28th Jun 2012 14:05
Amendment - due to the amendment of Equity and Derivative transactions, the disclosure made on 27 June for dealings on 26 June 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: | 26 June 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 | 3,098,14112,160663,832 | 3.1150 GBP52.5713 HKD4.8000 USD | 3.0110 GBP37.4500 HKD4.7502 USD |
USD 0.01 ordinary | Sales | 2,413,35712,160 | 3.1150 GBP52.5713 HKD | 3.0150 GBP37.4500 HKD |
Convertible Bond | Sales | 3,800,000 | 113.5000 USD | 113.1950 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 | 8,362 | 3.0170 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 9,138 | 3.0170 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 2,184 | 3.0267 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 571 | 3.0273 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 320 | 3.0354 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 12 | 3.0354 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 734 | 3.0354 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 2,184 | 3.0367 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 3,703 | 3.0374 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 12,615 | 3.0375 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 35,281 | 3.0375 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 27,789 | 3.0375 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 8,400 | 3.0375 GBP |
USD 0.01 ordinary | CFD | Closing a short position | 305 | 3.0385 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 8,791 | 3.0385 GBP |
USD 0.01 ordinary | CFD | Closing a short position | 4,497 | 3.0385 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 149,390 | 3.0406 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 3,500 | 3.0456 GBP |
USD 0.01 ordinary | CFD | Reducing a long position | 700,000 | 3.0503 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 853 | 3.0504 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 1,982 | 3.0549 GBP |
USD 0.01 ordinary | CFD | Opening a long position | 112,000 | 3.0754 GBP |
USD 0.01 ordinary | CFD | Opening a short position | 210,000 | 3.0793 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 853 | 3.0876 GBP |
USD 0.01 ordinary | CFD | Reducing a short position | 571 | 3.1147 GBP |
USD 0.01 ordinary | CFD | Closing a long position | 60,471 | 4.7502 USD |
USD 0.01 ordinary | CFD | Reducing a long position | 16,904 | 4.8000 USD |
USD 0.01 ordinary | CFD | Reducing a long position | 84,520 | 4.8000 USD |
USD 0.01 ordinary | CFD | Closing a long position | 81,789 | 4.8000 USD |
USD 0.01 ordinary | CFD | Reducing a long position | 75,379 | 4.8000 USD |
USD 0.01 ordinary | CFD | Reducing a long position | 73,730 | 4.8000 USD |
USD 0.01 ordinary | SWAP | Opening a long position | 11,306 | 3.0342 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 11,792 | 3.0342 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 75,152 | 3.0342 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 86,469 | 3.0342 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 112,172 | 3.0342 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 13,257 | 3.0342 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 33,387 | 3.0342 GBP |
USD 0.01 ordinary | SWAP | Opening a long position | 18,566 | 3.0342 GBP |
USD 0.01 ordinary | SWAP | Reducing a short position | 5,668 | 3.0456 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 | 11,366 | 2.7500 GBP | AMERICAN | 26/06/2012 | 0.3400 EUR |
Warrant | Call Warrant | Selling | 1,000 | 3.0000 GBP | AMERICAN | 15/03/2013 | 0.6460 CHF |
(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: | 28 June 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