REG - Goldman Sachs (EPT) Hong Kong Exc.& Clrg - Form 8.5 (EPT/RI) - Amendment
Warrant dealings in section 2(c) represent holdings in warrants rather than the underlying ordinary NPV
Amendment - due to the amendment of Derivative transactions, the disclosure made on 03 October for dealings on 02 October has been updated. Section 2(b) has been updated.
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader:
(GS) GOLDMAN SACHS INTERNATIONAL
(b) Name of offeror/offeree in relation to whose relevant securities this form relates:
Use a separate form for each offeror/offeree
HONG KONG EXCHANGES AND CLEARING LIMITED
(c) Name of the party to the offer with which exempt principal trader is connected:
LONDON STOCK EXCHANGE GROUP PLC
(d) Date dealing undertaken:
02 October 2019
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
YES - disclosed previously for LONDON STOCK EXCHANGE GROUP PLC
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
The currency of all prices and other monetary amounts should be stated.
(a) Purchases and sales
Class of relevant security
Purchases/ sales
Total number of securities
Highest price per unit paid/received
Lowest price per unit paid/received
ordinary NPV
Purchases
300,710
253.5720 HKD
225.8000 HKD
ordinary NPV
Sales
367,670
250.7834 HKD
204.8571 HKD
(b) Cash-settled derivative transactions
Class of relevant security
Product description
e.g. CFD
Nature of dealing
e.g. opening/closing a long/short position, increasing/reducing a long/short position
Number of reference securities
Price per unit
ordinary NPV
CFD
Increasing a short position
747
225.7184 HKD
ordinary NPV
CFD
Increasing a short position
4,819
225.9852 HKD
ordinary NPV
CFD
Increasing a short position
5,768
226.0647 HKD
ordinary NPV
CFD
Increasing a short position
239
226.0658 HKD
ordinary NPV
CFD
Increasing a short position
201
226.0658 HKD
ordinary NPV
CFD
Increasing a short position
90
226.0658 HKD
ordinary NPV
CFD
Increasing a short position
296
226.0658 HKD
ordinary NPV
CFD
Increasing a short position
30
226.0658 HKD
ordinary NPV
CFD
Increasing a short position
44
226.0658 HKD
ordinary NPV
CFD
Increasing a short position
659
226.0934 HKD
ordinary NPV
CFD
Increasing a short position
74
226.1177 HKD
ordinary NPV
CFD
Increasing a short position
522
226.1185 HKD
ordinary NPV
CFD
Increasing a short position
236
226.1236 HKD
ordinary NPV
CFD
Increasing a short position
758
226.1289 HKD
ordinary NPV
CFD
Increasing a short position
104
226.1453 HKD
ordinary NPV
CFD
Increasing a short position
11,244
226.1600 HKD
ordinary NPV
CFD
Increasing a short position
2,356
226.1623 HKD
ordinary NPV
CFD
Increasing a short position
4,794
226.1644 HKD
ordinary NPV
CFD
Reducing a short position
3
226.2000 HKD
ordinary NPV
CFD
Increasing a short position
8
226.2660 HKD
ordinary NPV
CFD
Increasing a short position
66
226.2660 HKD
ordinary NPV
CFD
Increasing a short position
7
226.2660 HKD
ordinary NPV
CFD
Increasing a short position
4
226.2660 HKD
ordinary NPV
CFD
Increasing a short position
13
226.2660 HKD
ordinary NPV
CFD
Increasing a short position
1
226.2660 HKD
ordinary NPV
CFD
Increasing a short position
1
226.2660 HKD
ordinary NPV
CFD
Opening a short position
300
226.2667 HKD
ordinary NPV
CFD
Increasing a short position
700
226.3000 HKD
ordinary NPV
CFD
Reducing a short position
700
226.3000 HKD
ordinary NPV
CFD
Increasing a short position
3,368
226.3409 HKD
ordinary NPV
CFD
Increasing a short position
411
226.3442 HKD
ordinary NPV
CFD
Increasing a short position
2,726
226.3445 HKD
ordinary NPV
CFD
Increasing a short position
4,133
226.3534 HKD
ordinary NPV
CFD
Increasing a short position
284
226.3686 HKD
ordinary NPV
CFD
Increasing a short position
3,000
226.3813 HKD
ordinary NPV
CFD
Increasing a short position
6,776
226.4286 HKD
ordinary NPV
CFD
Increasing a short position
15,826
226.4291 HKD
ordinary NPV
CFD
Increasing a short position
3,295
226.4324 HKD
ordinary NPV
CFD
Increasing a short position
1,298
226.5136 HKD
ordinary NPV
CFD
Increasing a short position
1,201
226.5631 HKD
ordinary NPV
CFD
Increasing a short position
179
226.5848 HKD
ordinary NPV
CFD
Increasing a short position
1,297
226.6665 HKD
ordinary NPV
CFD
Reducing a short position
200
226.8000 HKD
ordinary NPV
CFD
Increasing a short position
900
227.0000 HKD
ordinary NPV
CFD
Increasing a short position
813
227.3805 HKD
ordinary NPV
CFD
Increasing a short position
3,974
227.3885 HKD
ordinary NPV
CFD
Increasing a short position
4,864
227.4286 HKD
ordinary NPV
CFD
Increasing a short position
3,474
227.4439 HKD
ordinary NPV
CFD
Increasing a short position
8
227.4674 HKD
ordinary NPV
CFD
Increasing a short position
39
227.4674 HKD
ordinary NPV
CFD
