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Friday 09 May, 2014

Morgan Stanley&CoLLC

Form 8.5 (EPT/RI) Astrazeneca PLC

RNS Number : 7172G
Morgan Stanley & Co. LLC
09 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:

08 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

 489,692

 47.3677 GBP

 46.5315 GBP

 USD 0.25 ORDINARY

 SALES

 489,692

 47.1300 GBP

 46.3000 GBP

 ADRS

 PURCHASES

 706,236(Traded in ADR form)

 80.0000 USD

 78.5400 USD

 ADRS

 SALES

 724,350(Traded in ADR form)

 80.0500 USD

 78.5400 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

 CALL

 PURCHASE

 400(Traded in ADR Form)

 100.0000

 A

 21/06/2014

 0.0500 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

 100(Traded in ADR Form)

 75.0000

 A

 17/05/2014

 0.5000 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

 3,400(Traded in ADR Form)

 75.0000

 A

 17/05/2014

 0.5000 USD

 ADRS

 PUT

 PURCHASE

 500

 65.0000

 A

 21/06/2014

 0.5100 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

 500(Traded in ADR Form)

 75.0000

 A

 17/05/2014

 0.5300 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

 1,000(Traded in ADR Form)

 75.0000

 A

 17/05/2014

 0.5500 USD

 ADRS

 PUT

 PURCHASE

 200

 77.5000

 A

 17/05/2014

 0.6500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 100(Traded in ADR Form)

 87.5000

 A

 21/06/2014

 0.6500 USD

 ADRS

 CALL

 PURCHASE

 700

 80.0000

 A

 17/05/2014

 0.8000 USD

 ADRS

 CALL

 PURCHASE

 19,800

 80.0000

 A

 17/05/2014

 0.8500 USD

 ADRS

 CALL

 PURCHASE

 1,000

 80.0000

 A

 17/05/2014

 0.9500 USD

 ADRS

 CALL

 PURCHASE

 1,000

 80.0000

 A

 17/05/2014

 0.9500 USD

 ADRS

 CALL

 PURCHASE

 1,000

 80.0000

 A

 17/05/2014

 0.9500 USD

 USD 0.25 ORDINARY

 PUT

 PURCHASE

 2,600(Traded in ADR Form)

 70.0000

 A

 21/06/2014

 1.0100 USD

 ADRS

 CALL

 PURCHASE

 1,000

 80.0000

 A

 17/05/2014

 1.1000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 100(Traded in ADR Form)

 85.0000

 A

 21/06/2014

 1.1500 USD

 ADRS

 CALL

 PURCHASE

 5,700

 80.0000

 A

 17/05/2014

 1.2000 USD

 ADRS

 CALL

 PURCHASE

 3,800

 80.0000

 A

 17/05/2014

 1.2000 USD

 ADRS

 CALL

 PURCHASE

 2,900

 80.0000

 A

 17/05/2014

 1.2000 USD

 ADRS

 CALL

 PURCHASE

 2,200

 80.0000

 A

 17/05/2014

 1.2000 USD

 ADRS

 CALL

 PURCHASE

 100

 80.0000

 A

 17/05/2014

 1.2500 USD

 ADRS

 PUT

 PURCHASE

 200

 75.0000

 A

 21/06/2014

 1.9900 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 600(Traded in ADR Form)

 77.5000

 A

 17/05/2014

 2.2500 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 1,400(Traded in ADR Form)

 77.5000

 A

 17/05/2014

 2.7500 USD

 ADRS

 CALL

 PURCHASE

 100

 80.0000

 A

 21/06/2014

 3.4000 USD

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 100(Traded in ADR Form)

 80.0000

 A

 18/10/2014

 4.0600 USD

 ADRS

 CALL

 PURCHASE

 100

 65.0000

 A

 17/05/2014

 13.6000 USD

 ADRS

 CALL

 SALE

 100

 85.0000

 A

 17/05/2014

 0.2300 USD

 USD 0.25 ORDINARY

 CALL

 SALE

 1,000(Traded in ADR Form)

 82.5000

 A

 17/05/2014

 0.4000 USD

 USD 0.25 ORDINARY

 CALL

 SALE

 700(Traded in ADR Form)

 82.5000

 A

 17/05/2014

 0.4500 USD

 USD 0.25 ORDINARY

 PUT

 SALE

 2,600(Traded in ADR Form)

