13 Feb 2009 11:16
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 | 12/02/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
59,731 | GBP 0.35 | GBP 0.34 |
Total number of securities sold | Highest price received | Lowest price received |
3,631 | GBP 0.35 | GBP 0.35 |
(b) Derivatives transactions (other than options) |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Long Swap | LONG | 55,000 | GBP 0.35 |
(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 | 13/02/2009 |
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 | 12/02/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
219,948 | GBP 1.89 | GBP 1.85 |
Total number of securities sold | Highest price received | Lowest price received |
360,558 | GBP 1.89 | GBP 1.84 |
(b) Derivatives transactions (other than options) |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Long Swap | LONG | 5,289 | GBP 1.85 |
Long Swap | LONG | 7,519 | GBP 1.85 |
Long Swap | LONG | 24,978 | GBP 1.85 |
Long Swap | LONG | 48,343 | GBP 1.85 |
Long Swap | LONG | 61,006 | GBP 1.85 |
Long Swap | LONG | 66,106 | GBP 1.89 |
Long Swap | LONG | 4,608 | GBP 1.85 |
Product name, | Short/Long | Number of securities | Price per unit |
eg. CFD |
Short Swap | SHORT | 24,978 | GBP 1.86 |
Short Swap | SHORT | 61,006 | GBP 1.86 |
Short Swap | SHORT | 36,698 | GBP 1.85 |
Short Swap | SHORT | 350 | GBP 1.85 |
Short Swap | SHORT | 11,598 | GBP 1.85 |
Short Swap | SHORT | 7,519 | GBP 1.87 |
Short Swap | SHORT | 7,507 | GBP 1.86 |
Short Swap | SHORT | 6,992 | GBP 1.85 |
Short Swap | SHORT | 3,017 | GBP 1.85 |
Short Swap | SHORT | 666 | GBP 1.85 |
Short Swap | SHORT | 370 | GBP 1.86 |
Short Swap | SHORT | 48,343 | GBP 1.86 |
(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 | 13/02/2009 |
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 (OR) ADR. |
Class of relevant security to which the | ADR |
dealings being disclosed relate |
Date of dealing | 12/02/2009 |
2. DEALINGS |
(a) Purchases and sales |
Total number of securities | Highest price paid | Lowest price paid |
purchased |
2,702 | USD 17.18 | USD 17.00 |
Total number of securities sold | Highest price received | Lowest price received |
4,617 | USD 17.00 | USD 14.99 |
(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 | 13/02/2009 |
Contact name | Bhavika Mistry |
Telephone number | +44 207 995 4747 |
Name of offeree/offeror with whom connected | KazakhGold Group Limited |
Nature of connection # | Advisor |