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Thursday 01 May, 2014

Morgan Stanley&CoLLC

Form 8.5 (EPT/RI) - replacement - Astrazeneca Plc

RNS Number : 0850G
Morgan Stanley & Co. LLC
01 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 & Co. 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:

28 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

 USD 0.25 ORDINARY

 PURCHASES

 214,990

 47.4107 GBP

 45.9000 GBP

 USD 0.25 ORDINARY

 SALES

 214,990

 47.4107 GBP

 45.9000 GBP

 ADRS

 PURCHASES

 3,919,558(Traded in ADR form)

 80.6000 USD

 73.9048 USD

 ADRS

 SALES

 3,906,758(Traded in ADR form)

 80.5000 USD

 73.8700 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

 N/A

 N/A

 N/A

 N/A

 N/A

 

 

(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

 PUT

 PURCHASE

100 (Traded in ADR Form)

67.5

 A

 21/06/2014

 0.4700 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

2000 (Traded in ADR Form)

85

 A

 21/06/2014

 0.5000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

3000 (Traded in ADR Form)

85

 A

 21/06/2014

 0.5500 USD

 ADRS

 PUT

 PURCHASE

400 (Traded in ADR Form)

75

 A

 17/05/2014

 0.6000 USD

 ADRS

 CALL

 PURCHASE

100 (Traded in ADR Form)

80

 A

 17/05/2014

 1.1800 USD

 ADRS

 PUT

 PURCHASE

1000 (Traded in ADR Form)

77.5

 A

 17/05/2014

 1.2000 USD

 ADRS

 PUT

 PURCHASE

700 (Traded in ADR Form)

75

 A

 17/05/2014

 1.2500 USD

 ADRS

 PUT

 PURCHASE

4400 (Traded in ADR Form)

75

 A

 17/05/2014

 1.2500 USD

 ADRS

 PUT

 PURCHASE

2600 (Traded in ADR Form)

77.5

 A

 17/05/2014

 1.3000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

3000 (Traded in ADR Form)

85

 A

 19/07/2014

 1.3000 USD

 ADRS

 PUT

 PURCHASE

100 (Traded in ADR Form)

75

 A

 17/05/2014

 1.3300 USD

 ADRS

 CALL

 PURCHASE

200 (Traded in ADR Form)

80

 A

 17/05/2014

 1.3500 USD

 ADRS

 CALL

 PURCHASE

3200 (Traded in ADR Form)

80

 A

 17/05/2014

 1.4000 USD

 ADRS

 CALL

 PURCHASE

400 (Traded in ADR Form)

77.5

 A

 17/05/2014

 1.4000 USD

 ADRS

 CALL

 PURCHASE

1000 (Traded in ADR Form)

80

 A

 17/05/2014

 1.4500 USD

 ADRS

 CALL

 PURCHASE

300 (Traded in ADR Form)

80

 A

 17/05/2014

 1.4500 USD

 ADRS

 PUT

 PURCHASE

3700 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

1200 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

100 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

200 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

800 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

500 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

1000 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

600 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

1200 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

1100 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

1000 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

900 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

1100 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

100 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

11500 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

300 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

2100 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

2100 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

500 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

300 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

200 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

1000 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

300 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

2300 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 PURCHASE

5700 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

1500 (Traded in ADR Form)

90

 A

 18/10/2014

 1.5500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

1800 (Traded in ADR Form)

90

 A

 18/10/2014

 1.5500 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

100 (Traded in ADR Form)

67.5

 A

 18/10/2014

 1.6000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

500 (Traded in ADR Form)

85

 A

 19/07/2014

 1.7000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

1400 (Traded in ADR Form)

85

 A

 19/07/2014

 1.7000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

1600 (Traded in ADR Form)

85

 A

 19/07/2014

 1.8000 USD

 ADRS

 PUT

 PURCHASE

200 (Traded in ADR Form)

75

 A

 17/05/2014

 1.8700 USD

 ADRS

 CALL

 PURCHASE

2500 (Traded in ADR Form)

80

 A

 21/06/2014

 2.0400 USD

 ADRS

 PUT

 PURCHASE

400 (Traded in ADR Form)

75

 A

 19/07/2014

 2.1000 USD

 ADRS

 PUT

 PURCHASE

200 (Traded in ADR Form)

75

 A

 19/07/2014

 2.1400 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

2100 (Traded in ADR Form)

85

 A

 19/07/2014

 2.1500 USD

 ADRS

 CALL

 PURCHASE

1000 (Traded in ADR Form)

