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Wednesday 16 May, 2018

UBS Securities LLC

Form 8.5 (EPT/NON-RI) Sibanye Gold Ltd

RNS Number : 2984O
UBS Securities LLC
16 May 2018
 

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:

            UBS Securities LLC

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

     Use a separate form for each offeror/offeree

            Sibanye Gold Limited

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

            Lonmin plc

(d) Date position held/dealing undertaken:

     For an open position disclosure, state the latest practicable date prior to the disclosure

            14 May 2018 (in addition UBS Securities LLC has dealt on previous dates during the offer period as attached at the end of this form)

(e) In addition to the company in 1(b) above, is the exempt principal 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"

NO

 

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

 

 

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 relation to which subscription right exists:


Details, including nature of 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 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

Purchase/sale

 

 Total number of securities

Highest price per unit paid/received

Lowest price per unit paid/received

ADR

Buy

 

3457 (13828)

3.1191

USD

3.1131

USD

ADR

Sell

 

3457 (13828)

3.1191

USD

3.1131

USD


TOTAL BUY :

 

3457 (13828)




TOTAL SELL:

3457 (13828)



 

(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


 

 




 

(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









 

(ii)        Exercise

 

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

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)





 

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:

            16 May 2018

Contact name:

            Wendy Dent

Telephone number:

            +44 (0)207 568 12451

 

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 [email protected]

 

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.

 

 

 

 

Date

Class of relevant security

Purchase/sale

 

 Total number of securities

Highest price per unit paid/received

Lowest price per unit paid/received

14.12.17

ADR

Buy

41900 (167600)

4.7308 USD

4.7308 USD

14.12.17

ADR

Sell

41900 (167600)

4.7308 USD

4.7308 USD

15.12.17

ADR

Buy

7293 (29172)

4.8230 USD

4.7262 USD

15.12.17

ADR

Sell

7293 (29172)

4.8230 USD

4.7262 USD

18.12.17

ADR

Buy

43048 (172192)

4.8872 USD

4.8659 USD

18.12.17

ADR

Sell

43048 (172192)

4.8872 USD

4.8659 USD

19.12.17

ADR

Buy

549 (2196)

4.7250 USD

4.7250 USD

19.12.17

ADR

Sell

549 (2196)

4.7250 USD

4.7250 USD

20.12.17

ADR

Buy

12826 (51304)

4.6218 USD

4.5177 USD

20.12.17

ADR

Sell

12826 (51304)

4.6218 USD

4.5177 USD

21.12.17

ADR

Buy

3279 (13116)

4.7267 USD

4.7267 USD

21.12.17

ADR

Sell

3279 (13116)

4.7267 USD

4.7267 USD

26.12.17

ADR

Buy

400 (1600)

4.9700 USD

4.9700 USD

26.12.17

ADR

Sell

400 (1600)

4.9700 USD

4.9700 USD

27.12.17

ADR

Buy

11246 (44984)

5.0421 USD

5.105 USD

27.12.17

ADR

Sell

11246 (44984)

5.0421 USD

5.105 USD

28.12.17

ADR

Buy

11664 (46656)

5.2171 USD

5.13 USD

28.12.17

ADR

Sell

11664 (46656)

5.2171 USD

5.13 USD

02.01.18

ADR

Buy

4685 (18740)

5.2638 USD

5.2638 USD

02.01.18

ADR

Sell

4685 (18740)

5.2638 USD

5.2638 USD

03.01.18

ADR

Buy

76702 (306808)

5.3391 USD

5.3391 USD

03.01.18

ADR

Sell

76702 (306808)

5.3391 USD

5.3391 USD

04.01.18

ADR

Buy

500 (2000)

5.29 USD

5.29 USD

04.01.18

ADR

Sell

500 (2000)

5.29 USD

5.29 USD

05.01.18

ADR

Buy

9200 (36800)

5.3267 USD

5.3267 USD

05.01.18

ADR

Sell

9200 (36800)

5.3267 USD

5.3267 USD

09.01.18

ADR

Buy

500 (2000)

