Morgan Stanley Form 8.5 (EPT/NON-RI)- Replacement of Hong Kong Ex (1717N)
September 20 2019 - 9:15AM
UK Regulatory
TIDM43CT TIDMTTM
RNS Number : 1717N
Morgan Stanley
20 September 2019
AMMENT Section 3(b)
FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI")
STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: Morgan Stanley Hong Kong Securities Limited
(b) Name of offeror/offeree in relation to whose relevant securities Hong Kong Exchanges and Clearing Limited
this form relates:
Use a separate form for each offeror/offeree
--------------------------------------------
(c) Name of the party to the offer with which exempt principal trader London Stock Exchange Group plc
is connected:
--------------------------------------------
(d) Date position held/dealing undertaken 19 SEPTEMBER 2019
For an opening position disclosure, state the latest practicable date
prior to the disclosure
--------------------------------------------
(e) In addition to the company in 1(b) above, is the exempt principal No
trader making disclosures
in respect of any other party to this offer?
If it is a cash offer or possible cash offer, state "N/A"
--------------------------------------------
2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
If there are positions or rights to subscribe to disclose in
more than one class of relevant securities of the offeror or
offeree named in 1(b), copy table 2(a) or (b) (as appropriate) for
each additional class of relevant security.
(a) Interests and short positions in the relevant securities of
the offeror or offeree to which the disclosure relates following
the dealing (if any)
Class of relevant security: ordinary NPV
Interests Short positions
----------------- -----------------
Number % Number %
-------- ------- --------- ------
(1) Relevant securities owned
and/or controlled: 0 0.00% 0 0.00%
-------- ------- --------- ------
(2) Cash-settled derivatives: 0 0.00% 0 0.00%
-------- ------- --------- ------
(3) Stock-settled derivatives
(including options) and agreements
to purchase/sell: 0 0.00% 0 0.00%
-------- ------- --------- ------
TOTAL: 0 0.00% 0 0.00%
-------- ------- --------- ------
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions
(including traded options), or agreements to purchase or sell
relevant securities, should be given on a Supplemental Form 8 (Open
Positions).
(b) Rights to subscribe for new securities (including directors' and other employee options)
Class of relevant security in N/A
relation to which subscription
right exists:
Details, including nature of N/A
the rights concerned and relevant
percentages:
----
3. DEALINGS (IF ANY) 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 3(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 Purchases/ Total number Highest price Lowest price
relevant sales of securities per unit paid/received per unit paid/received
security
ordinary NPV PURCHASES 1,832,148 234.6000 HKD 229.6000 HKD
----------- --------------- ------------------------ ------------------------
ordinary NPV SALES 1,832,148 234.6000 HKD 229.2000 HKD
----------- --------------- ------------------------ ------------------------
(b) Cash-settled derivative transactions
Class of Product description Nature of dealing Number of reference Price per
relevant e.g. CFD e.g. opening/closing securities Unit (HKD)
security a long/short position,
increasing/reducing
a long/short position
HKEX - CBBC
ordinary NPV (BULL) -65541 LONG 100,000 0.1440
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BULL) -65541 LONG 100,000 0.1500
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BULL) -65541 SHORT 100,000 0.1440
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BULL) -65541 SHORT 100,000 0.1500
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BULL) -61077 LONG 300,000 0.0666
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BULL) -61077 SHORT 100,000 0.0660
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BULL) -61077 SHORT 200,000 0.0670
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BEAR) -52341 LONG 100,000 0.3350
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BEAR) -52341 LONG 100,000 0.3350
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BEAR) -52341 SHORT 100,000 0.3350
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BEAR) -52341 SHORT 100,000 0.3350
--------------------- ------------------------- -------------------- ------------
HKEX - WARRANT
ordinary NPV -22417 LONG 50,000 0.0480
--------------------- ------------------------- -------------------- ------------
HKEX - WARRANT
ordinary NPV -22417 SHORT 50,000 0.0480
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BULL) -55677 LONG 80,000 0.0530
--------------------- ------------------------- -------------------- ------------
HKEX - CBBC
ordinary NPV (BULL) -55677 SHORT 80,000 0.0530
--------------------- ------------------------- -------------------- ------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry Option
of description purchasing, of securities price e.g. American, date money paid/
relevant e.g. call selling, to which per unit European received
security option varying option etc. per unit
etc. relates
N/A N/A N/A N/A N/A N/A N/A N/A
------------- ------------- --------------- ---------- ---------------- ------- -------------
(ii) Exercise
Class of Product description Exercising/ Number of securities Exercise price
relevant e.g. call option exercised per unit
security against
N/A N/A N/A N/A N/A
-------------------- ------------ --------------------- ---------------
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of dealing Details Price per unit
security e.g. subscription, (if applicable)
conversion
N/A N/A N/A N/A
-------------------- -------- -----------------
4. 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:
Irrevocable commitments and letters of intent should not be included. 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
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
Date of disclosure: 20 SEPTEMBER 2019
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.
The Panel's Market Surveillance Unit is available for
consultation in relation to the Code's 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 news service of the
London Stock Exchange. RNS is approved by the Financial Conduct
Authority to act as a Primary Information Provider in the United
Kingdom. Terms and conditions relating to the use and distribution
of this information may apply. For further information, please
contact rns@lseg.com or visit www.rns.com.
END
FEOLLFLSAFIIFIA
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