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

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By LSE RNS

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
 
END
 
 
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