16 Jan 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 | 15/01/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
19,926 | GBP 0.37 | GBP 0.36 |
(b) Derivatives transactions (other than options) |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Long Swap | LONG | 11,125 | GBP 0.36 |
Long Swap | LONG | 5,718 | GBP 0.36 |
Long Swap | LONG | 1,134 | GBP 0.36 |
(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 | 16/01/2009 |
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 | Common |
dealings being disclosed relate |
Date of dealing | 15/01/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
6,793,480 | GBP 1.16 | GBP 1.01 |
Total number of securities sold | Highest price received | Lowest price received |
4,806,016 | GBP 1.34 | GBP 1.00 |
(b) Derivatives transactions (other than options) |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Long Swap | LONG | 1,550,692 | GBP 1.08 |
Long Swap | LONG | 6,000 | GBP 1.01 |
Long Swap | LONG | 11,537 | GBP 1.16 |
Long Swap | LONG | 17,061 | GBP 1.08 |
Long Swap | LONG | 37,013 | GBP 1.16 |
Long Swap | LONG | 55,000 | GBP 1.03 |
Long Swap | LONG | 70,000 | GBP 1.01 |
Long Swap | LONG | 1,930 | GBP 1.16 |
Long Swap | LONG | 1,266,164 | GBP 1.11 |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Short Swap | SHORT | 1,930 | GBP 1.16 |
Short Swap | SHORT | 70,000 | GBP 1.03 |
Short Swap | SHORT | 55,000 | GBP 1.03 |
Short Swap | SHORT | 37,013 | GBP 1.16 |
Short Swap | SHORT | 17,061 | GBP 1.12 |
Short Swap | SHORT | 13,228 | GBP 1.11 |
Short Swap | SHORT | 11,537 | GBP 1.17 |
Short Swap | SHORT | 6,000 | GBP 1.03 |
Short Swap | SHORT | 1,266,164 | GBP 1.11 |
(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 | 16/01/2009 |
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 |
Class of relevant security to which the | Common |
dealings being disclosed relate |
Date of dealing | 15/01/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
4,911 | USD 780.00 | USD 779.87 |
Total number of securities sold | Highest price received | Lowest price received |
4,911 | USD 785.81 | USD 780.00 |
(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 | 16/01/2009 |
Contact name | Bhavika Mistry |
Telephone number | +44 207 995 4747 |
Name of offeree/offeror with whom connected | KazakhGold Group Limited |
Nature of connection # | Advisor |
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 | 15/01/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
4,291 | USD 12.05 | USD 12.05 |
Total number of securities sold | Highest price received | Lowest price received |
47,632 | USD 13.17 | USD 11.54 |
(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 | 16/01/2009 |
Contact name | Bhavika Mistry |
Telephone number | +44 207 995 4747 |
Name of offeree/offeror with whom connected | KazakhGold Group Limited |
Nature of connection # | Advisor |