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Thursday 15 May, 2014

Morgan Stanley Cap

Form 8.5 (EPT/RI) Replacement Astrazeneca Plc

RNS Number : 2565H
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:

02 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

 80,348(Traded in ADR form)

 81.1900 USD

 80.8200 USD

 ADRS

 SALES

 5,314(Traded in ADR form)

 81.1400 USD

 80.8000 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

 4,781

 47.8020 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 219

 47.8109 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 500

 47.9765 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 4,000

 47.9765 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 5,500

 47.9765 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 7,285

 48.0196 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 13

 48.0410 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 18

 48.0410 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 4,174

 48.1014 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 280,000

 47.9640 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 19,400

 47.9640 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,288

 48.0800 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,832

 48.0800 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 4,775

 48.1226 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 249

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,344

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,243

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 4,958

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,325

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 98

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 358

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,664

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,234

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 7,252

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 34,525

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 23,762

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,693

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 5,260

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,248

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 10,787

 48.1893 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 45,950

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 5,317

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 15,733

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 22,410

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 101,224

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 147,075

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 30,894

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 5,260

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 7,088

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,526

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 419

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 21,122

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 9,903

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 5,296

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 5,722

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,061

 48.2002 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 748

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 4,030

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,729

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 6,974

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 295

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,075

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 4,992

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 14,874

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,703

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 21,757

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 103,574

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 71,285

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 15,781

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 11,079

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,744

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 32,360

 48.2152 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 53,932

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 6,240

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 18,466

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 26,303

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 118,808

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 36,261

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 172,624

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 24,791

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 6,172

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 8,319

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,792

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 491

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 11,623

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 6,216

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 6,716

 48.2231 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,246

 48.2231 GBP

 ADRS

 CFD

  LONG

 200 (Traded in ADR form)

 80.9850 USD

 ADRS

 CFD

  LONG

 1,600 (Traded in ADR form)

 81.0200 USD

 ADRS

 CFD

  LONG

 200 (Traded in ADR form)

 81.0950 USD

 USD 0.25 ORDINARY

 CFD

 SHORT

 737

 48.0208 GBP

 ADRS

 CFD

  SHORT

 1,600 (Traded in ADR form)

 81.0141 USD

 ADRS

 CFD

  SHORT

 1,600 (Traded in ADR form)

 81.0200 USD

 ADRS

 CFD

  SHORT

 43,372 (Traded in ADR form)

 81.0437 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:

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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