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Thursday 15 May, 2014

Morgan Stanley Cap

Form 8.5 (EPT/RI) Astrazeneca Plc

RNS Number : 2221H
Morgan Stanley Capital Services LLC
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:

Morgan Stanley Capital Services LLC

(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

 

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

 ADRS

 PURCHASES

 375,414(Traded in ADR form)

 78.2900 USD

 77.7600 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

 LONG

 10,962

 46.5260 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 679

 46.5260 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 21,683

 46.5260 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 11,571

 46.5260 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 3,000

 46.7777 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 50,111

 46.6846 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 75

 46.8361 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,160

 46.8361 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 29,889

 46.8704 GBP

 ADRS

 CFD

  SHORT

 400 (Traded in ADR form)

 77.9050 USD

 ADRS

 CFD

  SHORT

 100 (Traded in ADR form)

 78.1833 USD

 ADRS

 CFD

  SHORT

 800 (Traded in ADR form)

 78.1833 USD

 

 

(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

 ADRS

 CALL

 PURCHASE

 100

 85.0000

 A

 21/06/2014

 1.1000 USD

 ADRS

 CALL

 PURCHASE

 1,600

 85.0000

 A

 21/06/2014

 1.1000 USD

 ADRS

 CALL

 PURCHASE

 900

 85.0000

 A

 21/06/2014

 1.1000 USD

 ADRS

 CALL

 PURCHASE

 1,100

 85.0000

 A

 21/06/2014

 1.1000 USD

 ADRS

 CALL

 PURCHASE

 10,300

 85.0000

 A

 21/06/2014

 1.1000 USD

 ADRS

 CALL

 PURCHASE

 1,000

 85.0000

 A

 21/06/2014

 1.1000 USD

 

(ii)        Exercising

 

 Class of relevant security

 Product description            e.g. call option

 Number of securities

 Exercise price per unit

 N/A

 N/A

 N/A

 N/A

 

(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)

 N/A

 N/A

 N/A

 N/A

 

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:

Darren Wickert

Telephone number:

+44 (0)20 7425 6578

 

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.

 


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