Market Snapshot
  • U.S.
  • Europe
  • Asia
Ticker Volume Price Price Delta
DJIA 16,408.54 -16.31 -0.10%
S&P 500 1,864.85 2.54 0.14%
NASDAQ 4,095.52 9.29 0.23%
Ticker Volume Price Price Delta
STOXX 50 3,155.81 16.55 0.53%
FTSE 100 6,625.25 41.08 0.62%
DAX 9,409.71 91.89 0.99%
Ticker Volume Price Price Delta
NIKKEI 14,516.27 98.74 0.68%
TOPIX 1,173.37 6.78 0.58%
HANG SENG 22,760.24 64.23 0.28%

Goldman Sachs (EPT) Form 8.5 (EPT/NON-RI)



  Goldman Sachs (EPT) - Form 8.5 (EPT/NON-RI)

RNS Number : 6550Q
GoldmanSachs International
08 November 2012
 

 

                                                         FORM 8.5 (EPT/NON-RI)

                                       

 PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL
 TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS
                               NOT APPLICABLE)

                  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      GLENCORE INTERNATIONAL PLC
whose relevant securities this form relates:

     Use a separate form for each
offeror/offeree
(c) Name of the party to the offer with which   XSTRATA PLC
exempt principal trader is connected:
(d) Date position held/dealing undertaken:      07 November 2012
(e) Has the EPT previously disclosed, or is it  YES - disclosed previously for
today disclosing, under the Code in respect of  XSTRATA PLC
any other party to this offer?

 

2.         POSITIONS OF THE EXEMPT PRINCIPAL TRADER

 

(a)        Interests and short positions in the relevant securities of the
offeror or offeree to which the disclosure relates following the dealing (if
any)

 

Class of relevant security:                           USD 0.01 ordinary

 
                                                  Interests    Short positions
                                                 Number    %     Number    %
(1) Relevant securities owned and/or           13,897,447 0.20  188,553   0.00
controlled:
(2) Derivatives (other than options):              0      0.00     0      0.00
(3) Options and agreements to purchase/sell:       0      0.00 10,080,000 0.14
                                               13,897,447 0.20 10,268,553 0.14

     TOTAL:

 

 

 

All interests and all short positions should be disclosed.

 

Details of any open derivative or option positions, or agreements to  purchase 
or sell relevant securities,  should be given on  a Supplemental Form 8  (Open 
Positions).

 

(b)        Rights to subscribe for new securities (including directors' and
other executive options)

 

Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:

 

If there are positions  or rights to  subscribe to disclose  in more than  one 
class of relevant  securities of the  offeror or offeree  named in 1(b),  copy 
table 2(a)  or (b)  (as appropriate)  for each  additional class  of  relevant 
security.

 

3.         DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

 

(a)        Purchases and sales

 

