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Tuesday 06 May, 2014

Morgan Stanley Cap

Form 8.5 (EPT/RI)Replacement Astrazenenca PLC

RNS Number : 3848G
Morgan Stanley Capital Services LLC
06 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:

29 APRIL 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

 N/A

 N/A

 N/A

 N/A

 N/A  

 

 

(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

 51

 46.2939 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 173

 46.2979 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 503

 46.3463 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 50,262

 46.3510 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 8,663

 46.3668 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 23,164

 46.3850 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 76,235

 46.4314 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 4,260

 46.4441 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 52

 46.4580 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 68

 46.4580 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 740

 46.5383 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 239

 46.1226 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 41,300

 46.2549 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,560

 46.2549 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 81,792

 46.2549 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 43,648

 46.2549 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 266

 46.2655 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 153

 46.2655 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 290

 46.2655 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 181

 46.2655 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,902

 46.2655 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,465

 46.2655 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 120

 46.2655 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 226

 46.2655 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 283

 46.2655 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,893

 46.3250 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,641

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 16,952

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 177

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 246

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 961

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 890

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 5,933

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 16,799

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 920

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,131

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 944

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 5,156

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 24,114

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,180

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,547

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 70

 46.4032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 6,607

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,670

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 321

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,742

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,615

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 126

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 447

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 30,485

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 10,767

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 30,762

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 9,357

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 5,771

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,051

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,714

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,806

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 43,759

 46.5007 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 19,591

 46.6032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,212

 46.6032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 38,718

 46.6032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 20,662

 46.6032 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 895

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 252

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,231

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,485

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 641

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 61,524

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 21,533

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 13,214

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 60,970

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 18,714

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 5,612

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,427

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 4,103

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 11,541

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 87,516

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,342

 46.6073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 30,209

 46.6541 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,868

 46.6541 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 59,688

 46.6541 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 31,852

 46.6541 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,670

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 321

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,742

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,615

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 126

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 447

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 30,762

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 10,767

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 6,608

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 30,485

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 9,357

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,806

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 5,771

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,051

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,714

 46.7700 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 43,758

 46.7700 GBP

 

 

(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

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 6,300(Traded in ADR)

 85.0000

 A

 21/06/2014

 0.7000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 100(Traded in ADR)

 85.0000

 A

 21/06/2014

 0.7000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 600(Traded in ADR)

 85.0000

 A

 21/06/2014

 0.7000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 200(Traded in ADR)

 80.0000

 A

 17/05/2014

 0.7500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 1,000(Traded in ADR)

 80.0000

 A

 17/05/2014

 0.7500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 1,000(Traded in ADR)

 80.0000

 A

 17/05/2014

 0.7500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 200(Traded in ADR)

 80.0000

 A

 17/05/2014

 0.7500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 100(Traded in ADR)

 80.0000

 A

 17/05/2014

 0.7500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 1,900(Traded in ADR)

 80.0000

 A

 17/05/2014

 0.7500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 1,000(Traded in ADR)

 80.0000

 A

 17/05/2014

 0.7500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 1,300(Traded in ADR)

 80.0000

 A

 17/05/2014

 0.7500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 2,200(Traded in ADR)

 80.0000

 A

 17/05/2014

 0.7500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 800(Traded in ADR)

 80.0000

 A

 17/05/2014

 0.7500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 500(Traded in ADR)

 80.0000

 A

 17/05/2014

 0.7500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 200(Traded in ADR)

 80.0000

 A

 21/06/2014

 2.2000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 200(Traded in ADR)

 80.0000

 A

 21/06/2014

 2.2000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 1,400(Traded in ADR)

 80.0000

 A

 21/06/2014

 2.2000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 200(Traded in ADR)

 80.0000

 A

 21/06/2014

 2.2000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 3,500(Traded in ADR)

 80.0000

 A

 21/06/2014

 2.3000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 100(Traded in ADR)

 80.0000

 A

 21/06/2014

 2.9000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 1,400(Traded in ADR)

 80.0000

 A

 21/06/2014

 2.9000 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:

06 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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