERICAN

20/06/2014

1.5200 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

5 (5,000)

44.0000 GBP

AMERICAN

20/06/2014

1.5200 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

5 (5,000)

45.0000 GBP

AMERICAN

20/06/2014

1.2750 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

345 (345,000)

45.0000 GBP

AMERICAN

19/12/2014

2.6400 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

345 (345,000)

45.0000 GBP

AMERICAN

19/12/2014

2.6400 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

345 (345,000)

45.0000 GBP

AMERICAN

19/12/2014

2.6400 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

35 (35,000)

45.0000 GBP

AMERICAN

20/06/2014

1.2750 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

10 (10,000)

45.0000 GBP

AMERICAN

20/06/2014

1.2750 GBP

USD 0.25 ordinary

Call Option / (1.00 : 1,000.00)

Selling

345 (345,000)

45.0000 GBP

AMERICAN

19/12/2014

2.6400 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

345 (345,000)

38.0000 GBP

AMERICAN

19/12/2014

1.2500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

345 (345,000)

38.0000 GBP

AMERICAN

19/12/2014

1.2500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

345 (345,000)

38.0000 GBP

AMERICAN

19/12/2014

1.2500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

345 (345,000)

38.0000 GBP

AMERICAN

19/12/2014

1.2500 GBP

USD 0.25 ordinary

Put Option / (1.00 : 1,000.00)

Selling

345 (345,000)

38.0000 GBP

AMERICAN

19/12/2014

1.2500 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:

26 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
 
END
 
 
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