REG - Morgan Stanley Cap 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 10:45

RNS Number : 3070X
Morgan Stanley Capital Services LLC
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 Capital Services LLC
(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
56,376
48.8000 USD
46.0700 USD
ADRs
SALES
252,568
48.8100 USD
43.9800 USD
New York registry
PURCHASES
269,828
48.8400 USD
46.3400 USD
New York registry
SALES
259,395
49.1600 USD
43.6300 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
2,300
46.4660 USD
ADRs
CFD
LONG
15,000
46.4967 USD
ADRs
CFD
LONG
44,924
46.6641 USD
ADRs
CFD
LONG
779
46.7400 USD
ADRs
CFD
LONG
11,817
46.8076 USD
ADRs
CFD
LONG
3,000
46.9400 USD
ADRs
CFD
LONG
96
47.4238 USD
ADRs
CFD
LONG
35,479
47.4238 USD
ADRs
CFD
LONG
53,600
47.9162 USD
ADRs
CFD
LONG
53,600
47.9162 USD
ADRs
CFD
LONG
78,645
47.9163 USD
ADRs
CFD
LONG
1,300
48.1000 USD
ADRs
CFD
LONG
1,045
48.2746 USD
ADRs
CFD
LONG
800
48.2775 USD
ADRs
CFD
LONG
1,200
48.3356 USD
ADRs
CFD
LONG
2,534
48.3480 USD
ADRs
CFD
LONG
32,100
48.4789 USD
ADRs
CFD
LONG
612
48.5011 USD
ADRs
CFD
LONG
25,000
48.5300 USD
ADRs
CFD
LONG
1,797
48.5300 USD
ADRs
CFD
LONG
1,700
48.5630 USD
ADRs
CFD
SHORT
20,120
46.5620 USD
ADRs
CFD
SHORT
6,120
46.7777 USD
ADRs
CFD
SHORT
5,900
46.9404 USD
ADRs
CFD
SHORT
5,900
46.9404 USD
ADRs
CFD
SHORT
45,876
47.1093 USD
ADRs
CFD
SHORT
1,236
47.2500 USD
ADRs
CFD
SHORT
300
47.2500 USD
ADRs
CFD
SHORT
8,400
47.5766 USD
ADRs
CFD
SHORT
2,300
47.6254 USD
ADRs
CFD
SHORT
5,700
48.1106 USD
ADRs
CFD
SHORT
1,700
48.2889 USD
ADRs
CFD
SHORT
333
48.3448 USD
ADRs
CFD
SHORT
100
48.3700 USD
ADRs
CFD
SHORT
100
48.3700 USD
ADRs
CFD
SHORT
500
48.5300 USD
ADRs
CFD
SHORT
3,267
48.5300 USD
New York registry
CFD
LONG
11,000
44.0835 USD
New York registry
CFD
LONG
6,500
46.0000 USD
New York registry
CFD
LONG
674
46.8000 USD
New York registry
CFD
LONG
64,363
47.2709 USD
New York registry
CFD
LONG
36,301
47.2795 USD
New York registry
CFD
LONG
102,849
47.8004 USD
New York registry
CFD
LONG
4,526
47.9461 USD
New York registry
CFD
LONG
32,300
48.0455 USD
New York registry
CFD
LONG
32,300
48.0455 USD
New York registry
CFD
LONG
5,800
48.4432 USD
New York registry
CFD
LONG
3,600
48.5403 USD
New York registry
CFD
LONG
2,482
48.6291 USD
New York registry
CFD
LONG
1,200
48.6534 USD
New York registry
CFD
LONG
1,230
48.7189 USD
New York registry
CFD
LONG
500
48.7900 USD
New York registry
CFD
LONG
1,787
48.7900 USD
New York registry
CFD
LONG
23,500
48.8281 USD
New York registry
CFD
SHORT
15,400
46.6531 USD
New York registry
CFD
SHORT
5,900
46.7283 USD
New York registry
CFD
SHORT
5,900
46.7283 USD
New York registry
CFD
SHORT
300
46.9500 USD
New York registry
CFD
SHORT
26,070
46.9828 USD
New York registry
CFD
SHORT
3,600
47.2261 USD
New York registry
CFD
SHORT
4,370
47.5316 USD
New York registry
CFD
SHORT
2,400
47.7376 USD
New York registry
CFD
SHORT
700
48.4257 USD
New York registry
CFD
SHORT
700
48.4257 USD
New York registry
CFD
SHORT
2,900
48.7900 USD
New York registry
CFD
SHORT
4,284
48.7900 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
ADRs
CALL
SALE 
5,000
45.0000
A
17/03/2017
2.2500 USD
ADRs
CALL
SALE 
5,000
45.0000
A
17/03/2017
2.5000 USD
ADRs
CALL
SALE 
5,000
45.0000
A
17/03/2017
2.5000 USD
ADRs
CALL
SALE 
5,000
45.0000
A
17/03/2017
3.6000 USD
(ii) Exercise
Class of relevant security
Product description e.g. call option
Number of securities
Exercise price per unit
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 
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.

This information is provided by RNS
The company news service from the London Stock Exchange
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