80

 A

 21/06/2014

 2.3000 USD

 ADRS

 CALL

 PURCHASE

1000 (Traded in ADR Form)

80

 A

 21/06/2014

 2.3500 USD

 ADRS

 CALL

 PURCHASE

1000 (Traded in ADR Form)

80

 A

 21/06/2014

 2.3500 USD

 ADRS

 CALL

 PURCHASE

200 (Traded in ADR Form)

77.5

 A

 17/05/2014

 2.4000 USD

 ADRS

 CALL

 PURCHASE

200 (Traded in ADR Form)

80

 A

 21/06/2014

 2.4500 USD

 ADRS

 CALL

 PURCHASE

100 (Traded in ADR Form)

80

 A

 21/06/2014

 2.5000 USD

 ADRS

 PUT

 PURCHASE

6900 (Traded in ADR Form)

80

 A

 17/05/2014

 2.6500 USD

 ADRS

 PUT

 PURCHASE

1000 (Traded in ADR Form)

80

 A

 17/05/2014

 2.7000 USD

 ADRS

 PUT

 PURCHASE

1000 (Traded in ADR Form)

80

 A

 17/05/2014

 2.7000 USD

 ADRS

 CALL

 PURCHASE

400 (Traded in ADR Form)

80

 A

 21/06/2014

 2.7500 USD

 ADRS

 CALL

 PURCHASE

200 (Traded in ADR Form)

80

 A

 21/06/2014

 2.8100 USD

 ADRS

 CALL

 PURCHASE

9400 (Traded in ADR Form)

80

 A

 21/06/2014

 2.9000 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

4000 (Traded in ADR Form)

77.5

 A

 21/06/2014

 2.9000 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

700 (Traded in ADR Form)

77.5

 A

 21/06/2014

 2.9500 USD

 ADRS

 CALL

 PURCHASE

200 (Traded in ADR Form)

80

 A

 21/06/2014

 2.9700 USD

 ADRS

 CALL

 PURCHASE

300 (Traded in ADR Form)

75

 A

 17/05/2014

 4.5000 USD

 ADRS

 CALL

 PURCHASE

2100 (Traded in ADR Form)

72.5

 A

 21/06/2014

 7.7000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

100 (Traded in ADR Form)

70

 A

 19/07/2014

 8.2000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

100 (Traded in ADR Form)

70

 A

 19/07/2014

 8.2000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

200 (Traded in ADR Form)

70

 A

 19/07/2014

 8.9000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

100 (Traded in ADR Form)

70

 A

 19/07/2014

 9.4800 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

3000 (Traded in ADR Form)

70

 A

 19/07/2014

 9.5000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

600 (Traded in ADR Form)

70

 A

 19/07/2014

 9.8000 USD

 ADRS

 CALL

 PURCHASE

100 (Traded in ADR Form)

70

 A

 17/01/2015

 9.8000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

100 (Traded in ADR Form)

70

 A

 18/10/2014

 10.0000 USD

 ADRS

 CALL

 PURCHASE

100 (Traded in ADR Form)

65

 A

 17/05/2014

 10.9800 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

400 (Traded in ADR Form)

90

 A

 15/01/2016

 17.0800 USD

 ADRS

 PUT

 SALE

600 (Traded in ADR Form)

70

 A

 17/05/2014

 0.1600 USD

 ADRS

 PUT

 SALE

2400 (Traded in ADR Form)

70

 A

 17/05/2014

 0.2500 USD

 ADRS

 PUT

 SALE

2400 (Traded in ADR Form)

70

 A

 17/05/2014

 0.2500 USD

 ADRS

 PUT

 SALE

1500 (Traded in ADR Form)

70

 A

 17/05/2014

 0.2500 USD

 ADRS

 PUT

 SALE

4600 (Traded in ADR Form)

70

 A

 17/05/2014

 0.2500 USD

 ADRS

 PUT

 SALE

2000 (Traded in ADR Form)

70

 A

 17/05/2014

 0.2500 USD

 ADRS

 PUT

 SALE

3600 (Traded in ADR Form)

70

 A

 17/05/2014

 0.2500 USD

 ADRS

 PUT

 SALE

2400 (Traded in ADR Form)

70

 A

 17/05/2014

 0.2500 USD

 ADRS

 PUT

 SALE

4900 (Traded in ADR Form)

70

 A

 17/05/2014

 0.2500 USD

 ADRS

 PUT

 SALE

100 (Traded in ADR Form)

65

 A

 21/06/2014

 0.3000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

600 (Traded in ADR Form)

