31st Aug 2012 16:49
Amendment - due to the amendment of Equity and Derivative transactions, the disclosure made on 30 August for dealings on 29 August has been updated. Sections 2(a) and 2(b) have 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: | 29 August 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 | 3,576,96025,180 | 3.7850 GBP52.5713 HKD | 3.6820 GBP39.4059 HKD |
USD 0.01 ordinary | Sales | 3,654,16825,180 | 3.9560 GBP52.5713 HKD | 3.6835 GBP39.4059 HKD |
Convertible Bond | Sales | 2,000,000 | 121.5000 USD | 121.5000 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 | 16,951 | 3.6839 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 6,500 | 3.6845 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 2,800 | 3.6846 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 827 | 3.6847 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 201,974 | 3.7076 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 220,000 | 3.7185 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 40,000 | 3.7193 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 6,606 | 3.7196 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 84,569 | 3.7222 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 6,471 | 3.7228 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 10,324 | 3.7228 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 51,800 | 3.7255 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 350,000 | 3.7305 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 13,767 | 3.7378 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 100,000 | 3.7413 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 170,000 | 3.7443 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 46,823 | 3.7463 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 169,432 | 3.7463 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 15,924 | 3.7463 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 24,922 | 3.7463 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 117,163 | 3.7463 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 20,714 | 3.7463 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 100,172 | 3.7463 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 55,646 | 3.7463 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 20,870 | 3.7463 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 34,334 | 3.7463 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 583 | 3.7533 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 827 | 3.7533 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 46,267 | 3.7672 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 4,404 | 3.7702 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 6,500 | 3.7855 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 179,830 | 5.8700 USD |
USD 0.01 ordinary | SWAP | Opening a long position | 25,500 | 3.7110 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 1,200 | 3.7110 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 54,700 | 3.7110 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 103,798 | 3.7299 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 103,798 | 3.7299 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 96,202 | 3.7299 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 96,202 | 3.7299 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 62,297 | 3.7300 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 7,685 | 3.7300 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 340,000 | 3.7300 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 14,940 | 3.7300 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 68,187 | 3.7300 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 186,891 | 3.7300 GBP |
(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 |
Warrant | Call Warrant | Purchasing | 22,000 | 2.0000 GBP | AMERICAN | 31/12/2030 | 1.7600 EUR |
Warrant | Call Warrant | Purchasing | 8,000 | 2.0000 GBP | AMERICAN | 31/12/2030 | 1.6500 EUR |
(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: | 31 August 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 [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.
Related Shares:
Glencore