Form 8.3 - Astrazeneca Plc
BARCLAYS PLC
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 “Codeâ€)
1. KEY INFORMATION
(a) | Â | Identity of the person whose positions/dealings | Â | Barclays PLC. | |
 | are being disclosed: |  | |||
(b) | Owner or controller of interest and short | ||||
 | positions disclosed, if different from 1(a): |  | |||
(c) | Name of offeror/offeree in relation to whose |
ASTRAZENECA PLC |
|||
 | relevant securities this form relates: |  | |||
(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: | 5 May 2014 | |||
(f) | Has the discloser previously disclosed, or are | YES: | |||
they today disclosing, under the Code in respect | PFIZER INC | ||||
 | of any other party to this offer? |  |
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: | Â | Â | Â | ORD | Â | Â | Â | Â | Â | Â | |
Interests | Short Positions | ||||||||||
 |  | Number | (%) | Number | (%) | ||||||
(1) | Relevant securities owned | ||||||||||
and/or controlled: | 14,503,374 | 1.15% | 4,352,684 | 0.34% | |||||||
 |  |  |  |  |  | ||||||
(2) | Derivatives (other than | ||||||||||
options): | 976,827 | 0.08% | 7,654,566 | 0.61% | |||||||
 |  |  |  |  |  | ||||||
(3) | Options and agreements to | ||||||||||
purchase/sell: | 1,146,507 | 0.09% | 1,546,543 | 0.02% | |||||||
 |  |  |  |  |  | ||||||
(4) | TOTAL: | ||||||||||
16,626,708 | 1.32% | 13,553,793 | 0.96% |
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: | Â |
Details, including nature of the rights concerned and relevant percentages: | Â |
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 | Â | Purchase/sale | Â | Number of | Â | Price per unit | |
security | Â | securities | Â | ||||
ORD | Purchase | 1,035 | 522.5000 SEK | ||||
ORD (traded as ADR) | Purchase | 1,061 | TRANSFER | ||||
ORD | Purchase | 1,356 | 523.0106 SEK | ||||
ORD | Purchase | 1,471 | 523.2787 SEK | ||||
ORD | Purchase | 2,494 | 520.3881 SEK | ||||
ORD | Purchase | 2,893 | 522.9147 SEK | ||||
ORD | Purchase | 4,789 | 519.1710 SEK | ||||
ORD | Purchase | 5,815 | 520.4621 SEK | ||||
ORD (traded as ADR) | Purchase | 7,100 | 79.9736 USD | ||||
ORD | Sale | 58 | 522.0000 SEK | ||||
ORD | Sale | 559 | 522.4608 SEK | ||||
ORD | Sale | 645 | 517.7364 SEK | ||||
ORD | Sale | 660 | 519.7068 SEK | ||||
ORD (traded as ADR) | Sale | 1,061 | TRANSFER | ||||
ORD | Sale | 2,893 | 517.2395 SEK | ||||
ORD | Sale | 2,893 | 522.9147 SEK | ||||
ORD (traded as ADR) | Sale | 2,957 | 79.0000 USD | ||||
ORD | Sale | 4,723 | 522.7358 SEK | ||||
ORD | Sale | 7,642 | 521.0599 SEK |
(b) Derivatives transactions (other than options)
Class of relevant security | Â |
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 | Â | Product | Â | Writing, | Â | Number | Â | Exercise | Â | Type | Â | Expiry | Â | Option | |
of | description | purchasing, | of | price | date | money | |||||||||
relevant | selling, | securities | per unit | paid/ | |||||||||||
security | varying etc | to which | received | ||||||||||||
option | per unit | ||||||||||||||
 |  |  | relates |  |  |  |  | ||||||||
ORD | Call Options | Purchasing | 5800 | 80 USD | American | 41776 | 1.4017 USD | ||||||||
ORD | Call Options | Purchasing | 1000 | 82.5 USD | American | 41776 | 0.6900 USD | ||||||||
ORD | Call Options | Purchasing | 3400 | 85 USD | American | 41811 | 0.9914 USD | ||||||||
ORD | Call Options | Purchasing | 200 | 90 USD | American | 42021 | 1.0600 USD | ||||||||
ORD | Call Options | Selling | 8900 | 77.5 USD | American | 41839 | 5.3000 USD | ||||||||
ORD | Call Options | Selling | 1000 | 80 USD | American | 41776 | 1.6900 USD | ||||||||
ORD | Call Options | Selling | 135400 | 80 USD | American | 41776 | 1.7500 USD | ||||||||
ORD | Call Options | Selling | 3700 | 80 USD | American | 41811 | 3.2043 USD | ||||||||
ORD | Call Options | Selling | 500 | 90 USD | American | 41776 | 0.0500 USD | ||||||||
ORD | Put Options | Purchasing | 2900 | 80 USD | American | 41776 | 1.6775 USD | ||||||||
ORD | Put Options | Purchasing | 500 | 80 USD | American | 41811 | 3.2600 USD | ||||||||
ORD | Put Options | Selling | 1000 | 62.5 USD | American | 41930 | 1.0000 USD | ||||||||
ORD | Put Options | Selling | 500 | 65 USD | American | 41839 | 0.6500 USD | ||||||||
