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Thursday 22 May, 2014

Morgan Stanley Cap

Form 8.5 (EPT/RI) Replacement Pfizer Inc

RNS Number : 8389H
Morgan Stanley Capital Services LLC
22 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

PFIZER INC

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

 

ASTRAZENECA PLC

(d) Date dealing undertaken:

20 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

 170,207

 29.5100 USD

 29.2200 USD

 COMMON STOCK

 SALES

 351,830

 29.5400 USD

 29.2100 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

 1,000,000

 29.2800 USD

 COMMON STOCK

 CFD

 LONG

 19,000

 29.2500 USD

 COMMON STOCK

 CFD

 LONG

 223

 29.2631 USD

 COMMON STOCK

 CFD

 LONG

 32

 29.2631 USD

 COMMON STOCK

 CFD

 LONG

 95,000

 29.2639 USD

 COMMON STOCK

 CFD

 LONG

 1,292

 29.2644 USD

 COMMON STOCK

 CFD

 LONG

 198

 29.2644 USD

 COMMON STOCK

 CFD

 LONG

 510

 29.2800 USD

 COMMON STOCK

 CFD

 LONG

 3,449

 29.2800 USD

 COMMON STOCK

 CFD

 LONG

 118

 29.2866 USD

 COMMON STOCK

 CFD

 LONG

 18

 29.2866 USD

 COMMON STOCK

 CFD

 LONG

 4,200

 29.3000 USD

 COMMON STOCK

 CFD

 LONG

 2,600

 29.3000 USD

 COMMON STOCK

 CFD

 LONG

 2,400

 29.3000 USD

 COMMON STOCK

 CFD

 LONG

 67,700

 29.3471 USD

 COMMON STOCK

 CFD

 LONG

 2,100

 29.3523 USD

 COMMON STOCK

 CFD

 LONG

 61,744

 29.3606 USD

 COMMON STOCK

 CFD

 LONG

 58,900

 29.3685 USD

 COMMON STOCK

 CFD

 LONG

 2

 29.4100 USD

 COMMON STOCK

 CFD

 LONG

 1,700

 29.4315 USD

 COMMON STOCK

 CFD

 LONG

 7,640

 29.4393 USD

 COMMON STOCK

 CFD

 LONG

 694

 29.4395 USD

 COMMON STOCK

 CFD

 LONG

 4,300

 29.4515 USD

 COMMON STOCK

 CFD

 LONG

 800

 29.4525 USD

 COMMON STOCK

 CFD

 LONG

 1,671

 29.4910 USD

 COMMON STOCK

 CFD

 SHORT

 1,000,000

 29.2500 USD

 COMMON STOCK

 CFD

 SHORT

 3,300

 29.2500 USD

 COMMON STOCK

 CFD

 SHORT

 1

 29.2600 USD

 COMMON STOCK

 CFD

 SHORT

 5

 29.2600 USD

 COMMON STOCK

 CFD

 SHORT

 113

 29.2686 USD

 COMMON STOCK

 CFD

 SHORT

 1

 29.2686 USD

 COMMON STOCK

 CFD

 SHORT

 2

 29.2694 USD

 COMMON STOCK

 CFD

 SHORT

 110

 29.2694 USD

 COMMON STOCK

 CFD

 SHORT

 102

 29.2711 USD

 COMMON STOCK

 CFD

 SHORT

 2

 29.2711 USD

 COMMON STOCK

 CFD

 SHORT

 2

 29.2953 USD

 COMMON STOCK

 CFD

 SHORT

 84

 29.2953 USD

 COMMON STOCK

 CFD

 SHORT

 50,400

 29.2961 USD

 COMMON STOCK

 CFD

 SHORT

 400

 29.3000 USD

 COMMON STOCK

 CFD

 SHORT

 35,100

 29.3084 USD

 COMMON STOCK

 CFD

 SHORT

 12,000

 29.3090 USD

 COMMON STOCK

 CFD

 SHORT

 8,000

 29.3097 USD

 COMMON STOCK

 CFD

 SHORT

 18,280

 29.3871 USD

 COMMON STOCK

 CFD

 SHORT

 339

 29.4547 USD

 COMMON STOCK

 CFD

 SHORT

 3,729

 29.4548 USD

 COMMON STOCK

 CFD

 SHORT

 30,000

 29.4808 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:

22 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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