Class of relevant security Purchase/sale Number of securities Price per unit

                                  
    USD 0.01 ordinary        Purchase                     100     3.3875 GBP
    USD 0.01 ordinary        Purchase                     300     3.3880 GBP
    USD 0.01 ordinary        Purchase                     200     3.3885 GBP
    USD 0.01 ordinary        Purchase                     100     3.3885 GBP
    USD 0.01 ordinary        Purchase                     100     3.3895 GBP
    USD 0.01 ordinary        Purchase                     100     3.3895 GBP
    USD 0.01 ordinary        Purchase                     100     3.3940 GBP
    USD 0.01 ordinary        Purchase                     100     3.3940 GBP
    USD 0.01 ordinary        Purchase                     100     3.3955 GBP
    USD 0.01 ordinary          Sale                       100     3.3895 GBP
    USD 0.01 ordinary          Sale                       400     3.3895 GBP
    USD 0.01 ordinary          Sale                       300     3.3895 GBP
    USD 0.01 ordinary          Sale                       200     3.3895 GBP
    USD 0.01 ordinary          Sale                       378     3.3900 GBP
    USD 0.01 ordinary          Sale                        22     3.3900 GBP
    USD 0.01 ordinary          Sale                       200     3.3900 GBP
    USD 0.01 ordinary          Sale                       300     3.3900 GBP
    USD 0.01 ordinary          Sale                       100     3.3900 GBP
    USD 0.01 ordinary          Sale                       300     3.3905 GBP
    USD 0.01 ordinary          Sale                       300     3.3905 GBP
    USD 0.01 ordinary          Sale                       100     3.3905 GBP
    USD 0.01 ordinary          Sale                       200     3.3905 GBP
    USD 0.01 ordinary          Sale                       300     3.3905 GBP
    USD 0.01 ordinary          Sale                       200     3.3905 GBP
    USD 0.01 ordinary          Sale                       300     3.3905 GBP
    USD 0.01 ordinary          Sale                       100     3.3905 GBP
    USD 0.01 ordinary          Sale                       100     3.3905 GBP
    USD 0.01 ordinary          Sale                       400     3.3905 GBP
    USD 0.01 ordinary          Sale                       100     3.3905 GBP
    USD 0.01 ordinary          Sale                       400     3.3910 GBP
    USD 0.01 ordinary          Sale                       100     3.3910 GBP
    USD 0.01 ordinary          Sale                       100     3.3910 GBP
    USD 0.01 ordinary          Sale                       200     3.3910 GBP
    USD 0.01 ordinary          Sale                       400     3.3910 GBP
    USD 0.01 ordinary          Sale                       200     3.3910 GBP
    USD 0.01 ordinary          Sale                       100     3.3910 GBP
    USD 0.01 ordinary          Sale                        70     3.3910 GBP
    USD 0.01 ordinary          Sale                       200     3.3910 GBP
    USD 0.01 ordinary          Sale                        30     3.3910 GBP
    USD 0.01 ordinary          Sale                       300     3.3915 GBP
    USD 0.01 ordinary          Sale                       100     3.3915 GBP
    USD 0.01 ordinary          Sale                       400     3.3915 GBP
    USD 0.01 ordinary          Sale                       200     3.3915 GBP
    USD 0.01 ordinary          Sale                       200     3.3915 GBP
    USD 0.01 ordinary          Sale                       200     3.3915 GBP
    USD 0.01 ordinary          Sale                       100     3.3915 GBP
    USD 0.01 ordinary          Sale                       400     3.3920 GBP
    USD 0.01 ordinary          Sale                       300     3.3920 GBP
    USD 0.01 ordinary          Sale                       100     3.3920 GBP
    USD 0.01 ordinary          Sale                       200     3.3920 GBP
    USD 0.01 ordinary          Sale                       200     3.3920 GBP
    USD 0.01 ordinary          Sale                       200     3.3920 GBP
    USD 0.01 ordinary          Sale                       200     3.3920 GBP
    USD 0.01 ordinary          Sale                       100     3.3920 GBP
    USD 0.01 ordinary          Sale                       100     3.3920 GBP
    USD 0.01 ordinary          Sale                       200     3.3925 GBP
    USD 0.01 ordinary          Sale                       200     3.3925 GBP
