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

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By LSE RNS

RNS Number : 3069X

Morgan Stanley & Co. 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 & Co. 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	7,344,347	48.8100 USD	42.5200 USD
ADRs	SALES	7,346,270	48.8100 USD	42.5200 USD
New York registry	PURCHASES	6,654,815	49.1600 USD	42.4100 USD
New York registry	SALES	6,594,004	49.1600 USD	42.4100 USD
ODRs	PURCHASES	1,177,977	44.8000 EUR	39.5396 EUR
ODRs	SALES	1,177,977	44.8000 EUR	39.5396 EUR
3 1_9p ordinary	PURCHASES	42,350	38.2000 GBP	33.5856 GBP
3 1_9p ordinary	SALES	42,350	38.1999 GBP	33.5852 GBP

(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

N/A

(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	100	47.5000	A	17/02/2017	0.1400 USD
ADRs	CALL	SALE	100	47.5000	A	17/02/2017	0.1400 USD
ADRs	CALL	SALE	100	47.5000	A	17/02/2017	0.1600 USD
ADRs	CALL	SALE	100	47.5000	A	17/02/2017	0.1600 USD
ADRs	CALL	SALE	100	47.5000	A	17/02/2017	0.1700 USD
ADRs	PUT	SALE	100	42.5000	A	19/05/2017	0.6800 USD
ODRs	CALL	PURCHASE	52,800	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	PURCHASE	29,500	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	PURCHASE	16,900	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	PURCHASE	900	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	PURCHASE	180,300	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	PURCHASE	96,800	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	PURCHASE	133,700	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	PURCHASE	63,900	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	PURCHASE	35,000	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	PURCHASE	28,800	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	SALE	16,900	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	29,500	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	96,800	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	SALE	28,800	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	180,300	48.0000	A	21/04/2017	0.5300 EUR
ODRs	CALL	SALE	900	48.0000	A	21/04/2017	0.5300 EUR
New York registry	PUT	PURCHASE	500	40.0000	A	18/08/2017	0.6700 USD
New York registry	CALL	SALE	500	45.0000	A	19/05/2017	3.8700 USD
ADRs	CALL	PURCHASE	400	50.0000	A	19/05/2017	0.7000 USD
ADRs	CALL	PURCHASE	1,000	50.0000	A	17/03/2017	0.8600 USD
ADRs	CALL	SALE	7,500	55.0000	A	17/03/2017	0.1500 USD
ADRs	CALL	SALE	100	50.0000	A	17/03/2017	0.8400 USD
ADRs	CALL	SALE	400	50.0000	A	19/05/2017	0.8400 USD
New York registry	CALL	PURCHASE	200	50.0000	A	17/03/2017	0.4600 USD
New York registry	PUT	PURCHASE	500	45.0000	A	17/03/2017	0.5300 USD
New York registry	CALL	PURCHASE	100	45.0000	A	17/03/2017	2.1400 USD
New York registry	CALL	PURCHASE	300	45.0000	A	17/03/2017	2.5100 USD
New York registry	CALL	SALE	200	55.0000	A	17/03/2017	0.0900 USD
New York registry	CALL	SALE	1,500	55.0000	A	17/03/2017	0.1400 USD
New York registry	CALL	SALE	200	50.0000	A	17/03/2017	0.4400 USD
New York registry	CALL	SALE	300	50.0000	A	17/03/2017	0.4400 USD
New York registry	CALL	SALE	400	50.0000	A	17/03/2017	1.1000 USD
New York registry	CALL	SALE	200	45.0000	A	18/08/2017	3.3800 USD
New York registry	CALL	SALE	200	45.0000	A	18/08/2017	3.3800 USD
New York registry	CALL	SALE	100	45.0000	A	17/02/2017	3.8200 USD
New York registry	CALL	SALE	100	45.0000	A	18/08/2017	5.2200 USD
ADRs	CALL	PURCHASE	100	42.5000	A	17/02/2017	3.8800 USD
ADRs	PUT	SALE	1,000	47.5000	A	17/02/2017	0.5000 USD
ADRs	CALL	SALE	900	42.5000	A	17/02/2017	4.5600 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.

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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