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Goldman Sachs (Asia) Form 8 (DD) - [Glencore International]



  Goldman Sachs (Asia) - Form 8 (DD) - [Glencore International]

RNS Number : 7750Q
Goldman Sachs (Asia) Finance
09 November 2012
 

 

                                                                   FORM 8 (DD)

                                       

 PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT
   (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)

           Rules 8.1, 8.2 and 8.4 of the Takeover Code (the "Code")

                                       

1.         KEY INFORMATION

 

(a) Identity of the party to the offer or person    (GS) GOLDMAN SACHS (ASIA)
acting in concert making the disclosure:            FINANCE
(b) Owner or controller of interests and short
positions disclosed, if different from 1(a):

     The naming of nominee or vehicle companies is
insufficient
(c) Name of offeror/offeree in relation to whose    GLENCORE INTERNATIONAL PLC
relevant securities this form relates:

     Use a separate form for each offeror/offeree
(d) Status of person making the disclosure:         Advisor to XSTRATA PLC

     e.g. offeror, offeree, person acting in
concert with the offeror/offeree (specify name of
offeror/offeree)
(e) Date dealing undertaken:                        08 November 2012
(f)  Has the party previously disclosed, or is it   NO
today disclosing, under the Code in respect of any
other party to this offer?

 

2.         POSITIONS OF THE PERSON MAKING THE DISCLOSURE

 

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

 

Class of relevant security:                           USD 0.01 ordinary

 
                                                 Interests    Short positions
                                                Number    %     Number     %
(1) Relevant securities owned and/or           1,292,199 0.01   2,386    0.00
controlled:
(2) Derivatives (other than options):           927,000  0.01     0      0.00
(3) Options and agreements to purchase/sell:       0     0.00 7,802,465* 0.11*
                                               2,219,199 0.03 7,804,851* 0.11*

     TOTAL:

* (GS)  GOLDMAN  SACHS  (ASIA) FINANCE  resulting  position  includes  changes 
resulting from non-trade related activity.

 

 

 

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).

 

Details of  any  securities  borrowing  and  lending  positions  or  financial 
collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

 

(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(c),  copy 
table 2(a)  or (b)  (as appropriate)  for each  additional class  of  relevant 
security.

 

3.         DEALINGS BY THE PERSON MAKING THE DISCLOSURE

 

(a)        Purchases and sales

 

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

                                  
    USD 0.01 ordinary        Purchase                  20,300    42.4000 HKD
    USD 0.01 ordinary          Sale                       464    39.4034 HKD
    USD 0.01 ordinary          Sale                     1,392    39.4034 HKD
    USD 0.01 ordinary          Sale                       464    39.4034 HKD
    USD 0.01 ordinary          Sale                       560    39.6624 HKD
    USD 0.01 ordinary          Sale                       140    39.6624 HKD
    USD 0.01 ordinary          Sale                       252    40.5715 HKD
    USD 0.01 ordinary          Sale                     1,008    40.5715 HKD
    USD 0.01 ordinary          Sale                       360    40.5968 HKD
    USD 0.01 ordinary          Sale                       420    40.7799 HKD
    USD 0.01 ordinary          Sale                       140    40.7799 HKD
    USD 0.01 ordinary          Sale                       140    40.7799 HKD
    USD 0.01 ordinary          Sale                       420    41.1305 HKD
    USD 0.01 ordinary          Sale                       130    41.5756 HKD
    USD 0.01 ordinary          Sale                       130    41.5756 HKD
    USD 0.01 ordinary          Sale                       462    41.6501 HKD
    USD 0.01 ordinary          Sale                     1,386    41.6501 HKD
    USD 0.01 ordinary          Sale                       462    41.6501 HKD
    USD 0.01 ordinary          Sale                     1,072    42.8148 HKD
    USD 0.01 ordinary          Sale                       268    42.8148 HKD
    USD 0.01 ordinary          Sale                       848    43.3327 HKD
    USD 0.01 ordinary          Sale                       212    43.3327 HKD
    USD 0.01 ordinary          Sale                       300    45.1351 HKD
    USD 0.01 ordinary          Sale                       416    46.3334 HKD
    USD 0.01 ordinary          Sale                       624    46.3334 HKD
    USD 0.01 ordinary          Sale                       900    47.6187 HKD
    USD 0.01 ordinary          Sale                       100    47.6187 HKD
    USD 0.01 ordinary          Sale                       760    50.0956 HKD
    USD 0.01 ordinary          Sale                     3,040    50.0956 HKD
    USD 0.01 ordinary          Sale                       752    50.6291 HKD
    USD 0.01 ordinary          Sale                     3,008    50.6291 HKD
    USD 0.01 ordinary          Sale                        36    52.2936 HKD
    USD 0.01 ordinary          Sale                       324    52.2936 HKD
    USD 0.01 ordinary          Sale                     1,620    52.5713 HKD
    USD 0.01 ordinary          Sale                       180    52.5713 HKD

 

 

Class of relevant security Purchases/sales Total number of securities
    USD 0.01 ordinary         Purchases                        20,300
    USD 0.01 ordinary           Sales                          22,790

 

(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.
USD 0.01 BBM Barrier   Written      100     40.5344  EUROPEAN  07/11/2013  0.0000
ordinary Option (1:2                          HKD
          Leverage)

 

(ii)        Exercising

 