    USD 0.01 ordinary          Sale                       200     3.3925 GBP
    USD 0.01 ordinary          Sale                       200     3.3925 GBP
    USD 0.01 ordinary          Sale                       200     3.3925 GBP
    USD 0.01 ordinary          Sale                       200     3.3925 GBP
    USD 0.01 ordinary          Sale                       100     3.3925 GBP
    USD 0.01 ordinary          Sale                       100     3.3930 GBP
    USD 0.01 ordinary          Sale                       200     3.3930 GBP
    USD 0.01 ordinary          Sale                       200     3.3930 GBP
    USD 0.01 ordinary          Sale                       300     3.3930 GBP
    USD 0.01 ordinary          Sale                       300     3.3930 GBP
    USD 0.01 ordinary          Sale                       400     3.3930 GBP
    USD 0.01 ordinary          Sale                       100     3.3935 GBP
    USD 0.01 ordinary          Sale                       200     3.3935 GBP
    USD 0.01 ordinary          Sale                       100     3.3935 GBP
    USD 0.01 ordinary          Sale                       200     3.3935 GBP
    USD 0.01 ordinary          Sale                       400     3.3935 GBP
    USD 0.01 ordinary          Sale                       100     3.3935 GBP
    USD 0.01 ordinary          Sale                       200     3.3935 GBP
    USD 0.01 ordinary          Sale                       400     3.3940 GBP
    USD 0.01 ordinary          Sale                       100     3.3940 GBP
    USD 0.01 ordinary          Sale                       100     3.3940 GBP
    USD 0.01 ordinary          Sale                       300     3.3945 GBP
    USD 0.01 ordinary          Sale                       400     3.3945 GBP
    USD 0.01 ordinary          Sale                       100     3.3945 GBP
    USD 0.01 ordinary          Sale                       300     3.3945 GBP
    USD 0.01 ordinary          Sale                       300     3.3945 GBP
    USD 0.01 ordinary          Sale                       300     3.3950 GBP
    USD 0.01 ordinary          Sale                       400     3.3950 GBP
    USD 0.01 ordinary          Sale                       100     3.3950 GBP
    USD 0.01 ordinary          Sale                        42     3.3950 GBP
    USD 0.01 ordinary          Sale                       100     3.3950 GBP
    USD 0.01 ordinary          Sale                       358     3.3950 GBP
    USD 0.01 ordinary          Sale                       100     3.3955 GBP
    USD 0.01 ordinary          Sale                       400     3.3955 GBP
    USD 0.01 ordinary          Sale                       400     3.3955 GBP
    USD 0.01 ordinary          Sale                       200     3.3955 GBP
    USD 0.01 ordinary          Sale                       100     3.3955 GBP
    USD 0.01 ordinary          Sale                       100     3.3955 GBP
    USD 0.01 ordinary          Sale                       300     3.3955 GBP
    USD 0.01 ordinary          Sale                       400     3.3955 GBP
    USD 0.01 ordinary          Sale                       300     3.3960 GBP
    USD 0.01 ordinary          Sale                       126     3.3960 GBP
    USD 0.01 ordinary          Sale                       100     3.3960 GBP
    USD 0.01 ordinary          Sale                       100     3.3960 GBP
    USD 0.01 ordinary          Sale                       300     3.3960 GBP
    USD 0.01 ordinary          Sale                       400     3.3960 GBP
    USD 0.01 ordinary          Sale                       100     3.3960 GBP
    USD 0.01 ordinary          Sale                       400     3.3960 GBP
    USD 0.01 ordinary          Sale                       200     3.3960 GBP
    USD 0.01 ordinary          Sale                       100     3.3965 GBP
    USD 0.01 ordinary          Sale                       100     3.3965 GBP
    USD 0.01 ordinary          Sale                       300     3.3965 GBP
    USD 0.01 ordinary          Sale                       169     3.3965 GBP
    USD 0.01 ordinary          Sale                       100     3.3965 GBP
    USD 0.01 ordinary          Sale                       300     3.3965 GBP
    USD 0.01 ordinary          Sale                       100     3.3965 GBP
    USD 0.01 ordinary          Sale                        96     3.3965 GBP
    USD 0.01 ordinary          Sale                       300     3.3965 GBP
    USD 0.01 ordinary          Sale                        35     3.3965 GBP
