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Morgan Stanley

Form 8.5 (EPT/RI) - Hong Kong Exchanges

Source: RNS
RNS Number : 9725M
Morgan Stanley & Co. Int'l plc
19 September 2019
 

 

 

 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 & Co. International plc

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

     Use a separate form for each offeror/offeree

Hong Kong Exchanges and Clearing Limited

(c) Name of the party to the offer with which exempt principal trader is connected:

London Stock Exchange Group plc

(d) Date dealing undertaken:

18 SEPTEMBER 2019

(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to this offer?

     If it is a cash offer or possible cash offer, state "N/A"

Yes- London Stock Exchange Group plc

 

 

 

2.         DEALINGS BY THE EXEMPT PRINCIPAL TRADER

 

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.

 

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

                                                                                                                                          

 

(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

 ordinary NPV

 PURCHASES

 90,464

 234.2110 HKD

 232.6909 HKD

 ordinary NPV

 SALES

 89,800

 234.6000 HKD

 232.6000 HKD

 

 

(b)        Cash-settled derivative transactions

 

 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

ordinary NPV

CFD

LONG

100

233.3017 HKD

ordinary NPV

CFD

LONG

400

233.3274 HKD

ordinary NPV

CFD

SHORT

300

233.2000 HKD

ordinary NPV

CFD

SHORT

200

233.4721 HKD

ordinary NPV

CFD

SHORT

10,800

233.4763 HKD

ordinary NPV

CFD

SHORT

200

233.7000 HKD

ordinary NPV

CFD

SHORT

2,700

233.7621 HKD

ordinary NPV

CFD

SHORT

10,000

233.8231 HKD

ordinary NPV

CFD

SHORT

64

233.8550 HKD

ordinary NPV

CFD

SHORT

1,700

233.8773 HKD

ordinary NPV

CFD

SHORT

200

234.0227 HKD

ordinary NPV

CFD

SHORT

1,200

234.2321 HKD

ordinary NPV

CFD

SHORT

100

234.2813 HKD

 

 

(c)        Stock-settled derivative transactions (including options)

 

(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

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

 

(ii)        Exercise

 

 Class of

relevant

security

 Product description

e.g. call option

 Exercising/

exercised

against

 Number of securities

 Exercise price

per unit

ordinary NPV

PUT LONG

Exercising

24,600

265.0000 USD

ordinary NPV

PUT SHORT

Exercised

against

350

262.0343 USD

ordinary NPV

PUT SHORT

Exercised

against

352

254.0113 USD

ordinary NPV

PUT LONG

Exercising

3,500

246.4229 USD

ordinary NPV

PUT SHORT

Exercised

against

3,500

246.4229 USD

 

(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  

 

 

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:

Irrevocable commitments and letters of intent should not be included.  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:

 19 SEPTEMBER 2019

 

 Contact name:

 Craig Horsley

 

 Telephone number:

 +44(141) 245 7736

 

 

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

 

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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