REG - Goldman Sachs (EPT)Xstrata PLC - Form 8.5 (EPT/RI)-Amendment

Fri Sep 28, 2012 10:34am EDT

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RNS Number : 4970N
GoldmanSachs International
28 September 2012
 

Amendment - due to the amendment of Option transactions, the disclosure made on 27 September for dealings on 26 September has been updated. Section 2(c) has 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

XSTRATA 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 GLENCORE INTERNATIONAL 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 0.5 ordinary

Purchases

887,591

9.7200 GBP

9.5300 GBP

USD 0.5 ordinary

Sales

828,706

9.7060 GBP

9.5270 GBP

 

 

(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 0.5 ordinary

CFD

Opening a long position

1,300

9.5617 GBP

USD 0.5 ordinary

CFD

Opening a short position

31,800

9.6033 GBP

USD 0.5 ordinary

CFD

Reducing a short position

14,769

9.6141 GBP

USD 0.5 ordinary

CFD

Reducing a short position

19,263

9.6141 GBP

USD 0.5 ordinary

CFD

Reducing a short position

586

9.6141 GBP

USD 0.5 ordinary

CFD

Reducing a long position

1,300

9.6363 GBP

USD 0.5 ordinary

CFD

Opening a short position

47,340

9.6430 GBP

USD 0.5 ordinary

CFD

Reducing a short position

390

9.6741 GBP

USD 0.5 ordinary

CFD

Reducing a short position

130

9.6741 GBP

USD 0.5 ordinary

CFD

Reducing a short position

44

9.6741 GBP

USD 0.5 ordinary

CFD

Reducing a short position

2,533

9.6741 GBP

USD 0.5 ordinary

CFD

Closing a short position

761

9.6741 GBP

USD 0.5 ordinary

CFD

Closing a short position

5,184

9.6741 GBP

USD 0.5 ordinary

CFD

Closing a short position

117

9.6741 GBP

USD 0.5 ordinary

CFD

Opening a short position

50,000

9.6870 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

USD 0.5 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

2,000 (2,000,000)

9.2000 GBP

AMERICAN

19/10/2012

0.0000 GBP

USD 0.5 ordinary

Put Option / (1.00 : 1,000.00)

Purchasing

2,000 (2,000,000)

9.6000 GBP

AMERICAN

19/10/2012

0.0000 GBP

USD 0.5 ordinary

Put Option / (1.00 : 1,000.00)

Selling

2,000 (2,000,000)

9.2000 GBP

AMERICAN

19/10/2012

0.0000 GBP

USD 0.5 ordinary

Put Option / (1.00 : 1,000.00)

Selling

2,000 (2,000,000)

9.6000 GBP

AMERICAN

19/10/2012

0.0000 GBP

 

(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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