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23 Dec 2008 10:45
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|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERSΒ |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Cape plc |
|
Class of relevant security to which theΒ |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
22/12/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securitiesΒ |
Highest price paid |
Lowest price paid |
|
purchased |
|
5,401 |
GBP 0.52 |
GBP 0.52 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,053 |
GBP 0.53 |
GBP 0.53 |
|
(b) Derivatives transactions (other than options) |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Long Swap |
LONG |
5,401 |
GBP 0.52 |
|
(c)Β Options transactions in respect of existing securities |
|
Product name |
Writing,Β |
Number ofΒ |
ExerciseΒ |
Type, e.g.Β |
ExpiryΒ |
OptionΒ |
|
selling,Β |
securities underΒ |
priceΒ |
American,Β |
date |
money |
|
eg call option |
purchasing,Β |
option |
European etc |
paid/received |
|
varying etc. |
per unitΒ |
|
(ii) Exercising |
|
Product name |
Number of securities underΒ |
Exercise priceΒ |
|
eg call option |
option |
Β
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and anyΒ |
|
other person relating to the voting rights of any relevant securities under any option referred to on thisΒ |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to whichΒ |
|
any derivative referred to on this form is referenced. If none, this should be stated.Β |
|
NONE |
|
Date of disclosure |
23/12/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Cape plc |
|
Nature of connection # |
Advisor |
Β
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERSΒ |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Lloyds TSB Group Plc |
|
Class of relevant security to which theΒ |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
22/12/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securitiesΒ |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,200,371 |
GBP 1.27 |
GBP 1.24 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,199,560 |
GBP 1.27 |
GBP 1.23 |
|
(b) Derivatives transactions (other than options) |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Long Swap |
LONG |
541,903 |
GBP 1.26 |
|
Long Swap |
LONG |
230,244 |
GBP 1.26 |
|
Long Swap |
LONG |
54,772 |
GBP 1.26 |
|
Long Swap |
LONG |
39,890 |
GBP 1.26 |
|
Long Swap |
LONG |
6,000 |
GBP 1.25 |
|
Long Swap |
LONG |
4,771 |
GBP 1.26 |
|
Long Swap |
LONG |
4,000 |
GBP 1.24 |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Short Swap |
SHORT |
4,000 |
GBP 1.23 |
|
Short Swap |
SHORT |
6,000 |
GBP 1.24 |
|
Short Swap |
SHORT |
43,850 |
GBP 1.26 |
|
Short Swap |
SHORT |
54,772 |
GBP 1.26 |
|
Short Swap |
SHORT |
106,693 |
GBP 1.26 |
|
Short Swap |
SHORT |
123,551 |
GBP 1.26 |
|
Short Swap |
SHORT |
541,903 |
GBP 1.26 |
|
(c)Β Options transactions in respect of existing securities |
|
Product name |
Writing,Β |
Number ofΒ |
ExerciseΒ |
Type, e.g.Β |
ExpiryΒ |
OptionΒ |
|
selling,Β |
securities underΒ |
priceΒ |
American,Β |
date |
money |
|
eg call option |
purchasing,Β |
option |
European etc |
paid/received |
|
varying etc. |
per unitΒ |
|
(ii) Exercising |
Β
|
Product name |
Number of securities underΒ |
Exercise priceΒ |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and anyΒ |
|
other person relating to the voting rights of any relevant securities under any option referred to on thisΒ |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to whichΒ |
|
any derivative referred to on this form is referenced. If none, this should be stated.Β |
|
NONE |
|
Date of disclosure |
23/12/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Lloyds TSB Group Plc |
|
Nature of connection # |
Advisor |
Β
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERSΒ |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
HBOS Plc |
|
Class of relevant security to which theΒ |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
22/12/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
462,606 |
GBP 0.68 |
GBP 0.67 |
|
(b) Derivatives transactions (other than options) |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Short Swap |
SHORT |
462,606 |
GBP 0.67 |
|
(c)Β Options transactions in respect of existing securities |
|
Product name |
Writing,Β |
Number ofΒ |
ExerciseΒ |
Type, e.g.Β |
ExpiryΒ |
OptionΒ |
|
selling,Β |
securities underΒ |
priceΒ |
American,Β |
date |
money |
|
eg call option |
purchasing,Β |
option |
European etc |
paid/received |
|
varying etc. |
per unitΒ |
|
(ii) Exercising |
|
Product name |
Number of securities underΒ |
Exercise priceΒ |
|
eg call option |
option |
Β
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and anyΒ |
|
other person relating to the voting rights of any relevant securities under any option referred to on thisΒ |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to whichΒ |
|
any derivative referred to on this form is referenced. If none, this should be stated.Β |
|
NONE |
|
Date of disclosure |
23/12/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Lloyds TSB Group Plc |
|
Nature of connection # |
Advisor |
Β
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERSΒ |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Imperial Energy Corporation Non Assented Shares |
|
Class of relevant security to which theΒ |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
22/12/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securitiesΒ |
Highest price paid |
Lowest price paid |
|
purchased |
|
47,214 |
GBP 10.10 |
GBP 9.96 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
75,494 |
GBP 10.12 |
GBP 9.90 |
|
(b) Derivatives transactions (other than options) |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Long Swap |
LONG |
4,361 |
GBP 10.06 |
|
Long Swap |
LONG |
1,406 |
GBP 10.06 |
|
Long Swap |
LONG |
935 |
GBP 10.06 |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Short Swap |
SHORT |
215 |
GBP 10.12 |
|
Short Swap |
SHORT |
1,406 |
GBP 10.12 |
|
Short Swap |
SHORT |
4,361 |
GBP 10.12 |
|
(c)Β Options transactions in respect of existing securities |
|
Product name |
Writing,Β |
Number ofΒ |
ExerciseΒ |
Type, e.g.Β |
ExpiryΒ |
OptionΒ |
|
selling,Β |
securities underΒ |
priceΒ |
American,Β |
date |
money |
|
eg call option |
purchasing,Β |
option |
European etc |
paid/received |
|
varying etc. |
per unitΒ |
|
(ii) Exercising |
|
Product name |
Number of securities underΒ |
Exercise priceΒ |
|
eg call option |
option |
Β
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and anyΒ |
|
other person relating to the voting rights of any relevant securities under any option referred to on thisΒ |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to whichΒ |
|
any derivative referred to on this form is referenced. If none, this should be stated.Β |
|
NONE |
|
Date of disclosure |
23/12/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Imperial Energy Corporation Plc |
|
Nature of connection # |
Advisor |
Β
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