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Wednesday 18 September, 2019

Goldman Sachs (EPT)

Form 8.5 (EPT/RI) - Amendment

RNS Number : 8754M
GoldmanSachs International
18 September 2019
 

Amendment - Warrant dealings in section 2(c) represent holdings in warrants rather than the underlying ordinary NPV. Please note this comment is applicable to all previous filings of 8.5 EPT/RI from COB 11th Sep to 17th Sep for Hong Kong Exchanges and Clearing Limited published by Goldman Sachs International.

 

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

HONG KONG EXCHANGES AND CLEARING LIMITED

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

LONDON STOCK EXCHANGE GROUP PLC

(d) Date dealing undertaken:

17 September 2019

(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer?

     If it is a cash offer or possible cash offer, state "N/A"

YES - disclosed previously for LONDON STOCK EXCHANGE GROUP PLC

 

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

ordinary NPV

Purchases

294,800

270.0000 HKD

231.4198 HKD

ordinary NPV

Sales

378,988

235.2000 HKD

204.8571 HKD

 

 

 

(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

ordinary NPV

CFD

Reducing a short position

59

231.4273 HKD

ordinary NPV

CFD

Reducing a short position

13

231.4273 HKD

ordinary NPV

CFD

Reducing a short position

28

231.4273 HKD

ordinary NPV

CFD

Reducing a short position

200

231.8000 HKD

ordinary NPV

CFD

Opening a short position

300

231.8333 HKD

ordinary NPV

CFD

Reducing a short position

100

231.9000 HKD

ordinary NPV

CFD

Increasing a short position

61,900

232.1477 HKD

ordinary NPV

CFD

Reducing a long position

1,400

232.4000 HKD

ordinary NPV

CFD

Increasing a short position

100

232.6000 HKD

ordinary NPV

CFD

Reducing a short position

1,530

232.6815 HKD

ordinary NPV

CFD

Reducing a short position

3,222

232.6815 HKD

ordinary NPV

CFD

Reducing a short position

648

232.6815 HKD

ordinary NPV

CFD

Reducing a short position

1,074

232.7258 HKD

ordinary NPV

CFD

Reducing a short position

216

232.7258 HKD

ordinary NPV

CFD

Reducing a short position

510

232.7258 HKD

ordinary NPV

CFD

Reducing a long position

9,200

232.8261 HKD

ordinary NPV

CFD

Reducing a short position

120

232.9255 HKD

ordinary NPV

CFD

Reducing a short position

24

232.9255 HKD

ordinary NPV

CFD

Reducing a short position

56

232.9255 HKD

ordinary NPV

CFD

Reducing a long position

300

232.9904 HKD

ordinary NPV

CFD

Reducing a long position

700

232.9913 HKD

ordinary NPV

CFD

Reducing a long position

400

232.9920 HKD

ordinary NPV

CFD

Reducing a short position

179

233.4249 HKD

ordinary NPV

CFD

Reducing a short position

36

233.4249 HKD

ordinary NPV

CFD

Reducing a short position

85

233.4249 HKD

ordinary NPV

CFD

Reducing a short position

5,906

233.4471 HKD

ordinary NPV

CFD

Reducing a short position

1,189

233.4471 HKD

ordinary NPV

CFD

Reducing a short position

2,805

233.4471 HKD

ordinary NPV

CFD

Reducing a short position

3,340

233.6250 HKD

ordinary NPV

CFD

Reducing a short position

674

233.6250 HKD

ordinary NPV

CFD

Reducing a short position

1,586

233.6250 HKD

ordinary NPV

CFD

Increasing a short position

600

235.0333 HKD

ordinary NPV

CFD

Reducing a long position

10

235.2000 HKD

ordinary NPV

CFD

Reducing a long position

35

235.2000 HKD

ordinary NPV

CFD

Reducing a long position

55

235.2000 HKD

ordinary NPV

SWAP

Reducing a short position

6,624

232.0675 HKD

ordinary NPV

SWAP

Reducing a short position

1,836

232.0675 HKD

ordinary NPV

SWAP

Reducing a short position

1,564

232.0675 HKD

ordinary NPV

SWAP

Reducing a short position

6,532

232.0675 HKD

ordinary NPV

SWAP

Reducing a short position

7,668

232.0675 HKD

ordinary NPV

SWAP

Reducing a short position

7,776

232.0675 HKD

ordinary NPV

SWAP

Reducing a long position

2,700

232.9904 HKD

 