    USD 0.01 ordinary          Sale                       400     3.3965 GBP
    USD 0.01 ordinary          Sale                       231     3.3970 GBP
    USD 0.01 ordinary          Sale                       300     3.3970 GBP
    USD 0.01 ordinary          Sale                       100     3.3970 GBP
    USD 0.01 ordinary          Sale                        69     3.3970 GBP
    USD 0.01 ordinary          Sale                       100     3.3970 GBP
    USD 0.01 ordinary          Sale                       400     3.3970 GBP
    USD 0.01 ordinary          Sale                       400     3.3970 GBP
    USD 0.01 ordinary          Sale                       400     3.3970 GBP
    USD 0.01 ordinary          Sale                       400     3.3970 GBP
    USD 0.01 ordinary          Sale                       100     3.3975 GBP
    USD 0.01 ordinary          Sale                       100     3.3975 GBP
    USD 0.01 ordinary          Sale                       100     3.3990 GBP
    USD 0.01 ordinary          Sale                       100     3.3990 GBP
    USD 0.01 ordinary          Sale                       100     3.3995 GBP
    USD 0.01 ordinary          Sale                       100     3.3995 GBP
    USD 0.01 ordinary          Sale                       100     3.4000 GBP
    USD 0.01 ordinary          Sale                       100     3.4005 GBP
    USD 0.01 ordinary          Sale                       100     3.4010 GBP
    USD 0.01 ordinary          Sale                       266     3.4035 GBP
    USD 0.01 ordinary          Sale                       949     3.4035 GBP
    USD 0.01 ordinary          Sale                     1,210     3.4040 GBP
    USD 0.01 ordinary          Sale                     1,746     3.4045 GBP
    USD 0.01 ordinary          Sale                         7     3.4055 GBP
    USD 0.01 ordinary          Sale                     1,981     3.4055 GBP
    USD 0.01 ordinary          Sale                     1,436     3.4055 GBP
    USD 0.01 ordinary          Sale                       973     3.4060 GBP
    USD 0.01 ordinary          Sale                       757     3.4090 GBP
    USD 0.01 ordinary          Sale                       997     3.4090 GBP
    USD 0.01 ordinary          Sale                       300     3.4105 GBP
    USD 0.01 ordinary          Sale                        73     3.4105 GBP
    USD 0.01 ordinary          Sale                       300     3.4105 GBP
    USD 0.01 ordinary          Sale                     1,000     3.4105 GBP
    USD 0.01 ordinary          Sale                       887     3.4115 GBP
    USD 0.01 ordinary          Sale                     1,892     3.4165 GBP
    USD 0.01 ordinary          Sale                     1,738     3.4165 GBP
    USD 0.01 ordinary          Sale                       998     3.4175 GBP
    USD 0.01 ordinary          Sale                     1,683     3.4175 GBP
    USD 0.01 ordinary          Sale                       800     3.4175 GBP
    USD 0.01 ordinary          Sale                       403     3.4190 GBP
    USD 0.01 ordinary          Sale                       700     3.4210 GBP
    USD 0.01 ordinary          Sale                       119     3.4210 GBP
    USD 0.01 ordinary          Sale                       800     3.4215 GBP
    USD 0.01 ordinary          Sale                       256     3.4215 GBP
    USD 0.01 ordinary          Sale                       852     3.4215 GBP
    USD 0.01 ordinary          Sale                     1,457     3.4215 GBP
    USD 0.01 ordinary          Sale                       600     3.4215 GBP
    USD 0.01 ordinary          Sale                     1,555     3.4245 GBP
    USD 0.01 ordinary          Sale                       468     3.4245 GBP
    USD 0.01 ordinary          Sale                     1,726     3.4255 GBP
    USD 0.01 ordinary          Sale                     1,223     3.4265 GBP
    USD 0.01 ordinary          Sale                     1,464     3.4271 GBP
    USD 0.01 ordinary          Sale                     1,542     3.4290 GBP
    USD 0.01 ordinary          Sale                       800     3.4400 GBP
    USD 0.01 ordinary          Sale                     1,614     3.4400 GBP
    USD 0.01 ordinary          Sale                     1,180     3.4400 GBP
    USD 0.01 ordinary          Sale                    10,269     3.4412 GBP
    USD 0.01 ordinary          Sale                     1,680     3.4445 GBP
    USD 0.01 ordinary          Sale                       879     3.4700 GBP

