20th Apr 2010 10:25
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|
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: |
Bank of America Merrill Lynch |
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|
(b) Name of offeror/offeree in relation to whose |
Babcock International Group |
|
|
relevant securities this form relates: |
|
|
(c) Name of the party to the offer with which exempt |
Advisor to VT Group Plc |
|
|
|
|
|
principal trader is connected: |
|
|
(d) Date dealing undertaken: |
19/04/2010 |
|
|
(e) Has the EPT previously disclosed, or is it today |
YES - previously disclosed in VT Group |
|
|
disclosing, under the Code in respect of any other |
plc |
|
|
party to this offer? |
|
|
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER |
|
|
(a) Purchases and sales |
|
|
Class of |
Purchase/ |
Total number |
Highest price |
Lowest price |
|
|
relevant |
Sales |
of securities |
per unit |
per unit |
|
|
security |
|
paid/received |
paid/received |
|
|
Common - GB0009697037 |
Purchase |
11,766 |
GBP 6.07 |
GBP 6.04 |
|
|
Common - GB0009697037 |
Sale |
17,848 |
GBP 6.07 |
GBP 6.05 |
|
|
(b) Derivatives transactions (other than options) |
|
|
Class of |
Product |
Nature of dealing |
Number of |
Price per unit |
|
|
relevant |
description |
|
reference securities |
|
|
security |
eg. CFD |
|
|
Common - GB0009697037 |
Swap |
SHORT |
401 |
GBP 6.07 |
|
|
Common - GB0009697037 |
Swap |
SHORT |
519 |
GBP 6.07 |
|
|
Common - GB0009697037 |
Swap |
SHORT |
705 |
GBP 6.06 |
|
|
Common - GB0009697037 |
Swap |
SHORT |
1665 |
GBP 6.06 |
|
|
(c) Options transactions in respect of existing securities |
|
|
(i) Writing, selling, purchasing or varying |
|
|
Class of |
|
Product |
Writing, |
Number of |
Exercise |
Type |
Expiry |
Option |
|
|
relevant |
|
description |
purchasing, |
securities |
price |
|
date |
money |
|
|
security |
|
selling, |
to which |
per unit |
|
paid/ |
|
|
varying etc. |
option |
|
received |
|
|
relates |
|
per unit |
|
|
(ii) Exercising |
|
|
Class of relevant |
Product description |
Number of securities |
Exercise price per |
|
|
security |
|
unit |
|
|
(d) Other dealings (including subscribing for new securities) |
|
|
Class of relevant |
Nature of dealing |
|
Details |
Price per unit (if |
|
|
security |
|
applicable) |
|
|
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: |
|
|
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: |
|
|
NONE |
|
|
Date of disclosure: |
20/04/2010 |
|
|
Contact name: |
Bhavika Mistry |
|
|
Telephone number: |
+44 207 995 4747 |
|
|
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: |
Bank of America Merrill Lynch |
|
|
(b) Name of offeror/offeree in relation to whose |
VT Group Plc |
|
|
relevant securities this form relates: |
|
|
(c) Name of the party to the offer with which exempt |
Advisor to VT Group Plc |
|
|
|
|
|
principal trader is connected: |
|
|
(d) Date dealing undertaken: |
19/04/2010 |
|
|
(e) Has the EPT previously disclosed, or is it today |
YES - previously disclosed in Babcock |
|
|
disclosing, under the Code in respect of any other |
International Group Plc |
|
|
party to this offer? |
|
|
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER |
|
|
(a) Purchases and sales |
|
|
Class of |
Purchase/ |
Total number |
Highest price |
Lowest price |
|
|
relevant |
Sales |
of securities |
per unit |
per unit |
|
|
security |
|
paid/received |
paid/received |
|
|
Common - GB0031729733 |
Purchase |
10,783 |
GBP 7.62 |
GBP 7.58 |
|
|
Common - GB0031729733 |
Sale |
12,536 |
GBP 7.62 |
GBP 7.58 |
|
|
(b) Derivatives transactions (other than options) |
|
|
Class of |
Product |
Nature of dealing |
Number of |
Price per unit |
|
|
relevant |
description |
|
reference securities |
|
|
security |
eg. CFD |
|
|
Common - GB0031729733 |
Swap |
LONG |
2990 |
GBP 7.58 |
|
|
Common - GB0031729733 |
Swap |
LONG |
2026 |
GBP 7.58 |
|
|
Common - GB0031729733 |
Swap |
LONG |
361 |
GBP 7.58 |
|
|
Class of |
Product |
Nature of dealing |
Number of |
Price per unit |
|
|
relevant |
description |
|
reference securities |
|
|
security |
eg. CFD |
|
|
Common - GB0031729733 |
Swap |
SHORT |
4947 |
GBP 7.58 |
|
|
(c) Options transactions in respect of existing securities |
|
|
(i) Writing, selling, purchasing or varying |
|
|
Class of |
|
Product |
Writing, |
Number of |
Exercise |
Type |
Expiry |
Option |
|
|
relevant |
|
description |
purchasing, |
securities |
price |
|
date |
money |
|
|
security |
|
selling, |
to which |
per unit |
|
paid/ |
|
|
varying etc. |
option |
|
received |
|
|
relates |
|
per unit |
|
|
(ii) Exercising |
|
|
Class of relevant |
Product description |
Number of securities |
Exercise price per |
|
|
security |
|
unit |
|
|
(d) Other dealings (including subscribing for new securities) |
|
|
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: |
|
|
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: |
|
|
NONE |
|
|
Date of disclosure: |
20/04/2010 |
|
|
Contact name: |
Bhavika Mistry |
|
|
Telephone number: |
+44 207 995 4747 |