ORD | Put Options | Selling | 1000 | 65 USD | American | 42021 | 1.4000 USD | ||||||||
ORD | Put Options | Selling | 1000 | 70 USD | American | 41811 | 0.7200 USD | ||||||||
ORD | Put Options | Selling | 700 | 75 USD | American | 41811 | 1.5714 USD | ||||||||
ORD | Put Options | Selling | 18000 | 75 USD | American | 41839 | 2.4802 USD | ||||||||
ORD | Put Options | Selling | 500 | 77.5 USD | American | 41811 | 2.2600 USD | ||||||||
ORD | Put Options | Selling | 100 | 80 USD | American | 41811 | 3.7000 USD |
(ii) Exercising
Class of relevant security | Â |
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 | Â |
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†|
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†|
NONE |
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? | Â | YES |
Date of disclosure: | 7 May 2014 | |
Contact name: | Rajesh Muthanna | |
Telephone number: | 020 3555 4634 |
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.
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 “Codeâ€)
1. KEY INFORMATION
Identity of the person whose positions/dealings | Â | Barclays PLC. | |
are being disclosed: | Â | ||
Name of offeror/offeree in relation to whose | ASTRAZENECA PLC | ||
relevant securities this from relates: | Â |
2. OPTIONS AND DERIVATIVES
Class | Â | Product | Â | Writing, | Â | Number | Â | Exercise | Â | Type | Â | Expiry | |
of | description | purchasing, | of | price | date | ||||||||
relevant | selling, | securities | per unit | ||||||||||
security | varying etc | to which | |||||||||||
option | |||||||||||||
 |  |  | relates |  |  |  | |||||||
ORD | Futures | Purchased | 21,000 | 3749.5637 | Â | 18 Jul 2014 | |||||||
ORD | Call Options | Purchased | 150,000 | 4200.0000 | American | 20 Jun 2014 | |||||||
ORD | Put Options | Purchased | -100 | 25.0000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Purchased | -400 | 30.0000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Purchased | -1,300 | 30.0000 | American | 15 Jan 2016 | |||||||
ORD | Put Options | Purchased | -700 | 35.0000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Purchased | -1,100 | 37.5000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Purchased | -1,100 | 40.0000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Purchased | -200 | 42.5000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Purchased | -6,200 | 47.5000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Purchased | -100 | 50.0000 | American | 15 Jan 2016 | |||||||
ORD | Put Options | Purchased | -400 | 55.0000 | American | 15 Jan 2016 | |||||||
ORD | Put Options | Purchased | -100 | 60.0000 | American | 21 Jun 2014 | |||||||
ORD | Put Options | Purchased | -600 | 60.0000 | American | 18 Oct 2014 | |||||||
ORD | Put Options | Purchased | -700 | 65.0000 | American | 21 Jun 2014 | |||||||
ORD | Put Options | Purchased | -900 | 65.0000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Purchased | -13,500 | 67.5000 | American | 21 Jun 2014 | |||||||
ORD | Put Options | Purchased | -1,600 | 67.5000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Purchased | -1,000 | 70.0000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Purchased | -280,000 | 72.5000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Purchased | -148,400 | 75.0000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Purchased | -1,000 | 77.5000 | American | 17 May 2014 | |||||||
ORD | Put Options | Purchased | -7,000 | 80.0000 | American | 16 May 2014 | |||||||
ORD | Put Options | Purchased | -13,200 | 80.0000 | American | 17 May 2014 | |||||||
ORD | Put Options | Purchased | -3,000 | 80.0000 | American | 20 Jun 2014 | |||||||
ORD | Put Options | Purchased | -2,000 | 80.0000 | American | 21 Jun 2014 | |||||||
ORD | Put Options | Purchased | -1,343 | 80.0000 | American | 18 Jul 2014 | |||||||
ORD | Put Options | Purchased | -5,300 | 80.0000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Purchased | -4,600 | 85.0000 | American | 18 Oct 2014 | |||||||
ORD | Call Options | Purchased | 3,000 | 55.0000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Purchased | 200 | 60.0000 | American | 15 Jan 2016 | |||||||
