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Form 8.5 (EPT/RI) - Unilever Plc and Unilever N.V.

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By LSE RNS

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

(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.

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

END

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