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Tuesday 27 May, 2014

Morgan Stanley Secs

Form 8.5 (EPT/RI) Replacement Astrazeneca Plc

RNS Number : 1311I
Morgan Stanley Securities Limited
27 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 Securities Limited

(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:

16 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

 1,033,581

 48.2401 GBP

 45.0000 GBP

 USD 0.25 ORDINARY

 SALES

 1,433,123

 48.2741 GBP

 47.3650 GBP

 

 

(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

 80

 58.5400 EUR

 USD 0.25 ORDINARY

 CFD

 SHORT

 80

 58.2400 EUR

 USD 0.25 ORDINARY

 CFD

 LONG

 37,139

 47.2650 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 2,371

 47.2650 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 10,000

 47.4014 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 715

 47.4090 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 2,330

 47.4090 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 1,118

 47.4100 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 343

 47.4100 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 25

 47.4172 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 372

 47.4411 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 274

 47.4411 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 938

 47.4411 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 8

 47.6437 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 215

 47.6899 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 1,120

 47.8081 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 2,256

 47.8081 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 2,998

 47.8081 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 1,774

 47.8081 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 848

 47.8081 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 13

 47.8153 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 25,871

 47.8254 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 4,821

 47.8299 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 10,089

 47.8299 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 17,044

 47.8299 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 12,829

 47.8299 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 6,369

 47.8299 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 1,645

 47.8452 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 7,544

 47.8452 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 3,655

 47.8452 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 1,197

 47.8481 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 159

 47.8850 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 28,800

 47.8908 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 3,497

 47.8921 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 223

 47.8921 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 156

 47.8950 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 312

 47.9000 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 436

 47.9150 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 246

 47.9192 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 98,059

 47.9266 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 54

 47.9642 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 707

 47.9645 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 247,300

 47.9645 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 264

 47.9706 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 5,959

 47.9706 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 1,321

 47.9706 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 300

 48.0000 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 14,700

 48.0000 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 19,200

 48.0094 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 3

 48.0166 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 4,935

 48.0277 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 25,000

 48.0321 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 412

 48.0871 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 2,331

 48.1381 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 149

 48.1382 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 814

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 64

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 589

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 1,454

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 169

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 25

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 314

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 2

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 13,528

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 900

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 50,120

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 6,814

 48.2350 GBP

 ADRS

 FUTURE

 PURCHASE

 4

 4,823.5000 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 37,139

 47.2650 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,371

 47.2650 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 44

 47.8238 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 156

 47.8547 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 13,460

 47.8547 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 60

 47.9255 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 14,887

 47.9429 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 247,300

 47.9579 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,228

 47.9579 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,370

 48.1073 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 9,056

 48.1124 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 70

 48.1286 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 14,700

 48.1362 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 300

 48.1362 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 4,202

 48.1416 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 25,871

 48.1696 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 30

 48.1971 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 137

 48.1971 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 6

 48.1971 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 900

 48.2017 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 29,871

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 60

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,563

 48.2350 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 23,500

 48.2402 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 3,000

 528.5000 SEK

 USD 0.25 ORDINARY

 CFD

 SHORT

 6,000

 528.7500 SEK

 ADRS

 CFD

  LONG

 100.00 (Traded in ADR form)

 80.9000 USD

 ADRS

 CFD

  SHORT

 4,222.00 (Traded in ADR form)

 80.2800 USD

 ADRS

 CFD

  SHORT

 693.00 (Traded in ADR form)

 80.2800 USD

 ADRS

 CFD

  SHORT

 15.00 (Traded in ADR form)

 80.6200 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

 USD 0.25 ORDINARY

 CALL

 PURCHASE

 19,000

 45.0000

 A

 16/05/2014

 3.0500 GBP

 ADRS

 PUT

 PURCHASE

 50,000

 75.0000

 A

 21/06/2014

 2.0000 USD

 ADRS

 CALL

SALE

 400,000

 90.0000

 A

21/06/2014

 0.3000 USD

 ADRS

 CALL

SALE

 500,000

 90.0000

 A

21/06/2014

 0.3500 USD

 ADRS

 CALL

SALE

 700,000

 85.0000

 A

21/06/2014

 2.3000 USD

 ADRS

 CALL

SALE

 150,000

 85.0000

 A

21/06/2014

 1.5500 USD

 ADRS

 CALL

SALE

 800,000

 85.0000

 A

21/06/2014

 1.5500 USD

 ADRS

 CALL

SALE

 300,000

 87.0000

 A

21/06/2014

 0.7500 USD

 ADRS

 PUT

PURCHASE

  50,000

 77.0000

 A

21/06/2014

 2.9500 USD

 

(ii)        Exercising

 

 Class of relevant security

 Product description            e.g. call option

 Number of securities

 Exercise price per unit

 ADRS

 PUT

 100,000

 48.0000 GBP

 

(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:

27 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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