17 Feb 2009 11:25
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 | Common |
dealings being disclosed relate |
Date of dealing | 16/02/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
21,695 | GBP 0.34 | GBP 0.33 |
Total number of securities sold | Highest price received | Lowest price received |
21,695 | GBP 0.33 | GBP 0.31 |
(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, | Number of | Exercise | Type, e.g. | Expiry | Option money |
selling, | securities under | price | American, | date |
eg call option | purchasing, | option | European etc | paid/received |
varying etc. | per unit |
(ii) Exercising |
Product name | Number of securities under | Exercise price |
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 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 | 17/02/2009 |
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 | Aquarius Platinum Limited |
Class of relevant security to which the | Common |
dealings being disclosed relate |
Date of dealing | 16/02/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
228,809 | GBP 2.11 | GBP 2.06 |
Total number of securities sold | Highest price received | Lowest price received |
83,352 | GBP 2.11 | GBP 2.10 |
(b) Derivatives transactions (other than options) |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Long Swap | LONG | 147,071 | GBP 2.08 |
Long Swap | LONG | 44,438 | GBP 2.11 |
Long Swap | LONG | 15,220 | GBP 2.10 |
Long Swap | LONG | 11,400 | GBP 2.10 |
Long Swap | LONG | 7,176 | GBP 2.10 |
Long Swap | LONG | 2,597 | GBP 2.10 |
Long Swap | LONG | 460 | GBP 2.10 |
Long Swap | LONG | 447 | GBP 2.11 |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Short Swap | SHORT | 6,718 | GBP 2.11 |
Short Swap | SHORT | 11,400 | GBP 2.10 |
Short Swap | SHORT | 15,220 | GBP 2.11 |
Short Swap | SHORT | 47,035 | GBP 2.11 |
(c) Options transactions in respect of existing securities |
Product name | Writing, | Number of | Exercise | Type, e.g. | Expiry | Option |
selling, | securities under | price | American, | date | money |
eg call option | purchasing, | option | European etc | paid/received |
varying etc. | per unit |
(ii) Exercising |
Product name | Number of securities under | Exercise price |
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 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 | 17/02/2009 |
Contact name | Bhavika Mistry |
Telephone number | +44 207 995 4747 |
Name of offeree/offeror with whom connected | Aquarius Platinum Limited |
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 |
Class of relevant security to which the | Common |
dealings being disclosed relate |
Date of dealing | 16/02/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities sold | Highest price received | Lowest price received |
13,000 | USD 1,127.55 | USD 32.00 |
(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, | Number of | Exercise | Type, e.g. | Expiry | Option money |
selling, | securities under | price | American, | date |
eg call option | purchasing, | option | European etc | paid/received |
varying etc. | per unit |
(ii) Exercising |
Product name | Number of securities under | Exercise price |
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 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 | 17/02/2009 |
Contact name | Bhavika Mistry |
Telephone number | +44 207 995 4747 |
Name of offeree/offeror with whom connected | KazakhGold Group Limited |
Nature of connection # | Advisor |
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 | ADR |
dealings being disclosed relate |
Date of dealing | 16/02/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
7,660 | USD 16.60 | USD 16.53 |
Total number of securities sold | Highest price received | Lowest price received |
22,614 | USD 16.79 | USD 16.10 |
(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, | Number of | Exercise | Type, e.g. | Expiry | Option money |
selling, | securities under | price | American, | date |
eg call option | purchasing, | option | European etc | paid/received |
varying etc. | per unit |
(ii) Exercising |
Product name | Number of securities under | Exercise price |
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 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 | 17/02/2009 |
Contact name | Bhavika Mistry |
Telephone number | +44 207 995 4747 |
Name of offeree/offeror with whom connected | KazakhGold Group Limited |
Nature of connection # | Advisor |