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Thursday 08 May, 2014

UBS Global Asset Man

Form 8.3 - AstraZeneca PLC

RNS Number : 5948G
UBS Global Asset Management*
08 May 2014
 



FORM 8.3

 

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the "Code")

           

1.         KEY INFORMATION

 

(a) Identity of the person whose positions/dealings are being disclosed:

UBS Global Asset Management *

(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

     The naming of nominee or vehicle companies is insufficient


(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

     Use a separate form for each offeror/offeree

AstraZeneca PLC

(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:

 

 

(e) Date position held/dealing undertaken:

07 May 2014

(f)  Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer?

Yes

Pfizer Inc

 

2.         POSITIONS OF THE PERSON MAKING THE DISCLOSURE

 

(a)        Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

 

 

 

Class of relevant security:

 

ASTRAZENECA ORD USD0.25

 

 

Interests

Short positions

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

    12,992,653

   1.03

             0

   0.00

(2) Derivatives (other than options):

            2,649

 

   0.00

             0

   0.00

(3) Options and agreements to purchase/sell:

             0

   0.00

             53,000

   0.00

 

     TOTAL:

12,995,302   

   1.03

             53,000

   0.00

 

 

 

All interests and all short positions should be disclosed.

 

Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

 

(b)        Rights to subscribe for new securities (including directors' and other executive options)

 

Class of relevant security in relation to which subscription right exists:


Details, including nature of the rights concerned and relevant percentages:


 

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

 

3.         DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

 

(a)        Purchases and sales

 

Class of relevant security

Purchase/sale

 

Number of securities

Price per unit

Ordinary Shares

 

PURCHASE

           305

    46.270000 GBP

 

Ordinary Shares

 

PURCHASE

         4,191

    46.310000 GBP

 

Ordinary Shares

 

SALE

        45,307

    46.310000 GBP

 

 

 

TOTAL PURCHASE

         4,496

 

 

 

 

TOTAL SALE

        45,307

 

 

 

(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

 

 





 

(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









 

(ii)        Exercising

 

Class of relevant security

Product description

e.g. call option

Number of securities

Exercise price per unit

 

 




 

(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)

 

 




 

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(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

 

4.         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 person 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"

 

 

 

 

(b)        Agreements, arrangements or understandings relating to options or derivatives

 

Details of any agreement, arrangement or understanding, formal or informal, between the person 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"

 

 

 

 

(c)        Attachments

 

Is a Supplemental Form 8 (Open Positions) attached?

YES

 

 

Date of disclosure:

08/05/2014

Contact name:

Miss Kirsty Lahmar

Telephone number:

+44 20 7901 5887 

 

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.

 

 



 

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

 

DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the "Code")

 

 

1.         KEY INFORMATION

 

Identity of person whose open positions are being disclosed:

UBS Global Asset Management *

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

AstraZeneca PLC

 

2.         OPTIONS AND DERIVATIVES

 

Class of relevant security

Product description e.g. call option

Written or purchased

Number of securities to which option or derivative relates

Exercise price per unit

Type

e.g. American, European etc.

Expiry date

ASTRAZENECA ORD USD0.25

Options on Shares

Written

        53,000

GBP 51.08809

EUR

23/05/2014

 

3.         AGREEMENTS TO PURCHASE OR SELL ETC.

 

Full details should be given so that the nature of the interest or position can be fully understood:

 

 

 

 

 

 

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to contracts for differences ("CFDs") or spread bets.

 

The currency of all prices and other monetary amounts should be stated.

 

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 report is on behalf of:

 

UBS AG (UBS Global Asset Management operating in Switzerland)

 

UBS Global Asset Management  (Americas) Inc

 

UBS Global Asset Management  (Australia) Ltd

 

UBS Global Asset Management  (UK) Ltd

 

UBS Global Asset Management (Hong Kong) Ltd

 

UBS Global Asset Management (Singapore) Ltd

 

UBS Global Asset Management (Taiwan) Ltd

 

 


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