 

 

(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

ordinary NPV

Call Option / (1.00 : 100.00)

Purchasing

1,000 (100,000)

235.0000 HKD

AMERICAN

28/11/2019

10.5000 HKD

ordinary NPV

Call Option / (1.00 : 100.00)

Purchasing

30 (3,000)

240.0000 HKD

AMERICAN

28/11/2019

8.0900 HKD

ordinary NPV

Call Option / (1.00 : 100.00)

Purchasing

30 (3,000)

245.0000 HKD

AMERICAN

28/11/2019

6.2800 HKD

ordinary NPV

Call Option / (1.00 : 100.00)

Purchasing

30 (3,000)

250.0000 HKD

AMERICAN

28/11/2019

4.7600 HKD

ordinary NPV

Call Option / (1.00 : 100.00)

Purchasing

30 (3,000)

250.0000 HKD

AMERICAN

28/11/2019

4.7600 HKD

ordinary NPV

Call Option / (1.00 : 100.00)

Purchasing

30 (3,000)

255.0000 HKD

AMERICAN

28/11/2019

3.6200 HKD

ordinary NPV

Put Option / (1.00 : 100.00)

Purchasing

1,000 (100,000)

235.0000 HKD

AMERICAN

28/11/2019

10.2500 HKD

ordinary NPV

Put Option / (1.00 : 100.00)

Purchasing

1 (100)

260.0000 HKD

AMERICAN

30/12/2019

30.0700 HKD

 

 

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

Warrant

Call Warrant

Purchasing

4,490,000

231.0800 HKD

EUROPEAN

20/02/2020

0.0283 HKD

Warrant

Call Warrant

Selling

1,940,000

231.0800 HKD

EUROPEAN

20/02/2020

0.0373 HKD

 

 

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

Warrant

Call Warrant

Purchasing

220,000

208.0800 HKD

EUROPEAN

30/12/2019

0.2709 HKD

Warrant

Call Warrant

Selling

220,000

208.0800 HKD

EUROPEAN

30/12/2019

0.2759 HKD

 

 

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

Warrant

Call Warrant

Purchasing

2,620,000

217.0800 HKD

EUROPEAN

30/12/2019

0.1755 HKD

Warrant

Call Warrant

Selling

2,750,000

217.0800 HKD

EUROPEAN

30/12/2019

0.1726 HKD

 

 

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

Warrant

Call Warrant

Purchasing

220,000

268.8800 HKD

EUROPEAN

02/04/2020

0.0760 HKD

Warrant

Call Warrant

Selling

14,720,000

268.8800 HKD

EUROPEAN

02/04/2020

0.0691 HKD

 

 

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

Warrant

Put Warrant

Purchasing

190,000

275.8800 HKD

EUROPEAN

30/12/2019

0.4442 HKD

Warrant

Put Warrant

Selling

160,000

275.8800 HKD

EUROPEAN

30/12/2019

0.4500 HKD

 

 

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

Warrant

Call Warrant

Purchasing

1,310,000

220.0000 HKD

EUROPEAN

30/12/2019

0.1414 HKD

Warrant

Call Warrant

Selling

1,300,000

220.0000 HKD

EUROPEAN

30/12/2019

0.1431 HKD

 

 

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

Warrant

Put Warrant

Purchasing

3,500,000

206.6000 HKD

EUROPEAN

16/12/2019

0.0321 HKD

Warrant

Put Warrant

Selling

2,630,000

206.6000 HKD

EUROPEAN

16/12/2019

0.0332 HKD

 

 

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

Warrant

Call Warrant

Purchasing

3,350,000

250.2000 HKD

EUROPEAN

23/06/2020

0.1489 HKD

Warrant

Call Warrant

Selling

3,490,000

250.2000 HKD

EUROPEAN

23/06/2020

0.1519 HKD

 

 

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

Warrant

Put Warrant

Purchasing

4,200,000

220.6800 HKD

EUROPEAN

26/11/2019

0.1129 HKD

Warrant

Put Warrant

Selling

3,950,000

220.6800 HKD

EUROPEAN

26/11/2019

0.1147 HKD

 

 

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

Warrant

Put Warrant

Purchasing

4,980,000

234.8000 HKD

EUROPEAN

26/11/2019

0.2281 HKD

Warrant

Put Warrant

Selling

4,920,000

234.8000 HKD

EUROPEAN

26/11/2019

0.2279 HKD

 

