10th Sep 2012 17:32
Amendment - due to the amendment of Derivative transactions, the disclosure made on 07 September for dealings on 05 September has been updated. Section 2(b) 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: | 05 September 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 | 5,370,15015,210 | 3.9100 GBP52.5713 HKD | 3.8310 GBP39.4078 HKD |
USD 0.01 ordinary | Sales | 7,004,57215,210 | 3.9110 GBP52.5713 HKD | 3.8330 GBP39.4078 HKD |
(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 | Reducing a long position | 57,110 | 3.8393 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 42,890 | 3.8393 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 20,754 | 3.8493 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 131,900 | 3.8493 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 52,289 | 3.8493 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 45,057 | 3.8493 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 5,000 | 3.8510 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 49,810 | 3.8550 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 316,559 | 3.8550 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 125,493 | 3.8550 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 108,138 | 3.8550 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 500,000 | 3.8553 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 260,000 | 3.8623 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 2,202 | 3.8647 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 870 | 3.8702 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 57,110 | 3.8714 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 42,890 | 3.8714 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 25,000 | 3.8719 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 90,000 | 3.8747 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 5,000 | 3.8747 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 9,800 | 3.8747 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 15 | 3.8747 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 267,299 | 3.8769 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 39,892 | 3.8821 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 514,000 | 3.8845 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 440,000 | 3.8850 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 542,313 | 3.8894 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 19,815 | 3.8900 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 126,650 | 3.8900 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 5,442 | 3.8900 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 9,046 | 3.8900 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 24,615 | 3.8900 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 4,923 | 3.8900 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 9,046 | 3.8900 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 4,242 | 3.8900 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 62,786 | 3.8900 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 734 | 3.8900 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 40,000 | 3.8920 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 36,602 | 3.8923 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 31,540 | 3.8923 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 14,528 | 3.8923 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 92,330 | 3.8923 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 127,298 | 3.8932 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 870 | 3.8953 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 2,202 | 3.8953 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 2,201 | 3.8953 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 1 | 3.8955 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 64,300 | 3.9039 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 85,665 | 3.9039 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 35 | 3.9039 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 689 | 3.8567 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 5,298 | 3.8567 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 1,980 | 3.8567 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 179,846 | 3.8567 GBP |
USD 0.01 ordinary | SWAP | Increasing a long position | 39,841 | 3.8900 GBP |
USD 0.01 ordinary | SWAP | Increasing a long position | 36,894 | 3.8900 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 |
USD 0.01 ordinary | Put Option / (1.00 : 1,000.00) | Purchasing | 10 (10,000) | 4.0000 GBP | AMERICAN | 21/12/2012 | 0.3800 GBP |
USD 0.01 ordinary | Put Option / (1.00 : 1,000.00) | Purchasing | 10 (10,000) | 4.0000 GBP | AMERICAN | 21/12/2012 | 0.4000 GBP |
USD 0.01 ordinary | Put Option / (1.00 : 1,000.00) | Selling | 10 (10,000) | 4.0000 GBP | AMERICAN | 21/12/2012 | 0.3800 GBP |
USD 0.01 ordinary | Put Option / (1.00 : 1,000.00) | Selling | 10 (10,000) | 4.0000 GBP | AMERICAN | 21/12/2012 | 0.4000 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: | 10 September 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