Goldman Sachs (EPT) Form 8.5 (EPT/NON-RI)
Goldman Sachs (EPT) - Form 8.5 (EPT/NON-RI)
RNS Number : 2057S
GoldmanSachs International
28 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: 27 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 15,034,726* 0.21* 170,141 0.00
controlled:
(2) Derivatives (other than options): 0 0.00 0 0.00
(3) Options and agreements to purchase/sell: 0 0.00 13,680,000 0.19
15,034,726* 0.21* 13,850,141 0.19
TOTAL:
* (GS) GOLDMAN SACHS INTERNATIONAL 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).
(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 800 3.3740 GBP
USD 0.01 ordinary Purchase 100 3.3740 GBP
USD 0.01 ordinary Purchase 100 3.3750 GBP
USD 0.01 ordinary Purchase 100 3.3755 GBP
USD 0.01 ordinary Purchase 100 3.3770 GBP
USD 0.01 ordinary Purchase 100 3.3785 GBP
USD 0.01 ordinary Purchase 100 3.3785 GBP
USD 0.01 ordinary Purchase 100 3.3795 GBP
USD 0.01 ordinary Purchase 100 3.3795 GBP
USD 0.01 ordinary Purchase 253 3.3835 GBP
USD 0.01 ordinary Purchase 1,500 3.3845 GBP
USD 0.01 ordinary Sale 100 3.3790 GBP
USD 0.01 ordinary Sale 100 3.3795 GBP
USD 0.01 ordinary Sale 100 3.3795 GBP
USD 0.01 ordinary Sale 100 3.3800 GBP
USD 0.01 ordinary Sale 100 3.3805 GBP
USD 0.01 ordinary Sale 100 3.3810 GBP
USD 0.01 ordinary Sale 100 3.3810 GBP
USD 0.01 ordinary Sale 1,300 3.3810 GBP
USD 0.01 ordinary Sale 100 3.3815 GBP
USD 0.01 ordinary Sale 200 3.3815 GBP
USD 0.01 ordinary Sale 1,500 3.3815 GBP
USD 0.01 ordinary Sale 1,700 3.3815 GBP
USD 0.01 ordinary Sale 1,300 3.3815 GBP
USD 0.01 ordinary Sale 300 3.3815 GBP
USD 0.01 ordinary Sale 100 3.3820 GBP
USD 0.01 ordinary Sale 100 3.3820 GBP
USD 0.01 ordinary Sale 1,700 3.3820 GBP
USD 0.01 ordinary Sale 1,700 3.3825 GBP
USD 0.01 ordinary Sale 1,700 3.3825 GBP
USD 0.01 ordinary Sale 46 3.3825 GBP
USD 0.01 ordinary Sale 254 3.3825 GBP
USD 0.01 ordinary Sale 100 3.3825 GBP
USD 0.01 ordinary Sale 300 3.3830 GBP
USD 0.01 ordinary Sale 1,700 3.3830 GBP
USD 0.01 ordinary Sale 1,700 3.3830 GBP
USD 0.01 ordinary Sale 100 3.3830 GBP
USD 0.01 ordinary Sale 1,125 3.3830 GBP
USD 0.01 ordinary Sale 300 3.3830 GBP
USD 0.01 ordinary Sale 100 3.3830 GBP
USD 0.01 ordinary Sale 168 3.3830 GBP
USD 0.01 ordinary Sale 132 3.3830 GBP
USD 0.01 ordinary Sale 528 3.3830 GBP
USD 0.01 ordinary Sale 100 3.3830 GBP
USD 0.01 ordinary Sale 300 3.3830 GBP
USD 0.01 ordinary Sale 1,172 3.3830 GBP
USD 0.01 ordinary Sale 100 3.3835 GBP
USD 0.01 ordinary Sale 504 3.3835 GBP
USD 0.01 ordinary Sale 598 3.3835 GBP
USD 0.01 ordinary Sale 300 3.3835 GBP
USD 0.01 ordinary Sale 200 3.3835 GBP
USD 0.01 ordinary Sale 65 3.3835 GBP
USD 0.01 ordinary Sale 902 3.3835 GBP
USD 0.01 ordinary Sale 2,004 3.3840 GBP
USD 0.01 ordinary Sale 1,500 3.3845 GBP
USD 0.01 ordinary Sale 1,500 3.3845 GBP
USD 0.01 ordinary Sale 300 3.3845 GBP
USD 0.01 ordinary Sale 300 3.3845 GBP
USD 0.01 ordinary Sale 1,500 3.3850 GBP
USD 0.01 ordinary Sale 1,500 3.3850 GBP
USD 0.01 ordinary Sale 300 3.3855 GBP
USD 0.01 ordinary Sale 100 3.3860 GBP
USD 0.01 ordinary Sale 98 3.3860 GBP
USD 0.01 ordinary Sale 1,565 3.3860 GBP
USD 0.01 ordinary Sale 300 3.3860 GBP
USD 0.01 ordinary Sale 700 3.3865 GBP