 67.5000

 A

 21/06/2014

 0.7400 USD

 ADRS

 PUT

 SALE

 400

 77.5000

 A

 17/05/2014

 0.8000 USD

 ADRS

 PUT

 SALE

 18,200

 77.5000

 A

 17/05/2014

 0.8000 USD

 ADRS

 PUT

 SALE

 10,700

 77.5000

 A

 17/05/2014

 0.8000 USD

 ADRS

 PUT

 SALE

 12,100

 77.5000

 A

 17/05/2014

 0.8000 USD

 ADRS

 PUT

 SALE

 3,000

 77.5000

 A

 17/05/2014

 0.8000 USD

 ADRS

 PUT

 SALE

 3,800

 77.5000

 A

 17/05/2014

 0.8000 USD

 ADRS

 PUT

 SALE

 7,200

 77.5000

 A

 17/05/2014

 0.8000 USD

 ADRS

 PUT

 SALE

 2,700

 77.5000

 A

 17/05/2014

 0.8000 USD

 ADRS

 PUT

 SALE

 1,000

 77.5000

 A

 17/05/2014

 0.9000 USD

 ADRS

 PUT

 SALE

 10,000

 77.5000

 A

 17/05/2014

 0.9000 USD

 ADRS

 PUT

 SALE

 1,000

 77.5000

 A

 17/05/2014

 0.9000 USD

 ADRS

 PUT

 SALE

 29,300

 77.5000

 A

 17/05/2014

 1.0000 USD

 ADRS

 PUT

 SALE

 1,300

 77.5000

 A

 17/05/2014

 1.0000 USD

 ADRS

 PUT

 SALE

 16,000

 77.5000

 A

 17/05/2014

 1.0000 USD

 ADRS

 PUT

 SALE

 4,800

 77.5000

 A

 17/05/2014

 1.0000 USD

 ADRS

 PUT

 SALE

 1,500

 77.5000

 A

 17/05/2014

 1.0000 USD

 ADRS

 PUT

 SALE

 1,000

 77.5000

 A

 17/05/2014

 1.0000 USD

 ADRS

 PUT

 SALE

 2,400

 77.5000

 A

 17/05/2014

 1.0000 USD

 ADRS

 PUT

 SALE

 2,400

 77.5000

 A

 17/05/2014

 1.0000 USD

 ADRS

 CALL

 SALE

 100

 80.0000

 A

 17/05/2014

 1.0500 USD

 ADRS

 CALL

 SALE

 500

 80.0000

 A

 17/05/2014

 1.0800 USD

 ADRS

 CALL

 SALE

 8,600

 80.0000

 A

 17/05/2014

 1.1000 USD

 ADRS

 CALL

 SALE

 200

 80.0000

 A

 17/05/2014

 1.1000 USD

 ADRS

 CALL

 SALE

 100

 80.0000

 A

 17/05/2014

 1.1000 USD

 ADRS

 CALL

 SALE

 3,900

 80.0000

 A

 17/05/2014

 1.1000 USD

 ADRS

 CALL

 SALE

 1,000

 80.0000

 A

 17/05/2014

 1.1000 USD

 ADRS

 PUT

 SALE

 2,000

 77.5000

 A

 17/05/2014

 1.1000 USD

 ADRS

 CALL

 SALE

 200

 80.0000

 A

 17/05/2014

 1.2200 USD

 ADRS

 CALL

 SALE

 1,200

 80.0000

 A

 17/05/2014

 1.2600 USD

 ADRS

 CALL

 SALE

 1,300

 80.0000

 A

 17/05/2014

 1.2600 USD

 USD 0.25 ORDINARY

 CALL

 SALE

 100(Traded in ADR Form)

 85.0000

 A

 21/06/2014

 1.3900 USD

 USD 0.25 ORDINARY

 PUT

 SALE

 5,700(Traded in ADR Form)

 80.0000

 A

 17/05/2014

 2.0000 USD

 USD 0.25 ORDINARY

 PUT

 SALE

 100(Traded in ADR Form)

 77.5000

 A

 21/06/2014

 3.1000 USD

 ADRS

 CALL

 SALE

 100(Traded in ADR Form)

 70.0000

 A

 21/06/2014

 10.6100 USD

 USD 0.25 ORDINARY

 CALL

 SALE

 200(Traded in ADR Form)

 62.5000

 A

 19/07/2014

 17.0600 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:

09 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.

 


This information is provided by RNS
The company news service from the London Stock Exchange
 
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