5.2 USD

5.2 USD

09.01.18

ADR

Sell

500 (2000)

5.2 USD

5.2 USD

10.01.18

ADR

Buy

19905 (79620)

5.2329 USD

5.2227 USD

10.01.18

ADR

Sell

19905 (79620)

5.2329 USD

5.2227 USD

11.01.18

ADR

Buy

4090 (16360)

5.2942 USD

5.285 USD

11.01.18

ADR

Sell

4090 (16360)

5.2942 USD

5.285 USD

16.01.18

ADR

Buy

3992 (15968)

5.3654 USD

5.2924 USD

16.01.18

ADR

Sell

3992 (15968)

5.3654 USD

5.2924 USD

17.01.18

ADR

Buy

1333 (5332)

5.1885 USD

5.1885 USD

17.01.18

ADR

Sell

1333 (5332)

5.1885 USD

5.1885 USD

22.01.18

ADR

Buy

215 (860)

5.015 USD

5.015 USD

22.01.18

ADR

Sell

215 (860)

5.015 USD

5.015 USD

25.01.18

ADR

Buy

135 (540)

5.01 USD

5.01 USD

25.01.18

ADR

Sell

135 (540)

5.01 USD

5.01 USD

30.01.18

ADR

Buy

430655 (1722620)

4.66 USD

4.645 USD

30.01.18

ADR

Sell

655 (2620)

4.66 USD

4.645 USD

31.01.18

ADR

Buy

430000 (1720000)

4.66 USD

4.645 USD

31.01.18

ADR

Sell

860000 (3440000)

4.66 USD

4.645 USD

05.02.18

ADR

Buy

450000 (1800000)

4.3847 USD

4.3847 USD

06.02.18

ADR

Buy

959678 (3838712)

4.3847 USD

4.301 USD

06.02.18

ADR

Sell

944678 (3778712)

4.3847 USD

4.301 USD

07.02.18

ADR

Buy

489092 (1956368)

4.3375 USD

4.2492 USD

07.02.18

ADR

Sell

954092 (3816368)

4.3375 USD

4.2492 USD

08.02.18

ADR

Buy

24930 (99720)

4.24923 USD

4.1 USD

08.02.18

ADR

Sell

24930 (99720)

4.24923 USD

4.1 USD

09.02.18

ADR

Buy

11155 (44620)

4.01 USD

4.097 USD

09.02.18

ADR

Sell

11155 (44620)

4.01 USD

4.097 USD

12.02.18

ADR

Buy

1654 (6616)

4.3134 USD

4.3134 USD

12.02.18

ADR

Sell

1654 (6616)

4.3134 USD

4.3134 USD

13.02.18

ADR

Buy

15 (60)

4.4499 USD

4.4499 USD

13.02.18

ADR

Sell

15 (60)

4.4499 USD

4.4499 USD

14.02.18

ADR

Buy

1000 (4000)

4.7 USD

4.7 USD

14.02.18

ADR

Sell

1000 (4000)

4.7 USD

4.7 USD

16.02.18

ADR

Buy

2000 (8000)

4.72 USD

4.72 USD

16.02.18

ADR

Sell

2000 (8000)

4.72 USD

4.72 USD

21.02.18

ADR

Buy

6120 (24480)

4.62 USD

4.5564 USD

21.02.18

ADR

Sell

6120 (24480)

4.62 USD

4.5564 USD

22.02.18

ADR

Buy

4400 (17600)

3.9905 USD

3.9905 USD

22.02.18

ADR

Sell

4400 (17600)

3.9905 USD

3.9905 USD

27.03.18

ADR

Buy

502 (2008)

3.945 USD

3.92 USD

27.03.18

ADR

Sell

502 (2008)

3.945 USD

3.92 USD

01.03.18

ADR

Buy

10000 (40000)

3.8801 USD

3.8801 USD

01.03.18

ADR

Sell

10000 (40000)

3.8801 USD

3.8801 USD

06.03.18

ADR

Buy

645249 (2580996)

4.3204 USD

4.3204 USD

07.03.18

ADR

Buy

645249 (2580996)

