REG - Morgan Stanley & Co. Unilever PLC Unilever NV. - Form 8.5 (EPT/RI) - Unilever Plc and Unilever N.V. <Origin Href="QuoteRef">ULVR.L</Origin> <Origin Href="QuoteRef">UNc.AS</Origin>

UnileverAnnouncement

20/02/2017 10:40

RNS Number : 3066X
Morgan Stanley & Co. Int'l plc
20 February 2017
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
Unilever Plc and Unilever N.V.
(c) Name of the party to the offer with which exempt principal trader is connected:
Unilever Plc and Unilever N.V.
(d) Date dealing undertaken:
17 FEBRUARY 2017
(e)Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer?
Yes 
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
ADRs
PURCHASES
382,790
46.4483 USD
46.4483 USD
ADRs
SALES
382,790
46.4483 USD
46.4483 USD
EUR 0.16 ordinary
PURCHASES
4,720
44.7650 EUR
42.2906 EUR
EUR 0.16 ordinary
SALES
4,150
44.7271 EUR
39.8000 EUR
New York registry
PURCHASES
25,580
46.8300 USD
46.6500 USD
New York registry
SALES
25,580
46.8300 USD
46.6852 USD
ODRs
PURCHASES
13,361,311
44.9050 EUR
23.8300 EUR
ODRs
SALES
12,510,398
44.9150 EUR
23.4100 EUR
ODRs
PURCHASES
88,146
47.2221 USD
46.7155 USD
ODRs
SALES
83,751
46.6747 USD
46.6747 USD
3 1_9p ordinary
PURCHASES
5,809,979
38.4700 GBP
33.4450 GBP
3 1_9p ordinary
SALES
4,555,115
38.4700 GBP
33.4300 GBP
3 1_9p ordinary
PURCHASES
84,635
47.0122 USD
47.0122 USD
3 1_9p ordinary
SALES
589,074
47.2495 USD
46.3948 USD
(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
ADRs
CFD
LONG
3,000
44.3000 USD
ADRs
CFD
LONG
11,890
45.1587 USD
ADRs
CFD
LONG
26
46.3800 USD
ADRs
CFD
LONG
174
46.3800 USD
ADRs
CFD
LONG
3,000
46.9400 USD
ADRs
CFD
LONG
200
47.8400 USD
ADRs
CFD
LONG
1,300
48.1000 USD
ADRs
CFD
LONG
1,797
48.5300 USD
ADRs
CFD
LONG
2,195
48.5300 USD
ADRs
CFD
SHORT
26
46.3100 USD
ADRs
CFD
SHORT
200
47.2625 USD
ADRs
CFD
SHORT
174
47.2625 USD
ADRs
CFD
SHORT
3,267
48.5300 USD
New York registry
CFD
LONG
5,000
43.6380 USD
New York registry
CFD
LONG
1,200
43.9300 USD
New York registry
CFD
LONG
2,500
43.9684 USD
New York registry
CFD
LONG
2,500
44.0000 USD
New York registry
CFD
LONG
11,000
44.0835 USD
New York registry
CFD
LONG
7,410
45.2389 USD
New York registry
CFD
LONG
5,000
45.7590 USD
New York registry
CFD
LONG
6,500
46.0000 USD
New York registry
CFD
LONG
2,590
46.0004 USD
New York registry
CFD
LONG
6,250
46.0718 USD
New York registry
CFD
LONG
5,000
46.0916 USD
New York registry
CFD
LONG
7,000
46.1081 USD
New York registry
CFD
LONG
5,000
46.1562 USD
New York registry
CFD
LONG
1,000
46.2580 USD
New York registry
CFD
LONG
2,182
48.7900 USD
New York registry
CFD
LONG
1,787
48.7900 USD
New York registry
CFD
SHORT
3,000
46.7697 USD
New York registry
CFD
SHORT
1,000
47.7900 USD
New York registry
CFD
SHORT
200
47.7900 USD
New York registry
CFD
SHORT
4,284
48.7900 USD
ADRs
CFD
LONG
2,000,000
2.7125 USD
(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
ODRs
CALL
PURCHASE 
100
40.0000
A
17/03/2017
0.7000 EUR
ODRs
CALL
PURCHASE 
19,000
46.0000
A
21/04/2017
0.8700 EUR
ODRs
CALL
PURCHASE 
