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Tuesday 20 May, 2014

Morgan Stanley Cap

Form 8.5 (EPT/RI) Pfizer Inc

RNS Number : 5837H
Morgan Stanley Capital Services LLC
20 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:

19 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

 769,943

 29.7000 USD

 29.2600 USD

 COMMON STOCK

 SALES

 305,970

 29.6150 USD

 29.2600 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

 300

 29.2866 USD

 COMMON STOCK

 CFD

 LONG

 100

 29.3000 USD

 COMMON STOCK

 CFD

 LONG

 211

 29.3178 USD

 COMMON STOCK

 CFD

 LONG

 19

 29.3178 USD

 COMMON STOCK

 CFD

 LONG

 600

 29.3225 USD

 COMMON STOCK

 CFD

 LONG

 7,500

 29.4100 USD

 COMMON STOCK

 CFD

 LONG

 700

 29.4442 USD

 COMMON STOCK

 CFD

 LONG

 174,125

 29.4656 USD

 COMMON STOCK

 CFD

 LONG

 12,500

 29.5072 USD

 COMMON STOCK

 CFD

 LONG

 9,806

 29.5106 USD

 COMMON STOCK

 CFD

 LONG

 22,600

 29.5181 USD

 COMMON STOCK

 CFD

 LONG

 3,700

 29.5235 USD

 COMMON STOCK

 CFD

 LONG

 4,500

 29.5382 USD

 COMMON STOCK

 CFD

 LONG

 2,200

 29.5400 USD

 COMMON STOCK

 CFD

 SHORT

 1,700

 29.2800 USD

 COMMON STOCK

 CFD

 SHORT

 5,600

 29.2911 USD

 COMMON STOCK

 CFD

 SHORT

 18

 29.3027 USD

 COMMON STOCK

 CFD

 SHORT

 120

 29.3027 USD

 COMMON STOCK

 CFD

 SHORT

 100

 29.3100 USD

 COMMON STOCK

 CFD

 SHORT

 7,100

 29.3169 USD

 COMMON STOCK

 CFD

 SHORT

 1,400

 29.3428 USD

 COMMON STOCK

 CFD

 SHORT

 17,900

 29.3499 USD

 COMMON STOCK

 CFD

 SHORT

 2,200

 29.3500 USD

 COMMON STOCK

 CFD

 SHORT

 165,100

 29.3506 USD

 COMMON STOCK

 CFD

 SHORT

 7,400

 29.3707 USD

 COMMON STOCK

 CFD

 SHORT

 1,200

 29.3800 USD

 COMMON STOCK

 CFD

 SHORT

 183,100

 29.3919 USD

 COMMON STOCK

 CFD

 SHORT

 52

 29.4500 USD

 COMMON STOCK

 CFD

 SHORT

 6

 29.4500 USD

 COMMON STOCK

 CFD

 SHORT

 323,939

 29.4520 USD

 COMMON STOCK

 CFD

 SHORT

 16

 29.4600 USD

 COMMON STOCK

 CFD

 SHORT

 19

 29.4600 USD

 COMMON STOCK

 CFD

 SHORT

 17

 29.4600 USD

 COMMON STOCK

 CFD

 SHORT

 17

 29.4600 USD

 COMMON STOCK

 CFD

 SHORT

 100

 29.4800 USD

 COMMON STOCK

 CFD

 SHORT

 8,355

 29.4841 USD

 COMMON STOCK

 CFD

 SHORT

 200

 29.5450 USD

 COMMON STOCK

 CFD

 SHORT

 28,900

 29.5466 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:

20 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.

 


This information is provided by RNS
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