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Thursday 15 May, 2014

Morgan Stanley Cap

Form 8.5 (EPT/RI) Replacement Astrazeneca Plc

RNS Number : 2563H
Morgan Stanley Capital Services LLC
15 May 2014
 



AMENDMENT

 

 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:

01 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

 107,174(Traded in ADR form)

 81.9800 USD

 80.8700 USD

 ADRS

 SALES

 58,338(Traded in ADR form)

 81.9800 USD

 78.9700 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

 2,200

 46.6875 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 800

 46.6951 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 12,000

 47.0523 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 700

 47.0956 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 5,000

 47.0956 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 6,864

 47.0956 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 3,346

 47.5096 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 2,500

 47.5096 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 400

 47.5096 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,952

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 4,643

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,206

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 13,932

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 22,044

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 4,526

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,027

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 4,415

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,236

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,483

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 333

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 90

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,159

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,251

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 230

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 31,660

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 6,813

 46.9247 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 643,910

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 448,373

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 283,372

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 138,583

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 94,443

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 92,066

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 89,804

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 60,048

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 41,222

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 30,169

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 25,453

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 25,150

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 24,527

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 23,584

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 6,782

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 4,681

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,833

 46.9965 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,000

 48.1500 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,000

 48.1500 GBP

 ADRS

 CFD

  LONG

 400 (Traded in ADR form)

 81.0700 USD

 ADRS

 CFD

  LONG

 53,847 (Traded in ADR form)

 81.3386 USD

 ADRS

 CFD

  LONG

 200 (Traded in ADR form)

 81.9600 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

 SALE

 2,000

 80.0000

 A

 17/05/2014

 1.9500 USD

ADRS

 CALL

 SALE

 300

 80.0000

 A

 17/05/2014

 2.0000 USD

ADRS

 CALL

 SALE

 1,000

 80.0000

 A

 17/05/2014

 2.0000 USD

ADRS

 CALL

 SALE

 1,700

 80.0000

 A

 17/05/2014

 2.0000 USD

ADRS

 CALL

 SALE

 4,000

 80.0000

 A

 17/05/2014

 2.3500 USD

 ADRS

 CALL

 SALE

 16,100

 70.0000

 A

 21/06/2014

 9.6000 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.

 


This information is provided by RNS
The company news service from the London Stock Exchange
 
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