 Class of relevant  Product description      Number of      Exercise price per
     security                               securities             unit
                     e.g. call option
 USD 0.01 ordinary      Put Option              416            46.2871 HKD
 USD 0.01 ordinary      Put Option              624            46.2871 HKD
 USD 0.01 ordinary      Put Option              100            47.5711 HKD
 USD 0.01 ordinary      Put Option              900            47.5711 HKD
 USD 0.01 ordinary      Put Option              300            45.0900 HKD
 USD 0.01 ordinary      Put Option              180            52.5188 HKD
 USD 0.01 ordinary      Put Option             1,620           52.5188 HKD
 USD 0.01 ordinary      Put Option              36             52.2414 HKD
 USD 0.01 ordinary      Put Option              324            52.2414 HKD
 USD 0.01 ordinary      Put Option              752            50.5785 HKD
 USD 0.01 ordinary      Put Option             3,008           50.5785 HKD
 USD 0.01 ordinary      Put Option              760            50.0456 HKD
 USD 0.01 ordinary      Put Option             3,040           50.0456 HKD
 USD 0.01 ordinary      Call Option             464            39.3608 HKD
 USD 0.01 ordinary      Call Option             464            39.3608 HKD
 USD 0.01 ordinary      Call Option            1,392           39.3608 HKD
 USD 0.01 ordinary      Call Option             140            40.7373 HKD
 USD 0.01 ordinary      Call Option             140            40.7373 HKD
 USD 0.01 ordinary      Call Option             420            40.7373 HKD
 USD 0.01 ordinary      Call Option             462            41.6075 HKD
 USD 0.01 ordinary      Call Option             462            41.6075 HKD
 USD 0.01 ordinary      Call Option            1,386           41.6075 HKD
 USD 0.01 ordinary      Put Option              212            43.2894 HKD
 USD 0.01 ordinary      Put Option              848            43.2894 HKD
 USD 0.01 ordinary      Put Option              268            42.7720 HKD
 USD 0.01 ordinary      Put Option             1,072           42.7720 HKD
 USD 0.01 ordinary      Call Option             130            41.5330 HKD
 USD 0.01 ordinary      Call Option             130            41.5330 HKD
 USD 0.01 ordinary      Call Option             252            40.5289 HKD
 USD 0.01 ordinary      Call Option            1,008           40.5289 HKD
 USD 0.01 ordinary      Call Option             560            39.6198 HKD
 USD 0.01 ordinary      Call Option             140            39.6198 HKD
 USD 0.01 ordinary      Call Option             420            41.0879 HKD
 USD 0.01 ordinary      Call Option             360            40.5542 HKD

 

 (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(c), 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 party to
the offer or person acting in concert making the disclosure and any other
person:

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 party to the offer or person acting in concert 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

 

Are any Supplemental Forms attached?

 

Supplemental Form 8 (Open Positions) YES
Supplemental Form 8 (SBL)            NO

 

 

        Date of disclosure: 09 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 (ASIA)
disclosed:                                          FINANCE
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 BBM Barrier  Written         50        47.5711  European  09/11/2012
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        450        47.5711  European  09/11/2012
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        150        45.0900  European  16/11/2012
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written         90        52.5188  European  04/02/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        810        52.5188  European  04/02/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written         18        52.2414  European  05/02/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        162        52.2414  European  05/02/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        376        50.5785  European  02/05/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written       1,504       50.5785  European  02/05/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        380        50.0456  European  02/05/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written       1,520       50.0456  European  02/05/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        464        39.3608  European  19/08/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        464        39.3608  European  19/08/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written       1,392       39.3608  European  19/08/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        140        40.7373  European  30/08/2013
ordinary Option (1:2
          Leverage)                               HKD                    
USD 0.01 BBM Barrier  Written        140        40.7373  European  30/08/2013
ordinary Option (1:2
          Leverage)                               HKD                    
USD 0.01 BBM Barrier  Written        420        40.7373  European  30/08/2013
ordinary Option (1:2
          Leverage)                               HKD                    
USD 0.01 BBM Barrier  Written        462        41.6075  EUROPEAN  12/09/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        462        41.6075  EUROPEAN  12/09/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written       1,386       41.6075  EUROPEAN  12/09/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        106        43.2894  EUROPEAN  17/09/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        424        43.2894  EUROPEAN  17/09/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        134        42.7720  EUROPEAN  23/09/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        536        42.7720  EUROPEAN  23/09/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        130        41.5330  EUROPEAN  27/09/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        130        41.5330  EUROPEAN  27/09/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        252        40.5289  EUROPEAN  02/10/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written       1,008       40.5289  EUROPEAN  02/10/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        560        39.6198  EUROPEAN  07/10/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        140        39.6198  EUROPEAN  07/10/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        420        41.0879  EUROPEAN  21/10/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        360        40.5542  EUROPEAN  23/10/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 BBM Barrier  Written        100        40.5344  EUROPEAN  07/11/2013
ordinary Option (1:2                              HKD
          Leverage)
USD 0.01 Put Option   Selling     1,019,038     3.1350   American  21/12/2012
ordinary                                          GBP
USD 0.01 Put Option   Selling     880,499.7     3.5000   EUROPEAN  15/03/2013
ordinary                                          GBP
USD 0.01 Call Option  Selling     898,287.5     3.5000   EUROPEAN  15/03/2013
ordinary                                          GBP
USD 0.01    SWAP        Long       927,000        N/A       N/A        N/A
ordinary

 

* Buy below market  options consist of  levered call and  put options. If  the 
barrier price of the option is reached or exceeded, there will be no  delivery 
obligation on that day or any subsequent day in the future.

 

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
 
 
DCCUGGCAGUPPGGB -0- Nov/09/2012 11:57 GMT
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