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Friday 18 May, 2012

Goldman Sachs (EPT)

Form 8.5 (EPT/RI) - Amendment

RNS Number : 7022D
GoldmanSachs International
18 May 2012
 

Amendment - due to the amendment of Equity transactions, the disclosure made on 17 May for dealings on 14 May has been updated. Section 2(a) has been updated.

 

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:

(GS) GOLDMAN SACHS INTERNATIONAL

(b) Name of offeror/offeree in relation to whose relevant securities this form relates:

     Use a separate form for each offeror/offeree

GLENCORE INTERNATIONAL PLC

(c) Name of the party to the offer with which exempt principal trader is connected:

XSTRATA PLC

(d) Date dealing undertaken:

14 May 2012

(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer?

YES - disclosed previously for XSTRATA PLC

 

2.         DEALINGS BY THE EXEMPT PRINCIPAL TRADER

 

(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

USD 0.01 ordinary

Purchases

3,920,891
27,690
132,000

3.8320 GBP
60.1969 HKD
6.0000 USD

3.6930 GBP
45.1374 HKD
5.9990 USD

USD 0.01 ordinary

Sales

6,063,871
27,690
1,355,370

3.8130 GBP
60.1969 HKD
6.0500 USD

3.6900 GBP
45.1374 HKD
5.9600 USD

Convertible Bond

Purchases

6,000,000

123.1250 USD

122.7500 USD

Convertible Bond

Sales

6,000,000

123.3750 USD

123.1900 USD

 

 

(b)        Derivatives transactions (other than options)

 

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

USD 0.01 ordinary

CFD

Opening a long position

38,477

3.7118 GBP

USD 0.01 ordinary

CFD

Opening a long position

21,033

3.7118 GBP

USD 0.01 ordinary

CFD

Opening a long position

9,588

3.7118 GBP

USD 0.01 ordinary

CFD

Opening a long position

85,551

3.7118 GBP

USD 0.01 ordinary

CFD

Opening a short position

72,896

3.7167 GBP

USD 0.01 ordinary

CFD

Opening a long position

1,615,000

3.7184 GBP

USD 0.01 ordinary

CFD

Reducing a short position

4,328

3.7187 GBP

USD 0.01 ordinary

CFD

Reducing a short position

2,457

3.7187 GBP

USD 0.01 ordinary

CFD

Opening a short position

3,489

3.7201 GBP

USD 0.01 ordinary

CFD

Opening a short position

316

3.7201 GBP

USD 0.01 ordinary

CFD

Opening a long position

47,600

3.7227 GBP

USD 0.01 ordinary

CFD

Reducing a long position

1,500

3.7229 GBP

USD 0.01 ordinary

CFD

Opening a short position

4,161

3.7243 GBP

USD 0.01 ordinary

CFD

Opening a short position

1,687

3.7243 GBP

USD 0.01 ordinary

CFD

Reducing a long position

20,126

3.7291 GBP

USD 0.01 ordinary

CFD

Reducing a long position

25,000

3.7350 GBP

USD 0.01 ordinary

CFD

Opening a long position

20,160

3.7639 GBP

USD 0.01 ordinary

CFD

Opening a short position

2,457

3.8019 GBP

USD 0.01 ordinary

CFD

Reducing a long position

33,000

5.9990 USD

USD 0.01 ordinary

CFD

Opening a long position

707,370

6.0500 USD

USD 0.01 ordinary

SWAP

Opening a short position

15,000

3.7044 GBP

USD 0.01 ordinary

SWAP

Opening a long position

447,200

3.7069 GBP

USD 0.01 ordinary

SWAP

Opening a long position

179,600

3.7069 GBP

USD 0.01 ordinary

SWAP

Opening a long position

131,100

3.7069 GBP

USD 0.01 ordinary

SWAP

Opening a long position

1,389,100

3.7069 GBP

USD 0.01 ordinary

SWAP

Opening a long position

53,000

3.7069 GBP

USD 0.01 ordinary

SWAP

Opening a short position

15,000

3.7135 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

3,600

3.7337 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

7,400

3.7337 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

16,100

3.7337 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

31,800

3.7337 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

1,200

3.7337 GBP

USD 0.01 ordinary

SWAP

Increasing a short position

16,663

3.7358 GBP

USD 0.01 ordinary

SWAP

Opening a long position

1,700

3.7386 GBP

USD 0.01 ordinary

SWAP

Opening a long position

158,804

3.7662 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

77,627

3.8059 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

15,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

10,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

15,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

15,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

15,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

15,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

10,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

4,315

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

10,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

15,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

15,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

2,315

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

15,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

15,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a short position

10,000

4.0262 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

72,315

6.4806 USD

USD 0.01 ordinary

SWAP

Reducing a long position

7,115

6.4806 USD

USD 0.01 ordinary

SWAP

Reducing a long position

102,200

6.4806 USD

 

 

 

(c)        Options transactions in respect of existing securities

 

(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

USD 0.01 ordinary

Call Option

Selling

2,500,000

4.0000 GBP

AMERICAN

15/06/2012

4.0000 GBP

USD 0.01 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

10 (10,000)

3.2000 GBP

AMERICAN

15/06/2012

0.0300 GBP

USD 0.01 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

10 (10,000)

3.2000 GBP

AMERICAN

15/06/2012

0.0325 GBP

USD 0.01 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

20 (20,000)

4.0000 GBP

AMERICAN

21/09/2012

0.5100 GBP

USD 0.01 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

20 (20,000)

4.1000 GBP

AMERICAN

15/06/2012

0.4475 GBP

USD 0.01 ordinary

Put Option / (1.00 : 1,000.00)

Selling

10 (10,000)

3.2000 GBP

AMERICAN

15/06/2012

0.0325 GBP

USD 0.01 ordinary

Put Option / (1.00 : 1,000.00)

Selling

10 (10,000)

3.2000 GBP

AMERICAN

15/06/2012

0.0300 GBP

USD 0.01 ordinary

Put Option / (1.00 : 1,000.00)

Selling

20 (20,000)

4.0000 GBP

AMERICAN

21/09/2012

0.5100 GBP

USD 0.01 ordinary

Put Option / (1.00 : 1,000.00)

Selling

20 (20,000)

4.1000 GBP

AMERICAN

15/06/2012

0.4475 GBP

 

(ii)        Exercising

 

Class of relevant security

Product description

e.g. call option

Number of securities

Exercise price per unit

 

(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)


 

 



 

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:

18 May 2012

Contact name:

Audrey Malone and Darren Adam

Telephone number:

+44(20) 7552 3836 / +44(20) 7051 4224

 

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.


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