ORD | Call Options | Purchased | 500 | 62.5000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Purchased | 300 | 65.0000 | American | 17 May 2014 | |||||||
ORD | Call Options | Purchased | 1,400 | 65.0000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Purchased | 400 | 67.5000 | American | 17 May 2014 | |||||||
ORD | Call Options | Purchased | 198,200 | 67.5000 | American | 21 Jun 2014 | |||||||
ORD | Call Options | Purchased | 10,000 | 67.5000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Purchased | 13,800 | 70.0000 | American | 21 Jun 2014 | |||||||
ORD | Call Options | Purchased | 10,200 | 70.0000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Purchased | 100 | 70.0000 | American | 15 Jan 2016 | |||||||
ORD | Call Options | Purchased | 1,000 | 75.0000 | American | 17 May 2014 | |||||||
ORD | Call Options | Purchased | 2,400 | 75.0000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Purchased | 500 | 77.5000 | American | 17 May 2014 | |||||||
ORD | Call Options | Purchased | 10,200 | 80.0000 | American | 17 May 2014 | |||||||
ORD | Call Options | Purchased | 3,000 | 80.0000 | American | 20 Jun 2014 | |||||||
ORD | Call Options | Purchased | 1,300 | 80.0000 | American | 21 Jun 2014 | |||||||
ORD | Call Options | Purchased | 1,343 | 80.0000 | American | 18 Jul 2014 | |||||||
ORD | Call Options | Purchased | 500 | 82.5000 | American | 17 May 2014 | |||||||
ORD | Call Options | Purchased | 1,791 | 85.0000 | American | 16 May 2014 | |||||||
ORD | Call Options | Purchased | 10,600 | 85.0000 | American | 21 Jun 2014 | |||||||
ORD | Call Options | Purchased | 6,400 | 85.0000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Purchased | 2,700 | 85.0000 | American | 18 Oct 2014 | |||||||
ORD | Call Options | Purchased | 4,100 | 85.0000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Purchased | 1,000 | 87.5000 | American | 21 Jun 2014 | |||||||
ORD | Call Options | Purchased | 12,700 | 90.0000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Purchased | 800 | 90.0000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Purchased | 8,700 | 95.0000 | American | 18 Oct 2014 | |||||||
ORD | Futures | Selling | -150,000 | 2.4600 | Â | 18 Dec 2015 | |||||||
ORD | Futures | Selling | -69,000 | 3418.3728 | Â | 16 May 2014 | |||||||
ORD | Call Options | Written | -150,000 | 4200.0000 | American | 19 Sep 2014 | |||||||
ORD | Call Options | Written | -7,000 | 4400.0000 | American | 20 Jun 2014 | |||||||
ORD | Call Options | Written | -45,000 | 4500.0000 | American | 20 Jun 2014 | |||||||
ORD | Put Options | Written | 600 | 35.0000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Written | 300 | 35.0000 | American | 15 Jan 2016 | |||||||
ORD | Put Options | Written | 1,500 | 40.0000 | American | 15 Jan 2016 | |||||||
ORD | Put Options | Written | 2,000 | 45.0000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Written | 100 | 47.5000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Written | 300 | 50.0000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Written | 300 | 52.5000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Written | 2,400 | 55.0000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Written | 200 | 55.0000 | American | 18 Oct 2014 | |||||||
ORD | Put Options | Written | 400 | 57.5000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Written | 1,500 | 57.5000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Written | 1,800 | 60.0000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Written | 6,400 | 60.0000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Written | 5,000 | 62.5000 | American | 21 Jun 2014 | |||||||
ORD | Put Options | Written | 1,000 | 62.5000 | American | 18 Oct 2014 | |||||||
ORD | Put Options | Written | 7,000 | 62.5000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Written | 2,500 | 65.0000 | American | 18 Oct 2014 | |||||||
ORD | Put Options | Written | 6,300 | 65.0000 | American | 17 Jan 2015 | |||||||
ORD | Put Options | Written | 4,500 | 67.5000 | American | 18 Oct 2014 | |||||||
ORD | Put Options | Written | 1,000 | 70.0000 | American | 21 Jun 2014 | |||||||
ORD | Put Options | Written | 2,100 | 70.0000 | American | 18 Oct 2014 | |||||||
