Morgan Stanley Capital Services LLC Form 8.5 (EPT/RI) - Aviva Plc (7543E)
12 2월 2015 - 8:49PM
UK Regulatory
TIDMAV.A
RNS Number : 7543E
Morgan Stanley Capital Services LLC
12 February 2015
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: 11 FEBRUARY 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 Purchases/sales Total number Highest Lowest price
relevant of securities price per per unit
security unit paid/received paid/received
---------- ---------------- --------------- -------------------- ---------------
ADRs PURCHASES 2,341 16.3400 16.2400
USD USD
---------- ---------------- --------------- -------------------- ---------------
ADRs SALES 100 16.3100 16.3100
USD USD
---------- ---------------- --------------- -------------------- ---------------
(b) Cash-settled derivative transactions
Class of Product Nature of Number of Price
relevant description dealing reference per unit
security e.g. CFD e.g. opening/closing securities
a long/short
position, increasing/reducing
a long/short
position
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD LONG 40,594 5.3145
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD LONG 5,850 5.3196
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD LONG 1,195 5.3210
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD LONG 900 5.3210
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD LONG 95,123 5.3293
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD LONG 184,000 5.3375
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD LONG 18,457 5.3490
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 167 5.3050
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 7 5.3050
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 5 5.3050
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 290 5.3176
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 13,030 5.3182
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 17,033 5.3185
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 22,583 5.3185
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 1 5.3200
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 2 5.3200
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 178 5.3200
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 28 5.3200
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 226 5.3279
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 430 5.3571
GBP
------------- ------------- ------------------------------- ------------ ----------
25p ordinary CFD SHORT 5,924 5.3646
GBP
------------- ------------- ------------------------------- ------------ ----------
ADRs CFD LONG 100 16.3100
USD
------------- ------------- ------------------------------- ------------ ----------
ADRs CFD SHORT 2,341 16.2926
USD
------------- ------------- ------------------------------- ------------ ----------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry Option
of relevant description purchasing, of securities price e.g. date money
security e.g. selling, to which per unit American, paid/
call varying option European received
option etc. relates etc. per unit
------------- ------------- ------------- --------------- ---------- ----------- ------- ----------
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 Exercise price
security e.g. call option securities per unit
------------------ -------------------- ------------ ---------------
N/A N/A N/A N/A
------------------ -------------------- ------------ ---------------
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of Details Price per
security dealing e.g. unit (if applicable)
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: 12 FEBRUARY 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
FERDMGMZMZKGKZM
Aviva 8 3/4% Pf (LSE:AV.A)
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