TIDMAZEM TIDMAZN TIDMPFZ
RNS Number : 3470G
Bank of America Merrill Lynch
06 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: Bank of America Merrill Lynch
------------------------------------------------------------------------------------- ------------------------------
(b) Name of offeror/offeree in relation to whose AstraZeneca PLC
relevant securities this form relates:
Use a separate form for each offeror/offeree
------------------------------------------------------------------------------------- ------------------------------
(c) Name of the party to the offer with which exempt principal trader is connected: Pfizer Inc
------------------------------------------------------------------------------------- ------------------------------
(d) Date dealing undertaken: 02/05/2014
------------------------------------------------------------------------------------- ------------------------------
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in No
respect of
any other party to this offer?
------------------------------------------------------------------------------------- ------------------------------
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security Purchases/ Total number of securities Highest price Lowest price
sales per unit per unit
paid/received paid/received
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB0009895292 Purchase 724,253 48.404 GBP 47.165 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB0009895292 Purchase 1,071,967 533.5 SEK 519.5 SEK
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB0009895292 Sale 764,444 48.325 GBP 47.345 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB0009895292 Sale 1,066,380 534 SEK 519.5 SEK
--------------------------- ----------- --------------------------- --------------- ---------------
(b) Derivatives transactions (other than options)
Class of Product description Nature of dealing Number of reference Price per unit
relevant security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 4,778 48.064 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 16 48.249 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 8,800 47.998 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1,200 47.998 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 15,235 47.819 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1,169 47.48 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 1,800 48.2 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 10,000 48.111 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 100 48.121 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 444 48.121 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 500 48.243 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 5,250 47.839 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 291 48.09 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 7,289 47.761 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 392 48.076 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 108 47.787 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 53 48.073 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 426 48.076 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 4,778 528.779 SEK
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 25,000 48.075 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 64 47.732 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 10,000 47.872 GBP
GB0009895292
------------------------- -------------------- ------------------------- ------------------------- ---------------
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry date Option money
of description purchasing, of price e.g. paid/
relevant e.g. call selling, securities to per unit American, received per
security option varying etc. which option European etc. unit
relates
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
N/A N/A N/A N/A N/A N/A N/A N/A
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
(ii) Exercising
Class of relevant security Product description Number of Exercise Price per
e.g. call option securities unit
--------------------------- -------------------- ------------ -------------------
N/A N/A N/A N/A
--------------------------- -------------------- ------------ -------------------
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
--------------------------- ------------------------------- -------- -------------------------------
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: 06/05/2014
--------------------- --------------
Contact name: Stacy Otieno
--------------------- --------------
Telephone number: 0207 995 1335
--------------------- --------------
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
monitoring@disclosure.org.uk.
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.
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: Bank of America Merrill Lynch
----------------------------------------------------------------------------------------- ------------------------------
(b) Name of offeror/offeree in relation to whose Pfizer Inc
relevant securities this form relates:
Use a separate form for each offeror/offeree
----------------------------------------------------------------------------------------- ------------------------------
(c) Name of the party to the offer with which exempt principal trader is connected: Pfizer Inc
----------------------------------------------------------------------------------------- ------------------------------
(d) Date dealing undertaken: 02/05/2014
----------------------------------------------------------------------------------------- ------------------------------
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in No
respect of
any other party to this offer?
----------------------------------------------------------------------------------------- ------------------------------
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security Purchases/ Total number of securities Highest price Lowest price
sales per unit per unit
paid/received paid/received
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN US7170811035 Purchase 19 204 SEK 204 SEK
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN US7170811035 Sale 19 204 SEK 204 SEK
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN US7170811035 Sale 7078 30.745 USD 30.73 USD
--------------------------- ----------- --------------------------- --------------- ---------------
(b) Derivatives transactions (other than options)
Class of Product description Nature of dealing Number of reference Price per unit
relevant security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
--------------------- -------------------- -------------------------- -------------------------- -----------------
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 Product Writing, Number Exercise Type Expiry date Option money
of description purchasing, of price e.g. paid/
relevant e.g. call selling, securities to per unit American, received per
security option varying etc. which option European etc. unit
relates
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
N/A N/A N/A N/A N/A N/A N/A N/A
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
(ii) Exercising
Class of relevant security Product description Number of Exercise Price per
e.g. call option securities unit
----------------------------- -------------------------- --------------- ---------------------
N/A N/A N/A N/A
----------------------------- -------------------------- --------------- ---------------------
(d) Other dealings (including subscribing for new
securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
----------------------------- ------------------------------- ---------- ---------------------------------
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: 06/05/2014
--------------------- --------------
Contact name: Stacy Otieno
--------------------- --------------
Telephone number: 0207 995 1335
--------------------- --------------
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
monitoring@disclosure.org.uk.
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.
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: Bank of America Merrill Lynch
----------------------------------------------------------------------------------------- ------------------------------
(b) Name of offeror/offeree in relation to whose AZ Electronic Materials SA
relevant securities this form relates:
Use a separate form for each offeror/offeree
----------------------------------------------------------------------------------------- ------------------------------
(c) Name of the party to the offer with which exempt principal trader is connected: AZ Electronic Materials SA
----------------------------------------------------------------------------------------- ------------------------------
(d) Date dealing undertaken: 02/05/2014
----------------------------------------------------------------------------------------- ------------------------------
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in No
respect of
any other party to this offer?
----------------------------------------------------------------------------------------- ------------------------------
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security Purchases/ Total number of securities Highest price Lowest price
sales per unit per unit
paid/received paid/received
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN LU0552383324 Purchase 7,216 4.021 GBP 4.016 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN LU0552383324 Sale 50,190 4.027 GBP 4.016 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
(b) Derivatives transactions (other than options)
Class of Product description Nature of dealing Number of reference Price per unit
relevant security e.g. CFD e.g. opening/closing securities
a
long/short position,
increasing/reducing a
long/short position
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN LU0552383324 Swaps Long 1,130 4.021 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN LU0552383324 Swaps Long 1,233 4.021 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry date Option money
of description purchasing, of price e.g. paid/
relevant e.g. call selling, securities to per unit American, received per
security option varying etc. which option European etc. unit
relates
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
N/A N/A N/A N/A N/A N/A N/A N/A
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
(ii) Exercising
Class of relevant security Product description Number of Exercise Price per
e.g. call option securities unit
----------------------------- -------------------------- --------------- ---------------------
N/A N/A N/A N/A
----------------------------- -------------------------- --------------- ---------------------
(d) Other dealings (including subscribing for new
securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
----------------------------- ------------------------------- ---------- ---------------------------------
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: 06/05/2014
--------------------- --------------
Contact name: Stacy Otieno
--------------------- --------------
Telephone number: 0207 995 1335
--------------------- --------------
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
monitoring@disclosure.org.uk.
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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