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

Hong Kong Exchanges and ClearingAnnouncement

03/10/2019 11:50

RNS Number : 6921O
Morgan Stanley
03 October 2019
 


 
 FORM 8.5 (EPT/NON-RI)
 
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
 
1.         KEY INFORMATION
 




(a) Name of exempt principal trader:


Morgan Stanley Hong Kong Securities Limited




(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 position held/dealing undertaken
     For an opening position disclosure, state the latest practicable date prior to the disclosure


02 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"


No




 
 
2.         POSITIONS OF THE EXEMPT PRINCIPAL TRADER
 
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(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
 
 (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:


ordinary NPV




 


 Interests


Short positions
 




 Number


  %


Number


  %




 (1) Relevant securities owned  and/or controlled:


0.00


0.00%


0.00


0.00%




 (2) Cash-settled derivatives:


0.00


0.00%


0.00


0.00%




 (3) Stock-settled derivatives (including options) and  agreements to purchase/sell:


0.00


0.00%


0.00


0.00%




  TOTAL:


0.00


0.00%


0.00


0.00%




 
 
All interests and all short positions should be disclosed.
 
Details of any open stock-settled derivative positions (including traded options), 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 employee options)
 




 Class of relevant security in relation to which subscription right exists:


 N/A




 Details, including nature of the rights concerned and relevant percentages:


 N/A




 
 
3.         DEALINGS (IF ANY) 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 3(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


 1,136,146


 228.4000 HKD


 225.4000 HKD




 ordinary NPV


 SALES


 1,136,146


 228.6000 HKD


     225.4000 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
HKD




ordinary NPV


HKEX - CBBC (BEAR) -56117


SHORT


400,000


0.1880




ordinary NPV


HKEX - CBBC (BEAR) -56117


SHORT


500,000


0.1820




ordinary NPV


HKEX - CBBC (BEAR) -56117


SHORT


1,670,000


0.1730




ordinary NPV


HKEX - CBBC (BEAR) -56117


SHORT


400,000


0.1680




ordinary NPV


HKEX - CBBC (BEAR) -56117


SHORT


150,000


0.1660




ordinary NPV


HKEX - CBBC (BEAR) -56117


SHORT


200,000


0.1620




ordinary NPV


HKEX - CBBC (BEAR) -56117


LONG


400,000


0.1840




ordinary NPV


HKEX - CBBC (BEAR) -56117


LONG


500,000


0.1780




ordinary NPV


HKEX - CBBC (BEAR) -56117


LONG


1,650,000


0.1761




ordinary NPV


HKEX - CBBC (BEAR) -56117


LONG


20,000


0.1760




ordinary NPV


HKEX - CBBC (BEAR) -56117


LONG


550,000


0.1660




ordinary NPV


HKEX - CBBC (BEAR) -56117


LONG


200,000


0.1580




ordinary NPV


HKEX - CBBC (BULL) -56118


SHORT


400,000


0.1360




ordinary NPV


HKEX - CBBC (BULL) -56118


SHORT


800,000


0.1320




ordinary NPV


HKEX - CBBC (BULL) -56118


SHORT


400,000


0.1310




ordinary NPV


HKEX - CBBC (BULL) -56118


SHORT


5,940,000


0.1222




ordinary NPV


HKEX - CBBC (BULL) -56118


SHORT


50,000


0.1220




ordinary NPV


HKEX - CBBC (BULL) -56118


SHORT


700,000


0.1210




ordinary NPV


HKEX - CBBC (BULL) -56118


SHORT


400,000


0.1190




ordinary NPV


HKEX - CBBC (BULL) -56118


SHORT


150,000


0.1170




ordinary NPV


HKEX - CBBC (BULL) -56118


SHORT


1,500,000


0.1150




ordinary NPV


HKEX - CBBC (BULL) -56118


SHORT


330,000


0.1130




ordinary NPV


HKEX - CBBC (BULL) -56118


SHORT


1,200,000


0.1120




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


400,000


0.1380




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


400,000


0.1330




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


450,000


0.1320




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


300,000


0.1310




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


400,000


0.1260




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


1,200,000


0.1220




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


5,930,000


0.1201




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


300,000


0.1200




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


400,000


0.1190




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


150,000


0.1180




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


420,000


0.1160




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


320,000


0.1150




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


800,000


0.1130




ordinary NPV


HKEX - CBBC (BULL) -56118


LONG


400,000


0.1120




ordinary NPV


HKEX - CBBC (BULL) -56553


SHORT


400,000


0.2400




ordinary NPV


HKEX - CBBC (BULL) -56553


SHORT


80,000


0.2370




ordinary NPV


HKEX - CBBC (BULL) -56553


SHORT


160,000


0.2260




ordinary NPV


HKEX - CBBC (BULL) -56553


SHORT


2,670,000


0.2243




ordinary NPV


HKEX - CBBC (BULL) -56553


SHORT


680,000


0.2240




ordinary NPV


HKEX - CBBC (BULL) -56553


SHORT


280,000


0.2220




ordinary NPV


HKEX - CBBC (BULL) -56553


SHORT


80,000


0.2210




ordinary NPV


HKEX - CBBC (BULL) -56553


SHORT


50,000


0.2200




ordinary NPV


HKEX - CBBC (BULL) -56553


SHORT


80,000


0.2180




ordinary NPV


HKEX - CBBC (BULL) -56553


SHORT


910,000


0.2170




ordinary NPV


HKEX - CBBC (BULL) -56553


LONG


10,000


0.2390




ordinary NPV


HKEX - CBBC (BULL) -56553


LONG


400,000


0.2370




ordinary NPV


HKEX - CBBC (BULL) -56553


LONG


80,000


0.2360




ordinary NPV


HKEX - CBBC (BULL) -56553


LONG


80,000


0.2310




ordinary NPV


HKEX - CBBC (BULL) -56553


LONG


80,000


0.2280




ordinary NPV


HKEX - CBBC (BULL) -56553


LONG


200,000


0.2270




ordinary NPV


HKEX - CBBC (BULL) -56553


LONG


280,000


0.2240




ordinary NPV


HKEX - CBBC (BULL) -56553


LONG


2,720,000


0.2239




ordinary NPV


HKEX - CBBC (BULL) -56553


LONG


560,000


0.2210




ordinary NPV


HKEX - CBBC (BULL) -56553


LONG


580,000


0.2190




ordinary NPV


HKEX - CBBC (BULL) -56553


LONG


400,000


0.2180




 
(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
 




 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  




 
 
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 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
 




 
(c)        Attachments
 




   Is a Supplemental Form 8 (Open Positions) attached?


                 NO  
 




 
 




 Date of disclosure:


 03 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 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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