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Monday 19 May, 2014

Morgan Stanley Cap

Form 8.5 (EPT/RI) Pfizer Inc

RNS Number : 4601H
Morgan Stanley Capital Services LLC
19 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

PFIZER INC

(c) Name of the party to the offer with which exempt principal trader is connected:

 

ASTRAZENECA PLC

(d) Date dealing undertaken:

16 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

 COMMON STOCK

 PURCHASES

 184,647

 29.4450 USD

 29.0600 USD

 COMMON STOCK

 SALES

 264,201

 29.5100 USD

 29.0350 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

 COMMON STOCK

 CFD

 LONG

 2,911

 29.0732 USD

 COMMON STOCK

 CFD

 LONG

 17,500

 29.0773 USD

 COMMON STOCK

 CFD

 LONG

 1,600

 29.0837 USD

 COMMON STOCK

 CFD

 LONG

 29,000

 29.1200 USD

 COMMON STOCK

 CFD

 LONG

 3,380

 29.1412 USD

 COMMON STOCK

 CFD

 LONG

 20

 29.1922 USD

 COMMON STOCK

 CFD

 LONG

 210

 29.1922 USD

 COMMON STOCK

 CFD

 LONG

 4,000

 29.2122 USD

 COMMON STOCK

 CFD

 LONG

 5,400

 29.2197 USD

 COMMON STOCK

 CFD

 LONG

 129

 29.2263 USD

 COMMON STOCK

 CFD

 LONG

 16,296

 29.2263 USD

 COMMON STOCK

 CFD

 LONG

 19,100

 29.2263 USD

 COMMON STOCK

 CFD

 LONG

 127

 29.2267 USD

 COMMON STOCK

 CFD

 LONG

 9,388

 29.2267 USD

 COMMON STOCK

 CFD

 LONG

 6,264

 29.2276 USD

 COMMON STOCK

 CFD

 LONG

 119

 29.2276 USD

 COMMON STOCK

 CFD

 LONG

 2,342

 29.2292 USD

 COMMON STOCK

 CFD

 LONG

 103

 29.2292 USD

 COMMON STOCK

 CFD

 LONG

 47

 29.2372 USD

 COMMON STOCK

 CFD

 LONG

 317

 29.2372 USD

 COMMON STOCK

 CFD

 LONG

 8,500

 29.2545 USD

 COMMON STOCK

 CFD

 LONG

 3,900

 29.2854 USD

 COMMON STOCK

 CFD

 LONG

 3,700

 29.3381 USD

 COMMON STOCK

 CFD

 LONG

 800

 29.3387 USD

 COMMON STOCK

 CFD

 LONG

 9,600

 29.3493 USD

 COMMON STOCK

 CFD

 LONG

 8,700

 29.3730 USD

 COMMON STOCK

 CFD

 SHORT

 27,100

 29.1200 USD

 COMMON STOCK

 CFD

 SHORT

 27,100

 29.1200 USD

 COMMON STOCK

 CFD

 SHORT

 69,400

 29.1201 USD

 COMMON STOCK

 CFD

 SHORT

 3,900

 29.1405 USD

 COMMON STOCK

 CFD

 SHORT

 21,000

 29.1475 USD

 COMMON STOCK

 CFD

 SHORT

 3,100

 29.1700 USD

 COMMON STOCK

 CFD

 SHORT

 100

 29.1800 USD

 COMMON STOCK

 CFD

 SHORT

 3,200

 29.1984 USD

 COMMON STOCK

 CFD

 SHORT

 110

 29.2081 USD

 COMMON STOCK

 CFD

 SHORT

 1,205

 29.2081 USD

 COMMON STOCK

 CFD

 SHORT

 17,000

 29.2353 USD

 COMMON STOCK

 CFD

 SHORT

 1,340

 29.2389 USD

 COMMON STOCK

 CFD

 SHORT

 2,400

 29.2406 USD

 COMMON STOCK

 CFD

 SHORT

 3,200

 29.4015 USD

 COMMON STOCK

 CFD

 SHORT

 200

 29.4450 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

 N/A

 N/A

 N/A

 N/A

 N/A

 N/A

 N/A

 N/A

 

(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:

19 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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