 

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

Warrant

Call Warrant

Purchasing

4,810,000

255.2000 HKD

EUROPEAN

26/11/2019

0.0374 HKD

Warrant

Call Warrant

Selling

14,480,000

255.2000 HKD

EUROPEAN

26/11/2019

0.0375 HKD

 

 

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

Warrant

Call Warrant

Purchasing

330,000

283.4800 HKD

EUROPEAN

20/12/2019

0.0168 HKD

Warrant

Call Warrant

Selling

4,980,000

283.4800 HKD

EUROPEAN

20/12/2019

0.0179 HKD

 

 

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

Warrant

Call Warrant

Purchasing

560,000

288.2000 HKD

EUROPEAN

24/02/2020

0.0318 HKD

Warrant

Call Warrant

Selling

380,000

288.2000 HKD

EUROPEAN

24/02/2020

0.0333 HKD

 

 

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

Warrant

Call Warrant

Purchasing

100,000

288.8800 HKD

EUROPEAN

23/12/2020

0.1090 HKD

Warrant

Call Warrant

Selling

420,000

288.8800 HKD

EUROPEAN

23/12/2020

0.1045 HKD

 

 

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

Warrant

Call Warrant

Purchasing

3,820,000

235.2000 HKD

EUROPEAN

26/11/2019

0.1109 HKD

Warrant

Call Warrant

Selling

14,840,000

235.2000 HKD

EUROPEAN

26/11/2019

0.1077 HKD

 

 

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

Warrant

Call Warrant

Purchasing

7,940,000

223.0800 HKD

EUROPEAN

30/12/2019

0.1111 HKD

Warrant

Call Warrant

Selling

8,130,000

223.0800 HKD

EUROPEAN

30/12/2019

0.1108 HKD

 

 

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

Warrant

Call Warrant

Purchasing

450,000

265.2000 HKD

EUROPEAN

25/02/2020

0.0618 HKD

Warrant

Call Warrant

Selling

1,300,000

265.2000 HKD

EUROPEAN

25/02/2020

0.0601 HKD

 

 

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

Warrant

Put Warrant

Purchasing

120,000

280.8800 HKD

EUROPEAN

30/12/2019

0.4750 HKD

Warrant

Put Warrant

Selling

120,000

280.8800 HKD

EUROPEAN

30/12/2019

0.4800 HKD

 

 

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

Warrant

Call Warrant

Purchasing

1,400,000

300.2000 HKD

EUROPEAN

26/05/2020

0.0422 HKD

Warrant

Call Warrant

Selling

400,000

300.2000 HKD

EUROPEAN

26/05/2020

0.0435 HKD

 

 

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

Warrant

Call Warrant

Purchasing

21,890,000

259.0800 HKD

EUROPEAN

28/10/2019

0.0110 HKD

Warrant

Call Warrant

Selling

280,000

259.0800 HKD

EUROPEAN

28/10/2019

0.0120 HKD

 

 

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

Warrant

Call Warrant

Purchasing

11,260,000

239.1000 HKD

EUROPEAN

24/12/2019

0.1069 HKD

Warrant

Call Warrant

Selling

7,160,000

239.1000 HKD

EUROPEAN

24/12/2019

0.1062 HKD

 

 

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

Warrant

Call Warrant

Purchasing

90,000

280.2000 HKD

EUROPEAN

23/06/2020

0.0770 HKD

Warrant

Call Warrant

Selling

540,000

280.2000 HKD

EUROPEAN

23/06/2020

0.0807 HKD

 

 

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

Warrant

Call Warrant

Purchasing

8,760,000

227.0800 HKD

EUROPEAN

30/12/2019

0.0660 HKD

Warrant

Call Warrant

Selling

7,710,000

227.0800 HKD

EUROPEAN

30/12/2019

0.0699 HKD

 

 

(ii)        Exercise

 

Class of relevant security

Product description

e.g. call option

Exercising / exercised against

Number of securities

Exercise price per unit

ordinary NPV

Put Option / (1.00 : 100.00)

Exercised Against

25 (2,500)

270.0000 HKD

 

 

(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)


 

 



 

 

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:

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

 

 

 

Date of disclosure:

18 September 2019

Contact name:

Kashif Rafiq and Papa Lette

Telephone number:

+44(20) 7051 0547 / +44(20) 7774 7442

 

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 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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