REG - Goldman Sachs (EPT)Glencore Inter - Form 8.5 (EPT/RI)-Amendment

Fri Sep 28, 2012 10:33am EDT

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RNS Number : 4969N
GoldmanSachs International
28 September 2012
 

Amendment - due to the amendment of Equity and Derivative transactions, the disclosure made on 27 September for dealings on 26 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:

26 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

5,529,508
38,330

3.4410 GBP
52.5713 HKD

3.3730 GBP
39.4038 HKD

USD 0.01 ordinary

Sales

4,656,648
38,330
124,990

3.4415 GBP
52.5713 HKD
5.5204 USD

3.3740 GBP
39.4038 HKD
5.5204 USD

Convertible Bond

Purchases

100,000

120.8750 USD

120.8750 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 short position

3,700

3.3840 GBP

USD 0.01 ordinary

CFD

Reducing a short position

805

3.3842 GBP

USD 0.01 ordinary

CFD

Opening a long position

45,110

3.3850 GBP

USD 0.01 ordinary

CFD

Opening a short position

46,050

3.4025 GBP

USD 0.01 ordinary

CFD

Reducing a long position

58,101

3.4025 GBP

USD 0.01 ordinary

CFD

Opening a long position

26,944

3.4047 GBP

USD 0.01 ordinary

CFD

Opening a long position

24,648

3.4047 GBP

USD 0.01 ordinary

CFD

Opening a long position

10,041

3.4047 GBP

USD 0.01 ordinary

CFD

Opening a long position

2,427

3.4047 GBP

USD 0.01 ordinary

CFD

Opening a long position

1,558

3.4047 GBP

USD 0.01 ordinary

CFD

Opening a long position

11,646

3.4047 GBP

USD 0.01 ordinary

CFD

Opening a long position

32,736

3.4047 GBP

USD 0.01 ordinary

CFD

Opening a short position

805

3.4088 GBP

USD 0.01 ordinary

CFD

Opening a short position

3,700

3.4090 GBP

USD 0.01 ordinary

CFD

Opening a long position

101,502

3.4114 GBP

USD 0.01 ordinary

CFD

Reducing a short position

46,050

3.4114 GBP

USD 0.01 ordinary

CFD

Closing a long position

24,701

3.4148 GBP

USD 0.01 ordinary

CFD

Reducing a long position

38,720

3.4148 GBP

USD 0.01 ordinary

CFD

Closing a long position

20,574

3.4148 GBP

USD 0.01 ordinary

CFD

Reducing a long position

15,765

3.4148 GBP

USD 0.01 ordinary

CFD

Closing a long position

9,477

3.4148 GBP

USD 0.01 ordinary

CFD

Closing a long position

78,077

3.4148 GBP

USD 0.01 ordinary

CFD

Reducing a long position

78,459

3.4148 GBP

USD 0.01 ordinary

CFD

Reducing a long position

34,227

3.4148 GBP

USD 0.01 ordinary

CFD

Reducing a long position

25,000

3.4167 GBP

USD 0.01 ordinary

CFD

Reducing a long position

5,000

3.4182 GBP

USD 0.01 ordinary

CFD

Closing a long position

20,000

3.4182 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

10,972

3.3850 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

92

3.3850 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

21,851

3.3850 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

7,622

3.3850 GBP

USD 0.01 ordinary

SWAP

Reducing a long position

4,573

3.3850 GBP

USD 0.01 ordinary

SWAP

Opening a long position

26,944

3.4047 GBP

USD 0.01 ordinary

SWAP

Opening a short position

1,000,000

3.4085 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:

28 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 monitoring@disclosure.org.uk.  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.


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