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Tuesday 27 May, 2014

Morgan Stanley Cap

Form 8.5 (EPT/RI) Replacement Astrazeneca Plc

RNS Number : 1321I
Morgan Stanley Capital Services LLC
27 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:

21 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

 27,715.00 (Traded in ADR form)

 75.1500 USD

 72.9800 USD

 ADRS

 SALES

 9,978.00 (Traded in ADR form)

 74.9900 USD

 73.5500 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

 5,000

 43.6006 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 30,000

 43.6273 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 14,000

 43.6529 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 4,000

 43.6940 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 40

 44.0100 GBP

 ADRS

 CFD

  LONG

 800.00 (Traded in ADR form)

 74.2950 USD

 ADRS

 CFD

  LONG

 600.00 (Traded in ADR form)

 74.3000 USD

 ADRS

 CFD

  LONG

 3,500.00 (Traded in ADR form)

 74.3626 USD

 ADRS

 CFD

  LONG

 300.00 (Traded in ADR form)

 74.3667 USD

 ADRS

 CFD

  LONG

 2,000.00 (Traded in ADR form)

 74.5565 USD

 ADRS

 CFD

  SHORT

 3,055.00 (Traded in ADR form)

 73.8879 USD

 ADRS

 CFD

  SHORT

 19,300.00 (Traded in ADR form)

 74.1428 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

 11,000.00 (Traded in ADR form)

 90.0000

 A

 21/06/2014

 0.3500 USD

ADRS

 CALL

  PURCHASE

 2,000.00 (Traded in ADR form)

 80.0000

 A

 21/06/2014

 1.2500 USD

ADRS

 PUT

  PURCHASE

 600.00 (Traded in ADR form)

 70.0000

 A

 21/06/2014

 1.6500 USD

ADRS

 PUT

  PURCHASE

 2,400.00 (Traded in ADR form)

 70.0000

 A

 21/06/2014

 1.6500 USD

ADRS

 CALL

  PURCHASE

 10,000.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 1.9500 USD

ADRS

 CALL

  PURCHASE

 2,000.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 1.9500 USD

ADRS

 CALL

  PURCHASE

 2,800.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 1.9500 USD

ADRS

 CALL

  PURCHASE

 2,000.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 1.9500 USD

ADRS

 CALL

  PURCHASE

 200.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 1.9500 USD

ADRS

 CALL

  PURCHASE

 500.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 1.9500 USD

ADRS

 CALL

  PURCHASE

 1,000.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 1.9500 USD

ADRS

 CALL

  PURCHASE

 1,500.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 1.9500 USD

ADRS

 CALL

  PURCHASE

 1,000.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 1.9500 USD

ADRS

 CALL

  PURCHASE

 1,500.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 1.9500 USD

ADRS

 CALL

  PURCHASE

 2,500.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 1.9500 USD

ADRS

 CALL

  PURCHASE

 1,000.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 2.8500 USD

ADRS

 CALL

  PURCHASE

 900.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 2.9000 USD

ADRS

 CALL

  PURCHASE

 3,500.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 2.9000 USD

ADRS

 CALL

  PURCHASE

 1,300.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 2.9000 USD

ADRS

 CALL

  PURCHASE

 1,200.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 2.9000 USD

ADRS

 CALL

  PURCHASE

 1,200.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 2.9000 USD

ADRS

 CALL

  PURCHASE

 500.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 2.9000 USD

ADRS

 CALL

  PURCHASE

 400.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 2.9000 USD

ADRS

 CALL

  PURCHASE

 10,000.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 2.9500 USD

ADRS

 CALL

  PURCHASE

 5,000.00 (Traded in ADR form)

 77.5000

 A

 21/06/2014

 2.9500 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:

27 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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