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Friday 02 May, 2014

Morgan Stanley&CoLLC

Form 8.5 (EPT/RI) Astrazeneca PLC

RNS Number : 1825G
Morgan Stanley & Co. LLC
02 May 2014
 



 

 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:

01 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

 USD 0.25 ORDINARY

 PURCHASES

 73,000

 47.0642 GBP

 46.8733 GBP

 USD 0.25 ORDINARY

 SALES

 73,000

 46.8732 GBP

 46.8300 GBP

 ADRS

 PURCHASES

 890,253(Traded in ADR form)

 82.6800 USD

 78.8100 USD

 ADRS

 SALES

 886,308(Traded in ADR form)

 82.6800 USD

 78.8100 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

1000 (Traded in ADR Form)

75

 A

 17/05/2014

 0.1000 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

1000 (Traded in ADR Form)

75

 A

 17/05/2014

 0.1000 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

1000 (Traded in ADR Form)

75

 A

 17/05/2014

 0.1000 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

1000 (Traded in ADR Form)

75

 A

 17/05/2014

 0.1000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

1000 (Traded in ADR Form)

87.5

 A

 21/06/2014

 0.5000 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

9500 (Traded in ADR Form)

80

 A

 17/05/2014

 0.8500 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

6700 (Traded in ADR Form)

80

 A

 17/05/2014

 0.8500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

22200 (Traded in ADR Form)

82.5

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

7400 (Traded in ADR Form)

82.5

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

2200 (Traded in ADR Form)

82.5

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

2400 (Traded in ADR Form)

82.5

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

18700 (Traded in ADR Form)

82.5

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

100 (Traded in ADR Form)

82.5

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

12300 (Traded in ADR Form)

82.5

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

2000 (Traded in ADR Form)

82.5

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

2400 (Traded in ADR Form)

82.5

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

17800 (Traded in ADR Form)

82.5

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

500 (Traded in ADR Form)

82.5

 A

 17/05/2014

 0.9700 USD

USD 0.25 ORDINARY

 CALL

 PURCHASE

1000 (Traded in ADR Form)

90

 A

 18/10/2014

 1.0500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

2400 (Traded in ADR Form)

85

 A

 19/07/2014

 1.4500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

1100 (Traded in ADR Form)

85

 A

 19/07/2014

 1.5000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

300 (Traded in ADR Form)

85

 A

 19/07/2014

 1.5000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

600 (Traded in ADR Form)

85

 A

 19/07/2014

 1.5500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

1100 (Traded in ADR Form)

85

 A

 19/07/2014

 1.5500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

500 (Traded in ADR Form)

85

 A

 19/07/2014

 1.6000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

3700 (Traded in ADR Form)

85

 A

 19/07/2014

 1.6500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

500 (Traded in ADR Form)

85

 A

 17/01/2015

 2.5500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

700 (Traded in ADR Form)

85

 A

 17/01/2015

 2.6000 USD

USD 0.25 ORDINARY

 PUT

 PURCHASE

1000 (Traded in ADR Form)

85

 A

 18/10/2014

 6.7000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

500 (Traded in ADR Form)

75

 A

 17/05/2014

 0.1500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

400 (Traded in ADR Form)

75

 A

 17/05/2014

 0.1500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

400 (Traded in ADR Form)

75

 A

 17/05/2014

 0.1500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

400 (Traded in ADR Form)

75

 A

 17/05/2014

 0.1500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

400 (Traded in ADR Form)

75

 A

 17/05/2014

 0.1500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

3400 (Traded in ADR Form)

75

 A

 17/05/2014

 0.2000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

4400 (Traded in ADR Form)

75

 A

 17/05/2014

 0.2000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1000 (Traded in ADR Form)

77.5

 A

 17/05/2014

 0.3000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1000 (Traded in ADR Form)

77.5

 A

 17/05/2014

 0.3500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

4800 (Traded in ADR Form)

77.5

 A

 17/05/2014

 0.3500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

3700 (Traded in ADR Form)

77.5

 A

 17/05/2014

 0.3500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1700 (Traded in ADR Form)

77.5

 A

 17/05/2014

 0.4000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

3500 (Traded in ADR Form)

77.5

 A

 17/05/2014

 0.4000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

4300 (Traded in ADR Form)

77.5

 A

 17/05/2014

 0.4000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

500 (Traded in ADR Form)

77.5

 A

 17/05/2014

 0.4000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

8500 (Traded in ADR Form)

85

 A

 17/05/2014

 0.4000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1000 (Traded in ADR Form)

75

 A

 17/05/2014

 0.4000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

1000 (Traded in ADR Form)

85

 A

 17/05/2014

 0.4500 USD

 USD 0.25 ORDINARY

 CALL

 SALE

1600 (Traded in ADR Form)

85

 A

 17/05/2014

 0.4500 USD

 USD 0.25 ORDINARY

 CALL

 SALE

3100 (Traded in ADR Form)

95

 A

 18/10/2014

 0.5000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

1900 (Traded in ADR Form)

95

 A

 18/10/2014

 0.5000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

1000 (Traded in ADR Form)

82.5

 A

 17/05/2014

 1.0000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

1400 (Traded in ADR Form)

82.5

 A

 17/05/2014

 1.0000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

300 (Traded in ADR Form)

82.5

 A

 17/05/2014

 1.0500 USD

 USD 0.25 ORDINARY

 CALL

 SALE

100 (Traded in ADR Form)

82.5

 A

 17/05/2014

 1.0500 USD

 USD 0.25 ORDINARY

 CALL

 SALE

500 (Traded in ADR Form)

80

 A

 17/05/2014

 2.2000 USD

USD 0.25 ORDINARY

 CALL

 SALE

200 (Traded in ADR Form)

80

 A

 21/06/2014

 2.8000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

2800 (Traded in ADR Form)

80

 A

 19/07/2014

 3.0000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

1100 (Traded in ADR Form)

80

 A

 19/07/2014

 3.0000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

300 (Traded in ADR Form)

80

 A

 19/07/2014

 3.2000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

100 (Traded in ADR Form)

75

 A

 17/01/2015

 9.6100 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:

02 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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