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Thursday 08 May, 2014

Morgan Stanley Cap

Form 8.5 (EPT/RI)Replacement - Pfizer INC

RNS Number : 6437G
Morgan Stanley Capital Services LLC
08 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:

06 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

 356,607

 29.8500 USD

 29.3600 USD

 COMMON STOCK

 SALES

 454,307

 29.9600 USD

 29.3600 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

 2,057

 29.4280 USD

 COMMON STOCK

 CFD

 LONG

 13,449

 29.4280 USD

 COMMON STOCK

 CFD

 LONG

 200

 29.4300 USD

 COMMON STOCK

 CFD

 LONG

 223,125

 29.4662 USD

 COMMON STOCK

 CFD

 LONG

 4,000

 29.4965 USD

 COMMON STOCK

 CFD

 LONG

 7,209

 29.4982 USD

 COMMON STOCK

 CFD

 LONG

 655

 29.4982 USD

 COMMON STOCK

 CFD

 LONG

 1,000

 29.5000 USD

 COMMON STOCK

 CFD

 LONG

 96

 29.5000 USD

 COMMON STOCK

 CFD

 LONG

 55

 29.5000 USD

 COMMON STOCK

 CFD

 LONG

 39

 29.5000 USD

 COMMON STOCK

 CFD

 LONG

 17

 29.5000 USD

 COMMON STOCK

 CFD

 LONG

 96

 29.5000 USD

 COMMON STOCK

 CFD

 LONG

 6,200

 29.5075 USD

 COMMON STOCK

 CFD

 LONG

 100

 29.5100 USD

 COMMON STOCK

 CFD

 LONG

 140

 29.5350 USD

 COMMON STOCK

 CFD

 LONG

 21

 29.5350 USD

 COMMON STOCK

 CFD

 LONG

 29,167

 29.5715 USD

 COMMON STOCK

 CFD

 LONG

 3,200

 29.7150 USD

 COMMON STOCK

 CFD

 SHORT

 114,000

 29.4300 USD

 COMMON STOCK

 CFD

 SHORT

 22,781

 29.4410 USD

 COMMON STOCK

 CFD

 SHORT

 1,900

 29.4700 USD

 COMMON STOCK

 CFD

 SHORT

 452

 29.4712 USD

 COMMON STOCK

 CFD

 SHORT

 597

 29.4712 USD

 COMMON STOCK

 CFD

 SHORT

 486

 29.4926 USD

 COMMON STOCK

 CFD

 SHORT

 276

 29.4932 USD

 COMMON STOCK

 CFD

 SHORT

 202

 29.4939 USD

 COMMON STOCK

 CFD

 SHORT

 88

 29.4956 USD

 COMMON STOCK

 CFD

 SHORT

 61

 29.5220 USD

 COMMON STOCK

 CFD

 SHORT

 419

 29.5220 USD

 COMMON STOCK

 CFD

 SHORT

 14,535

 29.5257 USD

 COMMON STOCK

 CFD

 SHORT

 2,300

 29.5336 USD

 COMMON STOCK

 CFD

 SHORT

 2,800

 29.5403 USD

 COMMON STOCK

 CFD

 SHORT

 302

 29.5675 USD

 COMMON STOCK

 CFD

 SHORT

 46

 29.5675 USD

 COMMON STOCK

 CFD

 SHORT

 12,900

 29.5762 USD

 COMMON STOCK

 CFD

 SHORT

 8,261

 29.5818 USD

 COMMON STOCK

 CFD

 SHORT

 31,296

 29.5974 USD

 COMMON STOCK

 CFD

 SHORT

 9,800

 29.6251 USD

 COMMON STOCK

 CFD

 SHORT

 79,400

 29.6372 USD

 COMMON STOCK

 CFD

 SHORT

 885

 29.6600 USD

 COMMON STOCK

 CFD

 SHORT

 80

 29.6600 USD

 COMMON STOCK

 CFD

 SHORT

 24,180

 29.6810 USD

 COMMON STOCK

 CFD

 SHORT

 200

 29.7750 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:

08 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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