7th Jan 2009 11:28
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Cape plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
06/01/2009 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
70,399 |
GBP 0.63 |
GBP 0.63 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
74,348 |
GBP 0.63 |
GBP 0.62 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
7,902 |
GBP 0.63 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
5,718 |
GBP 0.63 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option |
|
selling, |
securities under |
price |
American, |
date |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
07/01/2009 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Cape plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Lloyds TSB Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
06/01/2009 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
5,691,838 |
GBP 1.22 |
GBP 1.19 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
6,214,750 |
GBP 1.24 |
GBP 1.19 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,995,059 |
GBP 1.21 |
|
Long Swap |
LONG |
363,040 |
GBP 1.21 |
|
Long Swap |
LONG |
164,863 |
GBP 1.21 |
|
Long Swap |
LONG |
114,211 |
GBP 1.21 |
|
Long Swap |
LONG |
57,920 |
GBP 1.21 |
|
Long Swap |
LONG |
19,000 |
GBP 1.19 |
|
Long Swap |
LONG |
8,748 |
GBP 1.21 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
3,020 |
GBP 1.21 |
|
Short Swap |
SHORT |
19,000 |
GBP 1.19 |
|
Short Swap |
SHORT |
57,920 |
GBP 1.21 |
|
Short Swap |
SHORT |
93,919 |
GBP 1.21 |
|
Short Swap |
SHORT |
114,211 |
GBP 1.21 |
|
Short Swap |
SHORT |
363,040 |
GBP 1.21 |
|
Short Swap |
SHORT |
648,643 |
GBP 1.21 |
|
Short Swap |
SHORT |
1,995,059 |
GBP 1.21 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option |
|
selling, |
securities under |
price |
American, |
date |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
07/01/2009 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Lloyds TSB Group Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
HBOS Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
06/01/2009 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
6,723,129 |
GBP 0.69 |
GBP 0.66 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
5,443,557 |
GBP 0.70 |
GBP 0.67 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,072,137 |
GBP 0.67 |
|
Long Swap |
LONG |
230,353 |
GBP 0.67 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
22,918 |
GBP 0.70 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option |
|
selling, |
securities under |
price |
American, |
date |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
07/01/2009 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Lloyds TSB Group Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
KazakhGold Group Limited |
|
Class of relevant security to which the |
ADR |
|
dealings being disclosed relate |
|
Date of dealing |
06/01/2009 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,762 |
USD 4.00 |
USD 4.00 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
07/01/2009 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
KazakhGold Group Limited |
|
Nature of connection # |
Advisor |
Related Shares:
CIU.LLloyds