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

Hong Kong Exchanges and ClearingAnnouncement

07/10/2019 11:05

RNS Number : 9917O
Morgan Stanley
07 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


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"


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


0.00


0


0.00




 (2) Cash-settled derivatives:


0


0.00


0


0.00




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


0


0.00


0


0.00




  TOTAL:


0


0.00


0


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


261,563


 229.0000 HKD


 224.2000 HKD




 ordinary NPV


 SALES


261,563


 229.0000 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
 
HKD




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


200,000


0.1950




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


1,000,000


0.1900




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


2,000,000


0.1890




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


500,000


0.1800




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


200,000


0.1790




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


6,600,000


0.1787




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


700,000


0.1760




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


400,000


0.1720




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


1,120,000


0.1700




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


250,000


0.1610




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


200,000


0.1600




ordinary NPV


HKEX - CBBC (BEAR) - 56117


SHORT


30,000


0.1560




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


500,000


0.1920




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


200,000


0.1910




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


500,000


0.1880




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


2,000,000


0.1830




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


700,000


0.1810




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


6,600,000


0.1806




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


500,000


0.1800




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


200,000


0.1760




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


750,000


0.1750




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


500,000


0.1650




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


200,000


0.1640




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


300,000


0.1620




ordinary NPV


HKEX - CBBC (BEAR) - 56117


LONG


250,000


0.1530




ordinary NPV


HKEX - CBBC (BULL) - 56118


SHORT


1,080,000


0.1480




ordinary NPV


HKEX - CBBC (BULL) - 56118


SHORT


10,000


0.1430




ordinary NPV


HKEX - CBBC (BULL) - 56118


SHORT


400,000


0.1400




ordinary NPV


HKEX - CBBC (BULL) - 56118


SHORT


1,120,000


0.1380




ordinary NPV


HKEX - CBBC (BULL) - 56118


SHORT


120,000


0.1360




ordinary NPV


HKEX - CBBC (BULL) - 56118


SHORT


8,990,000


0.1351




ordinary NPV


HKEX - CBBC (BULL) - 56118


SHORT


150,000


0.1330




ordinary NPV


HKEX - CBBC (BULL) - 56118


SHORT


150,000


0.1220




ordinary NPV


HKEX - CBBC (BULL) - 56118


SHORT


450,000


0.1200




ordinary NPV


HKEX - CBBC (BULL) - 56118


SHORT


150,000


0.1170




ordinary NPV


HKEX - CBBC (BULL) - 56118


SHORT


730,000


0.1080




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


380,000


0.1450




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


3,900,000


0.1430




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


1,000,000


0.1400




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


550,000


0.1390




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


450,000


0.1370




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


500,000


0.1360




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


150,000


0.1350




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


4,360,000


0.1322




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


520,000


0.1320




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


170,000


0.1220




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


300,000


0.1160




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


150,000


0.1150




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


150,000


0.1100




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


280,000


0.1040




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


150,000


0.1030




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


120,000


0.1020




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


60,000


0.1010




ordinary NPV


HKEX - CBBC (BULL) - 56118


LONG


160,000


0.0940




ordinary NPV


HKEX - CBBC (BULL) - 56553


SHORT


300,000


0.2500




ordinary NPV


HKEX - CBBC (BULL) - 56553


SHORT


300,000


0.2420




ordinary NPV


HKEX - CBBC (BULL) - 56553


SHORT


100,000


0.2350




ordinary NPV


HKEX - CBBC (BULL) - 56553


SHORT


300,000


0.2250




ordinary NPV


HKEX - CBBC (BULL) - 56553


SHORT


1,500,000


0.2230




ordinary NPV


HKEX - CBBC (BULL) - 56553


SHORT


300,000


0.2130




ordinary NPV


HKEX - CBBC (BULL) - 56553


SHORT


300,000


0.2070




ordinary NPV


HKEX - CBBC (BULL) - 56553


LONG


300,000


0.2460




ordinary NPV


HKEX - CBBC (BULL) - 56553


LONG


300,000


0.2440




ordinary NPV


HKEX - CBBC (BULL) - 56553


LONG


1,600,000


0.2278




ordinary NPV


HKEX - CBBC (BULL) - 56553


LONG


300,000


0.2210




ordinary NPV


HKEX - CBBC (BULL) - 56553


LONG


300,000


0.2030




ordinary NPV


HKEX - CBBC (BULL) - 56553


LONG


300,000


0.2010



 
(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:


 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 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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