ORD | Put Options | Written | 100 | 72.5000 | American | 17 May 2014 | |||||||
ORD | Put Options | Written | 700 | 72.5000 | American | 21 Jun 2014 | |||||||
ORD | Put Options | Written | 19,600 | 72.5000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Written | 5,400 | 75.0000 | American | 17 May 2014 | |||||||
ORD | Put Options | Written | 7,800 | 75.0000 | American | 21 Jun 2014 | |||||||
ORD | Put Options | Written | 4,791 | 75.0000 | American | 18 Jul 2014 | |||||||
ORD | Put Options | Written | 20,800 | 75.0000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Written | 264,800 | 77.5000 | American | 17 May 2014 | |||||||
ORD | Put Options | Written | 1,100 | 77.5000 | American | 21 Jun 2014 | |||||||
ORD | Put Options | Written | 3,582 | 77.5000 | American | 18 Jul 2014 | |||||||
ORD | Put Options | Written | 3,900 | 77.5000 | American | 19 Jul 2014 | |||||||
ORD | Put Options | Written | 256,900 | 80.0000 | American | 17 May 2014 | |||||||
ORD | Put Options | Written | 52,700 | 80.0000 | American | 21 Jun 2014 | |||||||
ORD | Call Options | Written | -300 | 52.5000 | American | 15 Jan 2016 | |||||||
ORD | Call Options | Written | -200 | 57.5000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Written | -800 | 60.0000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Written | -3,000 | 60.0000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Written | -1,500 | 62.5000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Written | -13,500 | 65.0000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Written | -400 | 65.0000 | American | 15 Jan 2016 | |||||||
ORD | Call Options | Written | -500 | 67.5000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Written | -100 | 67.5000 | American | 18 Oct 2014 | |||||||
ORD | Call Options | Written | -500 | 67.5000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Written | -1,000 | 70.0000 | American | 17 May 2014 | |||||||
ORD | Call Options | Written | -100 | 70.0000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Written | -2,100 | 70.0000 | American | 18 Oct 2014 | |||||||
ORD | Call Options | Written | -7,900 | 70.0000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Written | -500 | 72.5000 | American | 17 May 2014 | |||||||
ORD | Call Options | Written | -3,600 | 72.5000 | American | 21 Jun 2014 | |||||||
ORD | Call Options | Written | -7,400 | 72.5000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Written | -2,200 | 72.5000 | American | 18 Oct 2014 | |||||||
ORD | Call Options | Written | -100 | 72.5000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Written | -10,200 | 75.0000 | American | 21 Jun 2014 | |||||||
ORD | Call Options | Written | -3,600 | 75.0000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Written | -1,000 | 75.0000 | American | 18 Oct 2014 | |||||||
ORD | Call Options | Written | -15,400 | 77.5000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Written | -2,000 | 77.5000 | American | 18 Oct 2014 | |||||||
ORD | Call Options | Written | -143,500 | 80.0000 | American | 17 May 2014 | |||||||
ORD | Call Options | Written | -9,500 | 80.0000 | American | 21 Jun 2014 | |||||||
ORD | Call Options | Written | -111,400 | 80.0000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Written | -400 | 80.0000 | American | 18 Oct 2014 | |||||||
ORD | Call Options | Written | -5,600 | 80.0000 | American | 17 Jan 2015 | |||||||
ORD | Call Options | Written | -1,000 | 80.0000 | American | 15 Jan 2016 | |||||||
ORD | Call Options | Written | -306,400 | 82.5000 | American | 17 May 2014 | |||||||
ORD | Call Options | Written | -1,000 | 82.5000 | American | 21 Jun 2014 | |||||||
ORD | Call Options | Written | -12,900 | 85.0000 | American | 17 May 2014 | |||||||
ORD | Call Options | Written | -22,900 | 85.0000 | American | 21 Jun 2014 | |||||||
ORD | Call Options | Written | -155,000 | 85.0000 | American | 19 Jul 2014 | |||||||
ORD | Call Options | Written | -500 | 90.0000 | American | 17 May 2014 | |||||||
ORD | Call Options | Written | -700 | 90.0000 | American | 21 Jun 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 (“CFDsâ€) 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.