USD 0.01 ordinary Sale 800 3.3865 GBP
USD 0.01 ordinary Sale 100 3.3865 GBP
USD 0.01 ordinary Sale 1,500 3.3865 GBP
USD 0.01 ordinary Sale 1,385 3.3870 GBP
USD 0.01 ordinary Sale 100 3.3870 GBP
USD 0.01 ordinary Sale 100 3.3875 GBP
USD 0.01 ordinary Sale 100 3.3890 GBP
USD 0.01 ordinary Sale 935 3.3960 GBP
USD 0.01 ordinary Sale 209 3.3965 GBP
USD 0.01 ordinary Sale 689 3.3965 GBP
USD 0.01 ordinary Sale 921 3.3970 GBP
USD 0.01 ordinary Sale 1,497 3.3970 GBP
USD 0.01 ordinary Sale 1,499 3.3970 GBP
USD 0.01 ordinary Sale 62 3.3970 GBP
USD 0.01 ordinary Sale 1,102 3.3975 GBP
USD 0.01 ordinary Sale 900 3.3975 GBP
USD 0.01 ordinary Sale 553 3.3975 GBP
USD 0.01 ordinary Sale 442 3.3975 GBP
USD 0.01 ordinary Sale 364 3.4055 GBP
USD 0.01 ordinary Sale 463 3.4055 GBP
USD 0.01 ordinary Sale 800 3.4055 GBP
USD 0.01 ordinary Sale 207 3.4055 GBP
USD 0.01 ordinary Sale 367 3.4055 GBP
USD 0.01 ordinary Sale 23,921 3.4062 GBP
USD 0.01 ordinary Sale 318 3.4070 GBP
USD 0.01 ordinary Sale 894 3.4080 GBP
USD 0.01 ordinary Sale 1,191 3.4105 GBP
USD 0.01 ordinary Sale 853 3.4105 GBP
USD 0.01 ordinary Sale 1,090 3.4105 GBP
USD 0.01 ordinary Sale 535 3.4130 GBP
USD 0.01 ordinary Sale 1,431 3.4150 GBP
USD 0.01 ordinary Sale 1,592 3.4150 GBP
USD 0.01 ordinary Sale 321 3.4175 GBP
USD 0.01 ordinary Sale 1,150 3.4175 GBP
USD 0.01 ordinary Sale 1,051 3.4215 GBP
USD 0.01 ordinary Sale 1,163 3.4215 GBP
USD 0.01 ordinary Sale 2,227 3.4225 GBP
USD 0.01 ordinary Sale 377 3.4255 GBP
USD 0.01 ordinary Sale 377 3.4255 GBP
USD 0.01 ordinary Sale 1,047 3.4315 GBP
USD 0.01 ordinary Sale 881 3.4325 GBP
Class of relevant security Purchases/sales Total number of securities
USD 0.01 ordinary Purchases 3,353
USD 0.01 ordinary Sales 90,375
(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 Call Option Selling 600,000 3.7000 EUROPEAN 15/02/2013 0.0384
ordinary GBP GBP
USD 0.01 Call Option Selling 1,200,000 3.7000 EUROPEAN 15/02/2013 0.0384
ordinary GBP GBP
USD 0.01 Call Option Selling 400,000 3.7000 EUROPEAN 15/02/2013 0.0384
ordinary GBP GBP
USD 0.01 Call Option Selling 800,000 3.7000 EUROPEAN 15/02/2013 0.0384
ordinary GBP GBP
(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: 28 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 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
USD 0.01 Call Option Selling 400,000 3.7500 EUROPEAN 18/01/2013
ordinary GBP
USD 0.01 Call Option Selling 1,000,000 3.8000 EUROPEAN 26/02/2013
ordinary GBP
USD 0.01 Call Option Selling 400,000 3.8000 EUROPEAN 26/02/2013
ordinary GBP
USD 0.01 Call Option Selling 600,000 3.8000 EUROPEAN 26/02/2013
ordinary GBP
USD 0.01 Call Option Selling 570,000 3.8000 EUROPEAN 26/02/2013
ordinary GBP
USD 0.01 Call Option Selling 600,000 3.7000 EUROPEAN 15/02/2013
ordinary GBP
USD 0.01 Call Option Selling 1,200,000 3.7000 EUROPEAN 15/02/2013
ordinary GBP
USD 0.01 Call Option Selling 400,000 3.7000 EUROPEAN 15/02/2013
ordinary GBP
USD 0.01 Call Option Selling 800,000 3.7000 EUROPEAN 15/02/2013
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
FEOBPBBTMBBTBPT -0- Nov/28/2012 11:21 GMT
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