1st Oct 2012 16:10
Amendment - due to the amendment of Equity and Derivative transactions, the disclosure made on 26 September for dealings on 07 September 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: | 07 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 | 27,690,33017,010416,670 | 3.9755 GBP52.5713 HKD6.1500 USD | 3.6575 GBP39.4077 HKD6.0000 USD |
USD 0.01 ordinary | Sales | 26,603,93217,010481,919 | 3.9840 GBP52.5713 HKD6.0000 USD | 3.6510 GBP39.4077 HKD6.0000 USD |
Convertible Bond | Purchases | 5,000,000 | 123.0000 USD | 123.0000 USD |
Convertible Bond | Sales | 4,500,000 | 125.0000 USD | 123.2000 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 | Reducing a long position | 15,358 | 3.7035 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 33,342 | 3.7035 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 38,694 | 3.7035 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 97,606 | 3.7035 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 510,000 | 3.7040 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 7,200 | 3.7087 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 210,340 | 3.7112 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 36,415 | 3.7241 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 453,000 | 3.7248 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 29,891 | 3.7252 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 275,000 | 3.7252 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 37,109 | 3.7252 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 463,000 | 3.7252 GBP |
USD 0.01 ordinary | CFD | Closing a short position | 89,040 | 3.7265 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 24,108 | 3.7268 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 5,000 | 3.7318 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 5,000 | 3.7318 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 243,109 | 3.7337 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 292,891 | 3.7337 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 615,000 | 3.7339 GBP |
USD 0.01 ordinary | CFD | Closing a short position | 14,000 | 3.7344 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 596,000 | 3.7344 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 42,666 | 3.7347 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 453,000 | 3.7393 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 450,700 | 3.7399 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 550,000 | 3.7437 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 100,000 | 3.7437 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 200,000 | 3.7437 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 300,000 | 3.7437 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 89,040 | 3.7444 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 565,000 | 3.7471 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 210,000 | 3.7472 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 350,000 | 3.7496 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 175,000 | 3.7533 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 273,321 | 3.7553 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 11,920 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 52,071 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 21,946 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 9,750 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 21,218 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 39,136 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 15,894 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 39,067 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 29,325 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 5,467 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 7,306 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 69,896 | 3.7574 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 95,200 | 3.7596 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 54,117 | 3.7610 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 17,837 | 3.7610 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 8,046 | 3.7610 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 89,040 | 3.7612 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 558,150 | 3.7652 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 177,655 | 3.7662 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 232,345 | 3.7662 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 74,725 | 3.7683 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 829,000 | 3.7689 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 108,760 | 3.7704 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 300,000 | 3.7712 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 6,201 | 3.7717 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 294,000 | 3.7739 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 126,000 | 3.7739 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 5,600 | 3.7770 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 9,474 | 3.7770 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 2,800 | 3.7770 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 176 | 3.7770 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 1,646 | 3.7773 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 3,365 | 3.7773 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 705 | 3.7773 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 205,000 | 3.7778 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 131,600 | 3.7788 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 812 | 3.7808 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 8,205 | 3.7816 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 280,000 | 3.7862 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 165,000 | 3.8040 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 95,200 | 3.8041 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 420,000 | 3.8198 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 510,000 | 3.8199 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 1,000,000 | 3.8210 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 40,000 | 3.8227 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 140,000 | 3.8295 GBP |
USD 0.01 ordinary | CFD | Closing a short position | 165,000 | 3.8462 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 300,000 | 3.8492 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 125,000 | 3.8492 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 46,267 | 3.8589 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 1,388 | 3.8589 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 17,345 | 3.8589 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 596 | 3.8628 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 812 | 3.8628 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 6,282 | 3.7045 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 197,860 | 3.7045 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 6,282 | 3.7156 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 197,860 | 3.7156 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 196,000 | 3.7213 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 6,282 | 3.7246 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 197,860 | 3.7246 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 24,498 | 3.7423 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 6,188 | 3.7423 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 40,778 | 3.7423 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 4,564 | 3.7423 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 33,087 | 3.7423 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 10,885 | 3.7423 GBP |
USD 0.01 ordinary | SWAP | Increasing a long position | 459,970 | 3.7470 GBP |
USD 0.01 ordinary | SWAP | Increasing a long position | 455,030 | 3.7470 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 190,000 | 3.7526 GBP |
USD 0.01 ordinary | SWAP | Increasing a long position | 97,750 | 3.7526 GBP |
USD 0.01 ordinary | SWAP | Increasing a long position | 92,250 | 3.7526 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 183,000 | 3.7562 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 80 | 3.7604 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 2,466 | 3.7604 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 1,007,500 | 3.7605 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 542,500 | 3.7605 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 41,200 | 3.7612 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 111,300 | 3.7612 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 140,735 | 3.7660 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 5,577 | 3.7660 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 117,337 | 3.7660 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 10,910 | 3.7660 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 60,392 | 3.7660 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 49,584 | 3.7660 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 22,155 | 3.7670 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 420,000 | 3.7670 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 27,510 | 3.7670 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 171,150 | 3.7670 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 8,085 | 3.7670 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 401,100 | 3.7670 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 1,980 | 3.7731 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 689 | 3.7731 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 5,298 | 3.7731 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 179,846 | 3.7731 GBP |
USD 0.01 ordinary | SWAP | Opening a short position | 187,373 | 3.7732 GBP |
USD 0.01 ordinary | SWAP | Opening a short position | 500,000 | 3.7805 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 611,674 | 3.7805 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 367,463 | 3.7805 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 163,271 | 3.7805 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 92,815 | 3.7805 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 496,313 | 3.7805 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 68,464 | 3.7805 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 20,389 | 3.8055 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 5,442 | 3.8055 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 12,249 | 3.8055 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 16,544 | 3.8055 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 3,094 | 3.8055 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 2,282 | 3.8055 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 12,565 | 3.8188 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 395,725 | 3.8188 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 365,705 | 3.8663 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 15,609 | 3.8663 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 30,210 | 3.8663 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 138,476 | 3.8663 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 435 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 435 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 641 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 641 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 211,626 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 14,940 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 68,187 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 186,891 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 1,098 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 1,098 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 8,702 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 16,918 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 5,665 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 5,665 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 7,685 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 77,212 | 3.8678 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 63,666 | 3.8742 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 63,666 | 3.8742 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 2,523 | 3.8742 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 2,523 | 3.8742 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 4,935 | 3.8742 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 4,935 | 3.8742 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 1,905 | 3.8742 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 1,905 | 3.8742 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 22,431 | 3.8742 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 22,431 | 3.8742 GBP |
USD 0.01 ordinary | SWAP | Reducing a long position | 78,500 | 3.8742 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 |
(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: | 01 October 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