|
|
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: |
Bank of America Merrill Lynch |
|
|
(b) Name of offeror/offeree in relation to whose |
Investec Plc |
|
|
relevant securities this form relates: |
|
|
(c) Name of the party to the offer with which exempt |
Advisor to INVESTEC PLC |
|
|
|
|
|
principal trader is connected: |
|
|
(d) Date dealing undertaken: |
19/04/2010 |
|
|
(e) Has the EPT previously disclosed, or is it today |
YES - previously disclosed in Investec |
|
|
disclosing, under the Code in respect of any other |
Ltd |
|
|
party to this offer? |
|
|
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER |
|
|
(a) Purchases and sales |
|
|
Class of |
Purchase/ |
Total number |
Highest price |
Lowest price |
|
|
relevant |
Sales |
of securities |
per unit |
per unit |
|
|
security |
|
paid/received |
paid/received |
|
|
Common - GB00B17BBQ50 |
Purchase |
20,857 |
GBP 5.31 |
GBP 5.20 |
|
|
Common - GB00B17BBQ50 |
Sale |
24,471 |
GBP 5.30 |
GBP 5.20 |
|
|
(b) Derivatives transactions (other than options) |
|
|
Class of |
Product |
Nature of dealing |
Number of |
Price per unit |
|
|
relevant |
description |
|
reference securities |
|
|
security |
eg. CFD |
|
|
Common - |
Swap |
LONG |
3152 |
GBP 5.25 |
|
|
Common - |
Swap |
LONG |
2478 |
GBP 5.24 |
|
|
Common - |
Swap |
LONG |
1257 |
GBP 5.21 |
|
|
Common - |
Swap |
LONG |
173 |
GBP 5.25 |
|
|
Class of |
Product |
Nature of dealing |
Number of |
Price per unit |
|
|
relevant |
description |
|
reference securities |
|
|
security |
eg. CFD |
|
|
Common - |
Swap |
SHORT |
107 |
GBP 5.26 |
|
|
Common - |
Swap |
SHORT |
938 |
GBP 5.26 |
|
|
Common - |
Swap |
SHORT |
1072 |
GBP 5.30 |
|
|
Common - |
Swap |
SHORT |
1708 |
GBP 5.30 |
|
|
Common - |
Swap |
SHORT |
3346 |
GBP 5.30 |
|
|
Common - |
Swap |
SHORT |
3503 |
GBP 5.26 |
|
|
(c) Options transactions in respect of existing securities |
|
|
(i) Writing, selling, purchasing or varying |
|
|
Class of |
|
Product |
Writing, |
Number of |
Exercise |
Type |
Expiry |
Option |
|
|
relevant |
|
description |
purchasing, |
securities |
price |
|
date |
money |
|
|
security |
|
selling, |
to which |
per unit |
|
paid/ |
|
|
varying etc. |
option |
|
received |
|
|
relates |
|
per unit |
|
|
(ii) Exercising |
|
|
Class of relevant |
Product description |
Number of securities |
Exercise price per |
|
|
security |
|
unit |
|
|
(d) Other dealings (including subscribing for new securities) |
|
|
Class of relevant |
Nature of dealing |
|
Details |
Price per unit (if |
|
|
security |
|
applicable) |
|
|
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: |
|
|
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: |
|
|
NONE |
|
|
Date of disclosure: |
20/04/2010 |
|
|
Contact name: |
Bhavika Mistry |
|
|
Telephone number: |
+44 207 995 4747 |
|
|
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: |
Bank of America Merrill Lynch |
|
|
(b) Name of offeror/offeree in relation to whose |
Investec Limited |
|
|
relevant securities this form relates: |
|
|
(c) Name of the party to the offer with which exempt |
Advisor to Investec Plc |
|
|
|
|
|
principal trader is connected: |
|
|
(d) Date dealing undertaken: |
19/04/2010 |
|
|
(e) Has the EPT previously disclosed, or is it today |
YES - previously disclosed in Investec plc |
|
|
disclosing, under the Code in respect of any other |
|
|
party to this offer? |
|
|
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER |
|
|
(a) Purchases and sales |
|
|
Class of |
Purchase/ |
Total number |
Highest price |
Lowest price |
|
|
relevant |
Sales |
of securities |
per unit |
per unit |
|
|
security |
|
paid/received |
paid/received |
|
|
Common - ZAE000081949 |
Purchase |
612 |
ZAR 63.53 |
ZAR 63.53 |
|
|
Common - ZAE000081949 |
Sale |
612 |
ZAR 63.53 |
ZAR 63.53 |
|
|
(b) Derivatives transactions (other than options) |
|
|
Class of |
Product description |
Nature of dealing |
Number of |
|
Price per unit |
|
|
relevant |
|
reference securities |
|
|
security |
|
|
(c) Options transactions in respect of existing securities |
|
|
(i) Writing, selling, purchasing or varying |
|
|
Class of |
|
Product |
Writing, |
Number of |
Exercise |
Type |
Expiry |
Option |
|
|
relevant |
|
description |
purchasing, |
securities |
price |
|
date |
money |
|
|
security |
|
selling, |
to which |
per unit |
|
paid/ |
|
|
varying etc. |
option |
|
received |
|
|
relates |
|
per unit |
|
|
(ii) Exercising |
|
|
Class of relevant |
Product description |
Number of securities |
Exercise price per |
|
|
security |
|
unit |
|
|
(d) Other dealings (including subscribing for new securities) |
|
|
Class of relevant |
Nature of dealing |
|
Details |
Price per unit (if |
|
|
security |
|
applicable) |
|
|
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: |
|
|
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: |
|
|
NONE |
|
|
Date of disclosure: |
20/04/2010 |
|
|
Contact name: |
Bhavika Mistry |
|
|
Telephone number: |
+44 207 995 4747 |
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