Sign In
22 Dec 2008 11:35
ο»Ώ
|
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 |
19/12/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securitiesΒ |
Highest price paid |
Lowest price paid |
|
purchased |
|
8,862 |
GBP 0.56 |
GBP 0.54 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
33,763 |
GBP 0.59 |
GBP 0.58 |
|
(b) Derivatives transactions (other than options) |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Long Swap |
LONG |
6,662 |
GBP 0.54 |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Short Swap |
SHORT |
29,409 |
GBP 0.59 |
|
(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 |
22/12/2008 |
|
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 |
19/12/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securitiesΒ |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,425,558 |
GBP 5.00 |
GBP 1.18 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
7,097,857 |
GBP 6.00 |
GBP 1.18 |
|
(b) Derivatives transactions (other than options) |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Long Swap |
LONG |
481,251 |
GBP 1.21 |
|
Long Swap |
LONG |
123,972 |
GBP 1.22 |
|
Long Swap |
LONG |
115,236 |
GBP 1.22 |
|
Long Swap |
LONG |
43,850 |
GBP 1.21 |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Short Swap |
SHORT |
6,687 |
GBP 1.23 |
|
Short Swap |
SHORT |
13,890 |
GBP 1.20 |
|
Short Swap |
SHORT |
52,745 |
GBP 1.21 |
|
Short Swap |
SHORT |
71,227 |
GBP 1.23 |
|
Short Swap |
SHORT |
115,236 |
GBP 1.21 |
|
Short Swap |
SHORT |
309,800 |
GBP 1.35 |
|
Short Swap |
SHORT |
481,251 |
GBP 1.20 |
|
(c)Β Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
Product name |
Writing,Β |
Number ofΒ |
ExerciseΒ |
Type, e.g.Β |
Expiry date |
OptionΒ |
|
selling,Β |
securities underΒ |
priceΒ |
American,Β |
money |
|
eg call option |
purchasing,Β |
option |
European etc |
paid/received |
|
varying etc. |
per unitΒ |
|
Warrant |
Selling |
-500,000 |
Β£0.00 |
AMERICAN |
19-Dec-08 |
|
Warrant |
Buying |
107,000 |
Β£0.00 |
AMERICAN |
19-Dec-08 |
|
Warrant |
Buying |
1 |
Β£3.85 |
AMERICAN |
19-Dec-08 |
Β
|
(ii) Exercising |
|
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 |
22/12/2008 |
|
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 |
19/12/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securitiesΒ |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,067,488 |
GBP 0.66 |
GBP 0.64 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,404,500 |
GBP 5.99 |
GBP 0.64 |
|
(b) Derivatives transactions (other than options) |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Long Swap |
LONG |
462,689 |
GBP 0.64 |
|
Long Swap |
LONG |
51,905 |
GBP 0.64 |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Short Swap |
SHORT |
51,905 |
GBP 0.64 |
|
(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 |
22/12/2008 |
|
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 |
19/12/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securitiesΒ |
Highest price paid |
Lowest price paid |
|
purchased |
|
533,711 |
GBP 9.91 |
GBP 9.68 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
600,658 |
GBP 9.93 |
GBP 9.77 |
|
(b) Derivatives transactions (other than options) |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Long Swap |
LONG |
19,315 |
GBP 9.85 |
|
Long Swap |
LONG |
6,838 |
GBP 9.82 |
|
Long Swap |
LONG |
4,299 |
GBP 9.85 |
|
Long Swap |
LONG |
1,003 |
GBP 9.82 |
|
Long Swap |
LONG |
950 |
GBP 9.82 |
|
Product name,Β |
Short/Long |
Number of securities |
Price per unitΒ |
|
eg. CFD |
|
Short Swap |
SHORT |
935 |
GBP 9.82 |
|
Short Swap |
SHORT |
1,003 |
GBP 9.82 |
|
Short Swap |
SHORT |
4,299 |
GBP 9.83 |
|
Short Swap |
SHORT |
6,838 |
GBP 9.86 |
|
Short Swap |
SHORT |
8,384 |
GBP 9.83 |
|
Short Swap |
SHORT |
16,937 |
GBP 9.83 |
|
Short Swap |
SHORT |
17,213 |
GBP 9.83 |
|
Short Swap |
SHORT |
19,000 |
GBP 9.80 |
|
Short Swap |
SHORT |
19,315 |
GBP 9.82 |
|
Short Swap |
SHORT |
27,000 |
GBP 9.80 |
|
(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 |
22/12/2008 |
|
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
Follow the stocks