67.5

 A

 19/07/2014

 0.7000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

100 (Traded in ADR Form)

70

 A

 21/06/2014

 0.7500 USD

 ADRS

 CALL

 SALE

2000 (Traded in ADR Form)

80

 A

 17/05/2014

 0.8000 USD

 ADRS

 PUT

 SALE

400 (Traded in ADR Form)

75

 A

 17/05/2014

 0.8000 USD

 ADRS

 PUT

 SALE

1400 (Traded in ADR Form)

72.5

 A

 17/05/2014

 0.8500 USD

 ADRS

 PUT

 SALE

3200 (Traded in ADR Form)

72.5

 A

 17/05/2014

 0.8500 USD

 ADRS

 PUT

 SALE

1000 (Traded in ADR Form)

72.5

 A

 17/05/2014

 0.8500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

10800 (Traded in ADR Form)

70

 A

 21/06/2014

 0.8500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

2300 (Traded in ADR Form)

70

 A

 21/06/2014

 0.8500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1000 (Traded in ADR Form)

70

 A

 21/06/2014

 0.8500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1000 (Traded in ADR Form)

70

 A

 21/06/2014

 0.8500 USD

 ADRS

 CALL

 SALE

100 (Traded in ADR Form)

80

 A

 17/05/2014

 0.9000 USD

 ADRS

 PUT

 SALE

300 (Traded in ADR Form)

75

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

5000 (Traded in ADR Form)

70

 A

 19/07/2014

 1.1500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1000 (Traded in ADR Form)

72.5

 A

 21/06/2014

 1.2000 USD

 ADRS

 PUT

 SALE

3700 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 ADRS

 PUT

 SALE

5700 (Traded in ADR Form)

75

 A

 17/05/2014

 1.5500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

700 (Traded in ADR Form)

70

 A

 19/07/2014

 1.5500 USD

 ADRS

 CALL

 SALE

500 (Traded in ADR Form)

80

 A

 21/06/2014

 1.6000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1700 (Traded in ADR Form)

70

 A

 19/07/2014

 1.7000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1700 (Traded in ADR Form)

70

 A

 19/07/2014

 1.7000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

10800 (Traded in ADR Form)

77.5

 A

 21/06/2014

 2.6000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

100 (Traded in ADR Form)

77.5

 A

 21/06/2014

 3.1000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

800 (Traded in ADR Form)

77.5

 A

 21/06/2014

 3.1000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1000 (Traded in ADR Form)

77.5

 A

 21/06/2014

 3.1000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

1000 (Traded in ADR Form)

77.5

 A

 21/06/2014

 3.3000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

1000 (Traded in ADR Form)

77.5

 A

 21/06/2014

 3.3000 USD

 ADRS

 PUT

 SALE

100 (Traded in ADR Form)

75

 A

 19/07/2014

 3.4000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1000 (Traded in ADR Form)

77.5

 A

 19/07/2014

 3.7000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1100 (Traded in ADR Form)

77.5

 A

 19/07/2014

 3.7000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

1800 (Traded in ADR Form)

77.5

 A

 21/06/2014

 4.3000 USD

 ADRS

 PUT

 SALE

600 (Traded in ADR Form)

80

 A

 21/06/2014

 4.3000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1400 (Traded in ADR Form)

77.5

 A

 21/06/2014

 4.5000 USD

 ADRS

 CALL

 SALE

500 (Traded in ADR Form)

80

 A

 17/01/2015

 4.6200 USD

 ADRS

 CALL

 SALE

200 (Traded in ADR Form)

80

 A

 17/01/2015

 4.9000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

200 (Traded in ADR Form)

75

 A

 21/06/2014

 5.6400 USD

 USD 0.25 ORDINARY

 CALL

 SALE

100 (Traded in ADR Form)

75

 A

 21/06/2014

 6.0000 USD

 ADRS

 CALL

 SALE

2500 (Traded in ADR Form)

72.5

 A

 21/06/2014

 6.2900 USD

 USD 0.25 ORDINARY

 CALL

 SALE

100 (Traded in ADR Form)

72.5

 A

 19/07/2014

 7.8900 USD

 USD 0.25 ORDINARY

 CALL

 SALE

100 (Traded in ADR Form)

72.5

 A

 19/07/2014

 8.1700 USD

 ADRS

 CALL

 SALE

100 (Traded in ADR Form)

62.5

 A

 17/05/2014

 13.4600 USD

 ADRS

 CALL

 SALE

100 (Traded in ADR Form)

65

 A

 21/06/2014

 14.9000 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:

01 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].uk.  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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