Morgan Stanley Capital Services LLC Form 8.5 (EPT/RI) - Replacement Aviva Plc (7434I)
March 27 2015 - 10:48AM
UK Regulatory
TIDMAV.
RNS Number : 7434I
Morgan Stanley Capital Services LLC
27 March 2015
AMENDMENT (Section 2b)
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 Capital Services LLC
-------------------------------------------------------------------------------- ------------------------------------
(b) Name of offeror/offeree in relation to whose relevant securities this form Aviva Plc
relates:
Use a separate form for each offeror/offeree
-------------------------------------------------------------------------------- ------------------------------------
(c) Name of the party to the offer with which exempt principal trader is Aviva Plc
connected:
-------------------------------------------------------------------------------- ------------------------------------
(d) Date dealing undertaken: 25 MARCH 2015
-------------------------------------------------------------------------------- ------------------------------------
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code Yes
in respect
of any other party to this offer?
-------------------------------------------------------------------------------- ------------------------------------
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 Purchases/sales Total number Highest price Lowest price
security of securities per unit paid/received per unit paid/received
------------------ ---------------- --------------- ------------------------ ------------------------
ADRs PURCHASES 1,300 17.0000 USD 16.7700 USD
------------------ ---------------- --------------- ------------------------ ------------------------
ADRs SALES 100 16.7900 USD 16.7900 USD
------------------ ---------------- --------------- ------------------------ ------------------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per
security e.g. CFD e.g. opening/closing securities unit
a long/short position,
increasing/reducing
a long/short position
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD LONG 35,300 5.6315 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD LONG 6 5.6650 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD LONG 1 5.6650 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD LONG 13,400 5.6669 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD LONG 15,460 5.6720 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD LONG 1,550 5.6739 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD LONG 211 5.6750 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD LONG 65 5.6750 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD LONG 50 5.6750 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD LONG 24,253 5.6864 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 5,076 5.5182 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 50,395 5.5182 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 58,529 5.5182 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 7,614 5.5182 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 75,592 5.5182 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 87,794 5.5182 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 17,464 5.6443 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 23,151 5.6443 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 240 5.6568 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 251 5.6592 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 24,376 5.6614 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 2,114 5.6614 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 20,989 5.6614 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 21,000 5.7009 GBP
------------------ -------------------- ------------------------ -------------------- -----------
25p ordinary CFD SHORT 1,000 5.7100 GBP
------------------ -------------------- ------------------------ -------------------- -----------
ADRs CFD LONG 100 16.7900
USD
------------------ -------------------- ------------------------ -------------------- -----------
ADRs CFD SHORT 100 16.7700
USD
------------------ -------------------- ------------------------ -------------------- -----------
ADRs CFD SHORT 1,200 16.8800
USD
------------------ -------------------- ------------------------ -------------------- -----------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type e.g. Expiry Option
of relevant description purchasing, of securities price per American, date money paid/
security e.g. call selling, to which unit European received
option varying option etc. per unit
etc. relates
------------- ------------- ------------- --------------- ----------- ----------- ------- -------------
N/A N/A N/A N/A N/A N/A N/A N/A
------------- ------------- ------------- --------------- ----------- ----------- ------- -------------
(ii) Exercise
Class of relevant Product description Number of securities Exercise price
security e.g. call option per unit
------------------ -------------------- --------------------- ---------------
N/A N/A N/A N/A
------------------ -------------------- --------------------- ---------------
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of dealing Details Price per unit
security e.g. subscription, (if applicable)
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
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Date of disclosure: 27 MARCH 2015
--------------------- ------------------
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 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
END
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