20,000
46.0000
A
21/04/2017
0.8800 EUR
ODRs
CALL
PURCHASE 
3,100
46.0000
A
21/04/2017
1.0000 EUR
ODRs
CALL
PURCHASE 
40,000
46.0000
A
21/04/2017
1.1200 EUR
ODRs
CALL
SALE 
9,900
42.0000
A
17/03/2017
0.2000 EUR
ODRs
CALL
SALE 
100
40.0000
A
17/03/2017
1.9400 EUR
ODRs
PUT
PURCHASE 
2,300
32.0000
A
15/12/2017
0.7200 EUR
ODRs
PUT
PURCHASE 
2,300
34.0000
A
15/12/2017
1.1100 EUR
ODRs
PUT
PURCHASE 
8,300
34.0000
A
15/12/2017
1.1200 EUR
ODRs
PUT
PURCHASE 
3,300
34.0000
A
15/12/2017
1.1200 EUR
ODRs
PUT
PURCHASE 
10,600
35.0000
A
15/12/2017
1.3700 EUR
ODRs
PUT
PURCHASE 
18,700
35.0000
A
15/12/2017
1.3800 EUR
ODRs
PUT
SALE 
150,000
39.0000
A
17/03/2017
0.6100 EUR
ODRs
CALL
SALE 
16,900
48.0000
A
21/04/2017
0.5300 EUR
ODRs
CALL
SALE 
96,800
48.0000
A
21/04/2017
0.5300 EUR
ODRs
CALL
SALE 
180,300
48.0000
A
21/04/2017
0.5300 EUR
ODRs
CALL
SALE 
133,700
48.0000
A
21/04/2017
0.5300 
EUR
ODRs
CALL
SALE 
63,900
48.0000
A
21/04/2017
0.5300
EUR
ODRs
CALL
SALE 
900
48.0000
A
21/04/2017
0.5300
EUR
ODRs
CALL
SALE 
29,500
48.0000
A
21/04/2017
0.5300
EUR
ODRs
CALL
SALE 
52,800
48.0000
A
21/04/2017
0.5300
EUR
ODRs
CALL
SALE 
35,000
48.0000
A
21/04/2017
0.5300
EUR
ODRs
CALL
SALE 
28,800
48.0000
A
21/04/2017
0.5300
EUR
3 1_9p ordinary
CALL
PURCHASE 
5,000
3,500.0000
A
17/03/2017
0.3400 GBP
3 1_9p ordinary
CALL
SALE 
4,000
3,500.0000
A
17/03/2017
2.8000 GBP
3 1_9p ordinary
CALL
SALE 
1,000
3,500.0000
A
17/03/2017
2.8000 GBP
ODRs
PUT
PURCHASE 
11,300
35.0000
A
15/12/2017
1.3700 EUR
ODRs
PUT
PURCHASE 
7,800
35.0000
A
15/12/2017
1.3800 EUR
ODRs
PUT
PURCHASE 
100,000
40.0000
A
15/12/2017
1.7000 EUR
ODRs
PUT
PURCHASE 
200,000
40.0000
A
15/12/2017
1.7000 EUR
ODRs
CALL
PURCHASE 
41,500
42.0000
A
15/12/2017
2.4000 EUR
ODRs
CALL
PURCHASE 
8,500
42.0000
A
15/12/2017
2.4000 EUR
ODRs
CALL
PURCHASE 
41,500
42.0000
A
15/12/2017
5.0000 EUR
ODRs
CALL
SALE 
300
39.0000
A
17/02/2017
0.0000 EUR
ODRs
CALL
SALE 
41,400
48.0000
A
21/04/2017
0.5300 EUR
ODRs
CALL
SALE 
41,500
42.0000
A
15/12/2017
5.0000 EUR
3 1_9p ordinary
CALL
PURCHASE 
10,000
3,600.0000
A
17/03/2017
0.1700 GBP
3 1_9p ordinary
CALL
SALE 
25,000
3,600.0000
A
17/03/2017
1.7000 GBP
3 1_9p ordinary
CALL
SALE 
20,000
3,600.0000
A
17/03/2017
1.8000 GBP
3 1_9p ordinary
CALL
SALE 
5,000
3,600.0000
A
17/03/2017
1.8000 GBP
3 1_9p ordinary
CALL
SALE 
5,000
3,600.0000
A
17/03/2017
2.0000 GBP
3 1_9p ordinary
CALL
SALE 
2,000
3,600.0000
A
17/03/2017
2.2500 GBP
3 1_9p ordinary
CALL
SALE 
3,000
3,600.0000
A
17/03/2017
2.2500 GBP
(ii) Exercise
Class of relevant security
Product description e.g. call option
Number of securities
Exercise price per unit
ODRs
PUT
300,000
38.0000 EUR
ODRs
PUT
75,000
39.0000 EUR
ODRs
CALL
2,000
40.0000 EUR
ODRs
CALL
75,000
39.0000 EUR
ODRs
PUT
200,000
38.0000 EUR
(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 
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:
20 FEBRUARY 2017
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.

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