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8 Jan 2009 10:50
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
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 the dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
07/01/2009 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
68,451 |
GBP 0.52 |
GBP 0.51 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
15,044 |
GBP 0.54 |
GBP 0.51 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
29,409 |
GBP 0.52 |
|
Long Swap |
LONG |
27,373 |
GBP 0.52 |
|
Long Swap |
LONG |
1,439 |
GBP 0.52 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
9,031 |
GBP 0.53 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 any other person relating to the |
|
voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition |
|
or disposal of any relevant securities to which any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
08/01/2009 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Cape plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
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 the dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
07/01/2009 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
6,642,064 |
GBP 1.26 |
GBP 1.16 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
6,761,442 |
GBP 1.24 |
GBP 1.16 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,217,938 |
GBP 1.21 |
|
Long Swap |
LONG |
9,802 |
GBP 1.20 |
|
Long Swap |
LONG |
10,000 |
GBP 1.24 |
|
Long Swap |
LONG |
81,631 |
GBP 1.20 |
|
Long Swap |
LONG |
100,000 |
GBP 1.22 |
|
Long Swap |
LONG |
117,994 |
GBP 1.21 |
|
Long Swap |
LONG |
150,000 |
GBP 1.21 |
|
Long Swap |
LONG |
150,000 |
GBP 1.23 |
|
Long Swap |
LONG |
150,000 |
GBP 1.24 |
|
Long Swap |
LONG |
200,000 |
GBP 1.22 |
|
Long Swap |
LONG |
3,700 |
GBP 1.17 |
|
Long Swap |
LONG |
335,605 |
GBP 1.20 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
3,700 |
GBP 1.18 |
|
Short Swap |
SHORT |
330,885 |
GBP 1.21 |
|
Short Swap |
SHORT |
164,863 |
GBP 1.21 |
|
Short Swap |
SHORT |
150,000 |
GBP 1.24 |
|
Short Swap |
SHORT |
150,000 |
GBP 1.24 |
|
Short Swap |
SHORT |
150,000 |
GBP 1.26 |
|
Short Swap |
SHORT |
81,631 |
GBP 1.21 |
|
Short Swap |
SHORT |
17,653 |
GBP 1.18 |
|
Short Swap |
SHORT |
10,000 |
GBP 1.24 |
|
Short Swap |
SHORT |
9,802 |
GBP 1.21 |
|
Short Swap |
SHORT |
8,748 |
GBP 1.21 |
|
Short Swap |
SHORT |
1,217,938 |
GBP 1.21 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 any other person relating to the |
|
voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition |
|
or disposal of any relevant securities to which any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
08/01/2009 |
|
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 |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
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 the dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
07/01/2009 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
11,881,518 |
GBP 0.74 |
GBP 0.67 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
11,368,494 |
GBP 0.73 |
GBP 0.71 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
435,423 |
GBP 0.73 |
|
Long Swap |
LONG |
191,239 |
GBP 0.70 |
|
Long Swap |
LONG |
29,180 |
GBP 0.67 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
12,949 |
GBP 0.71 |
|
Short Swap |
SHORT |
130,010 |
GBP 0.71 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 any other person relating to the |
|
voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition |
|
or disposal of any relevant securities to which any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
08/01/2009 |
|
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 |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
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 |
OJSC Polyus Gold (OR) ADR. |
|
Class of relevant security to which the dealings being |
ADR |
|
disclosed relate |
|
Date of dealing |
07/01/2009 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
553 |
USD 14.75 |
USD 14.75 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
7,639 |
USD 14.78 |
USD 14.61 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 any other person relating to the |
|
voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition |
|
or disposal of any relevant securities to which any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
08/01/2009 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
KazakhGold Group Limited |
|
Nature of connection # |
Advisor |
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