 

 

Class of relevant security Purchases/sales Total number of securities
    USD 0.01 ordinary         Purchases                         1,200
    USD 0.01 ordinary           Sales                          75,806

 

(b)        Derivatives transactions (other than options)

 

Class of   Product              Nature of dealing             Number of  Price
relevant description                                          reference   per
security                e.g. opening/closing a long/short     securities unit
          e.g. CFD       position, increasing/reducing a
                               long/short position

 

 

(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  e.g. call   selling,    to which  per unit   e.g.            paid/
           option      varying     option            American,        received
                        etc.      relates            European         per unit
                                                       etc.

 

(ii)        Exercising

 

 Class of relevant  Product description      Number of      Exercise price per
     security                               securities             unit
                     e.g. call option

 

(d)        Other dealings (including subscribing for new securities)

 

 Class of relevant       Nature of dealing     Details   Price per unit (if
      security                                               applicable)
                        e.g. subscription,
                            conversion
                      

                      

 

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 3(a), (b), (c) or (d)  (as 
appropriate) for each additional class of relevant security dealt in.

 

4.         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

 

 

(c)        Attachments

 

Is a Supplemental Form 8 (Open Positions) attached? YES

 

 

        Date of disclosure: 08 November 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.

 

 

 

 

 

 

 

 

 

  DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR
                                  SELL ETC.

 

 

            Note 5(i) on Rule 8 of the Takeover Code (the "Code")

                                       

 

1.         KEY INFORMATION

 

Identity of person whose open positions are being   (GS) GOLDMAN, SACHS
disclosed:                                          INTERNATIONAL
Name of offeror/offeree in relation to whose        GLENCORE INTERNATIONAL PLC
relevant securities the disclosure relates:

 

2.         OPTIONS AND DERIVATIVES

 

Class of   Product   Written or   Number of    Exercise    Type    Expiry date
relevant description purchased  securities to  price per
security  e.g. call              which option    unit      e.g.
           option*              or derivative            American,
                                   relates               European
                                                           etc.
USD 0.01 Call Option  Selling     1,400,000     3.6000   EUROPEAN  21/12/2012
ordinary                                          GBP
USD 0.01 Call Option  Selling      570,000      3.8500   EUROPEAN  21/12/2012
ordinary                                          GBP
USD 0.01 Call Option  Selling      570,000      3.9000   EUROPEAN  27/11/2012
ordinary                                          GBP
USD 0.01 Call Option  Selling     1,200,000     3.9000   EUROPEAN  27/11/2012
ordinary                                          GBP
USD 0.01 Call Option  Selling      600,000      3.9000   EUROPEAN  27/11/2012
ordinary                                          GBP
USD 0.01 Call Option  Selling      600,000      3.8500   EUROPEAN  21/12/2012
ordinary                                          GBP
USD 0.01 Call Option  Selling      600,000      3.7500   EUROPEAN  11/12/2012
ordinary                                          GBP
USD 0.01 Call Option  Selling      570,000      3.7500   EUROPEAN  11/12/2012
ordinary                                          GBP
USD 0.01 Call Option  Selling     1,200,000     3.7500   EUROPEAN  11/12/2012
ordinary                                          GBP
USD 0.01 Call Option  Selling      570,000      3.9500   EUROPEAN  10/01/2013
ordinary                                          GBP
USD 0.01 Call Option  Selling      600,000      3.9500   EUROPEAN  10/01/2013
ordinary                                          GBP
USD 0.01 Call Option  Selling     1,200,000     3.9500   EUROPEAN  10/01/2013
ordinary                                          GBP
USD 0.01 Call Option  Selling      400,000      3.7500   EUROPEAN  11/12/2012
ordinary                                          GBP

 

 

3.         AGREEMENTS TO PURCHASE OR SELL ETC.

 

Full details should be given  so that the nature  of the interest or  position 
can be fully understood:
 

 

 

 

 

It is not necessary to provide details on a Supplemental Form (Open Positions)
with regard to contracts for differences ("CFDs") or spread bets.

 

The currency of all prices and other monetary amounts should be stated.

 

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

 

                     This information is provided by RNS
           The company news service from the London Stock Exchange
 
END
 
 
FEOBPBMTMBAMBPT -0- Nov/08/2012 10:59 GMT
Sponsored Links
Advertisement
Advertisements
Sponsored Links
Advertisement