5th Aug 2010 11:09
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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 |
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|
(a) Name of exempt principal trader: |
Bank of America Merrill Lynch |
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|
(b) Name of offeror/offeree in relation to whose |
Brit Insurance Holdings NV |
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|
relevant securities this form relates: |
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|
(c) Name of the party to the offer with which exempt |
Advisor to Apollo Global Management |
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|
LLC |
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|
principal trader is connected: |
|
|
(d) Date dealing undertaken: |
04/08/2010 |
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|
(e) Has the EPT previously disclosed, or is it today |
NO |
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|
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 - NL0009347863 |
Purchase |
18,040 |
GBP 10.00 |
GBP 9.95 |
|
|
Common - NL0009347863 |
Sale |
14,245 |
GBP 10.02 |
GBP 9.99 |
|
|
(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 - NL0009347863 |
Swap |
LONG |
2590 |
GBP 10.00 |
|
|
Common - NL0009347863 |
Swap |
LONG |
1628 |
GBP 9.95 |
|
|
Common - NL0009347863 |
Swap |
LONG |
684 |
GBP 10.00 |
|
|
Common - NL0009347863 |
Swap |
LONG |
605 |
GBP 9.97 |
|
|
Common - NL0009347863 |
Swap |
LONG |
256 |
GBP 9.98 |
|
|
Common - NL0009347863 |
Swap |
LONG |
54 |
GBP 9.96 |
|
|
Class of |
Product |
Nature of dealing |
Number of |
Price per unit |
|
|
relevant |
description |
|
reference securities |
|
|
security |
eg. CFD |
|
|
Common - NL0009347863 |
Swap |
SHORT |
166 |
GBP 10.02 |
|
|
Common - NL0009347863 |
Swap |
SHORT |
605 |
GBP 10.02 |
|
|
Common - NL0009347863 |
Swap |
SHORT |
1251 |
GBP 9.99 |
|
|
(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) |
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|
Class of relevant |
Nature of dealing |
|
Details |
Price per unit (if |
|
|
security |
|
applicable) |
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|
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: |
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|
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: |
05/08/2010 |
|
|
Contact name: |
Doug Berwick |
|
|
Telephone number: |
+44 20 7995 8859 |
|
|
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 |
British Sky Broadcasting Group Plc |
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|
relevant securities this form relates: |
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|
(c) Name of the party to the offer with which exempt |
Advisor to British Sky Broadcasting |
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|
Group Plc |
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|
principal trader is connected: |
|
|
(d) Date dealing undertaken: |
04/08/2010 |
|
|
(e) Has the EPT previously disclosed, or is it today |
NO |
|
|
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 - GB0001411924 |
Purchase |
144,172 |
GBP 7.15 |
GBP 7.09 |
|
|
Common - GB0001411924 |
Sale |
223,815 |
GBP 7.16 |
GBP 7.09 |
|
|
(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: |
05/08/2010 |
|
|
Contact name: |
Doug Berwick |
|
|
Telephone number: |
+44 20 7995 8859 |
|
|
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 |
Dana Petroleum Plc |
|
|
relevant securities this form relates: |
|
|
(c) Name of the party to the offer with which exempt |
Advisor to Korea National Oil |
|
|
|
Corporation |
|
|
principal trader is connected: |
|
|
(d) Date dealing undertaken: |
04/08/2010 |
|
|
(e) Has the EPT previously disclosed, or is it today |
NO |
|
|
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 - GB0033252056 |
Purchase |
65,630 |
GBP 17.07 |
GBP 16.99 |
|
|
Common - GB0033252056 |
Sale |
77,839 |
GBP 17.07 |
GBP 16.99 |
|
|
(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 - GB0033252056 |
Swap |
LONG |
33 |
GBP 17.00 |
|
|
Common - GB0033252056 |
Swap |
LONG |
68 |
GBP 17.03 |
|
|
Common - GB0033252056 |
Swap |
LONG |
929 |
GBP 17.00 |
|
|
Common - GB0033252056 |
Swap |
LONG |
963 |
GBP 17.07 |
|
|
Common - GB0033252056 |
Swap |
LONG |
1249 |
GBP 17.00 |
|
|
Common - GB0033252056 |
Swap |
LONG |
1674 |
GBP 17.06 |
|
|
Common - GB0033252056 |
Swap |
LONG |
1916 |
GBP 17.02 |
|
|
Common - GB0033252056 |
Swap |
LONG |
2297 |
GBP 17.00 |
|
|
Common - GB0033252056 |
Swap |
LONG |
2951 |
GBP 17.00 |
|
|
Common - GB0033252056 |
Swap |
LONG |
3877 |
GBP 17.00 |
|
|
Common - GB0033252056 |
Swap |
LONG |
4653 |
GBP 17.00 |
|
|
Common - GB0033252056 |
Swap |
LONG |
20 |
GBP 17.03 |
|
|
Class of |
Product |
Nature of dealing |
Number of |
Price per unit |
|
|
relevant |
description |
|
reference securities |
|
|
security |
eg. CFD |
|
|
Common - GB0033252056 |
Swap |
SHORT |
2556 |
GBP 17.05 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
6950 |
GBP 17.05 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
3341 |
GBP 17.00 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
88 |
GBP 17.04 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
2209 |
GBP 17.05 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
2178 |
GBP 17.05 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
1703 |
GBP 17.00 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
1674 |
GBP 17.00 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
1502 |
GBP 17.05 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
1324 |
GBP 17.05 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
965 |
GBP 17.07 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
440 |
GBP 17.05 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
364 |
GBP 17.05 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
334 |
GBP 17.05 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
300 |
GBP 17.05 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
125 |
GBP 17.05 |
|
|
Common - GB0033252056 |
Swap |
SHORT |
6786 |
GBP 17.00 |
|
|
(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: |
05/08/2010 |
|
|
Contact name: |
Doug Berwick |
|
|
Telephone number: |
+44 20 7995 8859 |
|
|
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 |
Tomkins Plc |
|
|
relevant securities this form relates: |
|
|
(c) Name of the party to the offer with which exempt |
Advisor to Pinafore LLC and Pinafore, |
|
|
|
Inc |
|
|
principal trader is connected: |
|
|
(d) Date dealing undertaken: |
04/08/2010 |
|
|
(e) Has the EPT previously disclosed, or is it today |
NO |
|
|
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 - GB0008962655 |
Purchase |
1,145,571 |
GBP 3.23 |
GBP 3.23 |
|
|
Common - GB0008962655 |
Sale |
1,094,361 |
GBP 3.23 |
GBP 3.22 |
|
|
(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 - GB0008962655 |
Swap |
LONG |
60000 |
GBP 3.23 |
|
|
Common - GB0008962655 |
Swap |
LONG |
6000 |
GBP 3.22 |
|
|
Class of |
Product |
Nature of dealing |
Number of |
Price per unit |
|
|
relevant |
description |
|
reference securities |
|
|
security |
eg. CFD |
|
|
Common - GB0008962655 |
Swap |
SHORT |
1200 |
GBP 3.23 |
|
|
Common - GB0008962655 |
Swap |
SHORT |
8000 |
GBP 3.23 |
|
|
Common - GB0008962655 |
Swap |
SHORT |
45382 |
GBP 3.23 |
|
|
Common - GB0008962655 |
Swap |
SHORT |
194068 |
GBP 3.23 |
|
|
(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: |
05/08/2010 |
|
|
Contact name: |
Doug Berwick |
|
|
Telephone number: |
+44 20 7995 8859 |
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