REG - Morgan Stanley & Co. Hong Kong Exc.& Clrg - Form 8.5 (EPT/RI) - Hong Kong Exchanges

Hong Kong Exchanges and ClearingAnnouncement

07/10/2019 11:05

RNS Number : 9915O
Morgan Stanley & Co. Int'l plc
07 October 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:


04 OCTOBER 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


 97,220


 229.0000 HKD


 224.4000 HKD




 ordinary NPV


 SALES


 99,520


 228.8000 HKD


 224.4000 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 (HKEX - CBBC (BEAR) - 56117)


LONG


6,570,000


0.1787 HKD




ordinary NPV


CFD (HKEX - CBBC (BEAR) - 56117)


LONG


30,000


0.1787 HKD




ordinary NPV


CFD (HKEX - CBBC (BEAR) - 56117)


SHORT


6,570,000


0.1806 HKD




ordinary NPV


CFD (HKEX - CBBC (BEAR) - 56117)


SHORT


30,000


0.1806 HKD




ordinary NPV


CFD (HKEX - CBBC (BULL) - 56118)


LONG


8,990,000


0.1351 HKD




ordinary NPV


CFD (HKEX - CBBC (BULL) - 56118)


SHORT


4,360,000


0.1323 HKD




ordinary NPV


CFD (HKEX - CBBC (BULL) - 56553)


LONG


1,430,000


0.2230 HKD




ordinary NPV


CFD (HKEX - CBBC (BULL) - 56553)


LONG


70,000


0.2230 HKD




ordinary NPV


CFD (HKEX - CBBC (BULL) - 56553)


SHORT


1,430,000


0.2279 HKD




ordinary NPV


CFD (HKEX - CBBC (BULL) - 56553)


SHORT


170,000


0.2279 HKD




ordinary NPV


CFD


LONG


300


225.9360 HKD




ordinary NPV


CFD


LONG


16,100


226.3220 HKD




ordinary NPV


CFD


LONG


800


227.5069 HKD




ordinary NPV


CFD


LONG


2,000


228.1982 HKD




ordinary NPV


CFD


SHORT


1,000


225.7632 HKD




ordinary NPV


CFD


SHORT


100


226.0000 HKD




ordinary NPV


CFD


SHORT


400


227.4000 HKD




ordinary NPV


CFD


SHORT


4,000


228.7830 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




 ordinary NPV


 PUT


 PURCHASE


 3,000


 270.0000


 A


 30/01/2020


 45.3400 HKD



 
(ii)        Exercise
 



 Class of
relevant
security


 Product description
e.g. call option


 Exercising/
exercised
against


 Number of securities


 Exercise price
per unit




 N/A


 N/A


 N/A


 N/A


 N/A  



 
(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:


 07 OCTOBER 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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