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Wednesday 28 May, 2014

Morgan Stanley Secs

Form 8.5 (EPT/RI) Replacement Astrazeneca Plc

RNS Number : 2299I
Morgan Stanley Securities Limited
28 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:

14 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

 1,217,947

 46.9000 GBP

 46.4250 GBP

 USD 0.25 ORDINARY

 SALES

 461,928

 46.9100 GBP

 46.4250 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

 5,000

 46.5286 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 98

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 4,725

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 208

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 23,432

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 56

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 10,000

 46.5525 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 3,400

 46.5580 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 7,600

 46.5900 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 150

 46.6241 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 1,411

 46.6436 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 145,991

 46.6436 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 3,159

 46.6528 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 4,196

 46.6528 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 2,485

 46.6528 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 1,568

 46.6528 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 1,187

 46.6528 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 55

 46.6825 GBP

 USD 0.25 ORDINARY

 CFD

 LONG

 34

 46.7425 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 9,159

 46.5257 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 260

 46.5301 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,744

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,097

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 46,603

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 1,142

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 81

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 157

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 392

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 546

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 115

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,628

 46.5400 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,400

 46.5585 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 5,000

 46.5681 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 9,146

 46.5746 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 10,000

 46.5877 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 15,469

 46.5987 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 789

 46.6011 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 973

 46.6097 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 24

 46.6097 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 8

 46.6097 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 725

 46.6097 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 17

 46.6097 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 12,000

 46.6119 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,248

 46.6208 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 144

 46.6208 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 721

 46.6208 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 145,991

 46.6403 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 3,461

 46.6403 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 43,750

 46.7887 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 81,250

 46.7887 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 140,000

 46.7964 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 260,000

 46.7964 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 367

 46.8115 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 43,750

 46.8134 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 81,250

 46.8134 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 302

 46.8220 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 2,931

 46.8524 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 217

 46.8524 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 8,482

 46.8570 GBP

 USD 0.25 ORDINARY

 CFD

 SHORT

 98

 46.8571 GBP

 ADRS

 CFD

  SHORT

 59,150.00 (Traded in ADR form)

 78.0922 USD

 ADRS

 CFD

  SHORT

 109,850.00 (Traded in ADR form)

 78.0922 USD

 ADRS

 CFD

  SHORT

 200,000.00 (Traded in ADR form)

 78.1010 USD

 ADRS

 CFD

  SHORT

 721.00 (Traded in ADR form)

 78.2900 USD

 ADRS

 CFD

  SHORT

 4,393.00 (Traded in ADR form)

 78.2900 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

 ADRS

 CALL

 SALE

 1,500,000

 85.0000

 A

 21/06/2014

 1.1000 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:

28 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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