4.3204 USD

4.3204 USD

07.03.18

ADR

Sell

1290498 (5161992)

4.3204 USD

4.3204 USD

13.03.18

ADR

Buy

54959 (219836)

4.02 USD

4.02 USD

13.03.18

ADR

Sell

54959 (219836)

4.02 USD

4.02 USD

14.03.18

ADR

Buy

1000 (4000)

3.9888 USD

3.9888 USD

14.03.18

ADR

Sell

1000 (4000)

3.9888 USD

3.9888 USD

16.03.18

ADR

Buy

96413 (385652)

3.878 USD

3.8738 USD

16.03.18

ADR

Sell

96413 (385652)

3.878 USD

3.8738 USD

22.03.18

ADR

Buy

1500 (6000)

3.8799 USD

3.8799 USD

22.03.18

ADR

Sell

1500 (6000)

3.8799 USD

3.8799 USD

23.03.18

ADR

Buy

318 (1272)

3.95 USD

3.9363 USD

23.03.18

ADR

Sell

318 (1272)

3.95 USD

3.9363 USD

26.03.18

ADR

Buy

111463 (445852)

4.14 USD

4.06 USD

26.03.18

ADR

Sell

111463 (445852)

4.14 USD

4.06 USD

27.03.18

ADR

Buy

420 (1680)

4.1207 USD

4.1207 USD

27.03.18

ADR

Sell

420 (1680)

4.1207 USD

4.1207 USD

03.04.18

ADR

Buy

510 (2040)

3.8801 USD

3.8801 USD

03.04.18

ADR

Sell

510 (2040)

3.8801 USD

3.8801 USD

04.04.18

ADR

Buy

18000 (72000)

3.8801 USD

3.8801 USD

04.04.18

ADR

Sell

18000 (72000)

3.8801 USD

3.8801 USD

05.04.18

ADR

Buy

80 (320)

3.8801 USD

3.8801 USD

05.04.18

ADR

Sell

80 (320)

3.8801 USD

3.8801 USD

09.04.18

ADR

Buy

15000 (60000)

3.8801 USD

3.8801 USD

09.04.18

ADR

Sell

15000 (60000)

3.8801 USD

3.8801 USD

10.04.18

ADR

Buy

4400 (17600)

3.8801 USD

3.8801 USD

10.04.18

ADR

Sell

4400 (17600)

3.8801 USD

3.8801 USD

12.04.18

ADR

Buy

2000 (8000)

3.8801 USD

3.8801 USD

12.04.18

ADR

Sell

2000 (8000)

3.8801 USD

3.8801 USD

17.04.18

ADR

Buy

50000 (200000)

3.8801 USD

3.8801 USD

17.04.18

ADR

Sell

50000 (200000)

3.8801 USD

3.8801 USD

23.04.18

ADR

Buy

133 (532)

3.8801 USD

3.8801 USD

23.04.18

ADR

Sell

133 (532)

3.8801 USD

3.8801 USD

24.04.18

ADR

Buy

575000 (2300000)

3.4894 USD

3.4894 USD

25.04.18

ADR

Buy

575000 (2300000)

3.4894 USD

3.4894 USD

25.04.18

ADR

Sell

1150000 (4600000)

3.4894 USD

3.4894 USD

27.04.18

ADR

Buy

282 (1128)

3.359 USD

3.359 USD

27.04.18

ADR

Sell

282 (1128)

3.359 USD

3.359 USD

30.04.18

ADR

Buy

15 (60)

3.55 USD

3.55 USD

30.04.18

ADR

Sell

15 (60)

3.55 USD

3.55 USD

07.05.18

ADR

Buy

200 (800)

3.21 USD

3.21 USD

07.05.18

ADR

Sell

200 (800)

3.21 USD

3.21 USD

11.05.18

ADR

Buy

130000 (520000)

2.9031 USD

2.9 USD

11.05.18

ADR

Sell

130000 (520000)

2.9031 USD

2.9 USD









TOTAL BUY :

 

6001854 (24007416)





TOTAL SELL:

6001854 (24007416)



 


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