13 Jan 2009 10:43
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 | 12/01/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
1,100 | GBP 0.49 | GBP 0.49 |
(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 | 13/01/2009 |
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 | 12/01/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
3,070,174 | GBP 1.44 | GBP 1.31 |
Total number of securities sold | Highest price received | Lowest price received |
1,432,372 | GBP 1.43 | GBP 1.31 |
(b) Derivatives transactions (other than options) |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Long Swap | LONG | 1,168,989 | GBP 1.40 |
Long Swap | LONG | 970,443 | GBP 1.41 |
Long Swap | LONG | 475,748 | GBP 1.40 |
Long Swap | LONG | 143,581 | GBP 1.40 |
Long Swap | LONG | 73,050 | GBP 1.41 |
Long Swap | LONG | 29,904 | GBP 1.41 |
Long Swap | LONG | 16,282 | GBP 1.41 |
Long Swap | LONG | 5,463 | GBP 1.42 |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Short Swap | SHORT | 307 | GBP 1.41 |
Short Swap | SHORT | 21,745 | GBP 1.41 |
Short Swap | SHORT | 25,250 | GBP 1.42 |
Short Swap | SHORT | 29,904 | GBP 1.41 |
Short Swap | SHORT | 61,799 | GBP 1.39 |
Short Swap | SHORT | 143,581 | GBP 1.39 |
Short Swap | SHORT | 970,443 | GBP 1.42 |
(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 | 13/01/2009 |
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 | Common |
dealings being disclosed relate |
Date of dealing | 12/01/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
1,249,330 | GBP 0.85 | GBP 0.78 |
Total number of securities sold | Highest price received | Lowest price received |
2,328,286 | GBP 0.86 | GBP 0.80 |
(b) Derivatives transactions (other than options) |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Long Swap | LONG | 468,888 | GBP 0.84 |
Long Swap | LONG | 5,000 | GBP 0.85 |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Short Swap | SHORT | 5,000 | GBP 0.86 |
Short Swap | SHORT | 70,000 | GBP 0.85 |
Short Swap | SHORT | 698,293 | GBP 0.82 |
Short Swap | SHORT | 786,360 | GBP 0.84 |
(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 | 13/01/2009 |
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 | 12/01/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
7,478 | USD 815.00 | USD 805.00 |
(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 | 13/01/2009 |
Contact name | Bhavika Mistry |
Telephone number | +44 207 995 4747 |
Name of offeree/offeror with whom connected | KazakhGold Group Limited |
Nature of connection # | Advisor |