Increasing a short position
28
227.4674 HKD
ordinary NPV
CFD
Increasing a short position
25
227.4674 HKD
ordinary NPV
CFD
Reducing a short position
220
227.6545 HKD
ordinary NPV
CFD
Reducing a short position
106
227.8868 HKD
ordinary NPV
CFD
Reducing a short position
106
227.8868 HKD
ordinary NPV
CFD
Opening a long position
200
227.9000 HKD
ordinary NPV
CFD
Reducing a short position
200
227.9000 HKD
ordinary NPV
CFD
Reducing a short position
300
228.1000 HKD
ordinary NPV
CFD
Increasing a short position
100
228.1000 HKD
ordinary NPV
CFD
Increasing a short position
100
228.1000 HKD
ordinary NPV
CFD
Increasing a short position
100
228.1000 HKD
ordinary NPV
SWAP
Opening a long position
6,900
226.2435 HKD
ordinary NPV
SWAP
Opening a long position
3,000
227.0333 HKD
ordinary NPV
SWAP
Opening a long position
3,000
227.0333 HKD
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
1,900,000
208.0800 HKD
EUROPEAN
30/12/2019
0.2035 HKD
Warrant
Call Warrant
Selling
2,380,000
208.0800 HKD
EUROPEAN
30/12/2019
0.2008 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
11,340,000
217.0800 HKD
EUROPEAN
30/12/2019
0.1145 HKD
Warrant
Call Warrant
Selling
10,790,000
217.0800 HKD
EUROPEAN
30/12/2019
0.1106 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
980,000
268.8800 HKD
EUROPEAN
02/04/2020
0.0499 HKD
Warrant
Call Warrant
Selling
980,000
268.8800 HKD
EUROPEAN
02/04/2020
0.0514 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
1,550,000
250.2000 HKD
EUROPEAN
23/06/2020
0.1151 HKD
Warrant
Call Warrant
Selling
1,550,000
250.2000 HKD
EUROPEAN
23/06/2020
0.1156 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Put Warrant
Purchasing
10,820,000
206.6000 HKD
EUROPEAN
16/12/2019
0.0349 HKD
Warrant
Put Warrant
Selling
2,440,000
206.6000 HKD
EUROPEAN
16/12/2019
0.0330 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Put Warrant
Purchasing
6,260,000
220.6800 HKD
EUROPEAN
26/11/2019
0.1246 HKD
Warrant
Put Warrant
Selling
5,380,000
220.6800 HKD
EUROPEAN
26/11/2019
0.1201 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Put Warrant
Purchasing
55,000
234.8000 HKD
EUROPEAN
26/11/2019
0.2745 HKD
Warrant
Put Warrant
Selling
15,000
234.8000 HKD
EUROPEAN
26/11/2019
0.2850 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
4,320,000
190.0800 HKD
EUROPEAN
30/12/2019
0.3875 HKD
Warrant
Call Warrant
Selling
870,000
190.0800 HKD
EUROPEAN
30/12/2019
0.3924 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
280,000
186.0800 HKD
EUROPEAN
30/12/2019
0.4279 HKD
Warrant
Call Warrant
Selling
280,000
186.0800 HKD
EUROPEAN
30/12/2019
0.4300 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
3,390,000
198.0800 HKD
EUROPEAN
20/02/2020
0.0629 HKD
Warrant
Call Warrant
Selling
6,390,000
198.0800 HKD
EUROPEAN
20/02/2020
0.0634 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
10,350,000
255.2000 HKD
EUROPEAN
26/11/2019
0.0170 HKD
Warrant
Call Warrant
Selling
1,350,000
255.2000 HKD
EUROPEAN
26/11/2019
0.0178 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
530,000
288.8800 HKD
EUROPEAN
23/12/2020
0.0825 HKD
Warrant
Call Warrant
Selling
460,000
288.8800 HKD
EUROPEAN
23/12/2020
0.0841 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
3,080,000
235.2000 HKD
EUROPEAN
26/11/2019
0.0688 HKD
Warrant
Call Warrant
Selling
3,940,000
235.2000 HKD
EUROPEAN
26/11/2019
0.0673 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
290,000
265.2000 HKD
EUROPEAN
25/02/2020
0.0407 HKD
Warrant
Call Warrant
Selling
390,000
265.2000 HKD
EUROPEAN
25/02/2020
0.0431 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
1,590,000
220.0000 HKD
EUROPEAN
30/03/2020
0.2233 HKD
Warrant
Call Warrant
Selling
4,610,000
220.0000 HKD
EUROPEAN
30/03/2020
0.2228 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
6,090,000
239.1000 HKD
EUROPEAN
24/12/2019
0.0697 HKD
Warrant
Call Warrant
Selling
5,510,000
239.1000 HKD
EUROPEAN
24/12/2019
0.0682 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
100,000
300.2000 HKD
EUROPEAN
26/05/2020
0.0310 HKD
Warrant
Call Warrant
Selling
100,000
300.2000 HKD
EUROPEAN
26/05/2020
0.0310 HKD
Class of relevant security
Product description e.g. call option
Writing, purchasing, selling, varying etc.
Number of securities to which option relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Option money paid/ received per unit
Warrant
Call Warrant
Purchasing
600,000
280.2000 HKD
EUROPEAN
23/06/2020
0.0558 HKD
Warrant
Call Warrant
Selling
100,000
280.2000 HKD
EUROPEAN
23/06/2020
0.0570 HKD
(ii) Exercise
Class of relevant security
Product description
e.g. call option
Exercising / exercised against
Number of securities
Exercise price per unit
(d) Other dealings (including subscribing for new securities)
Class of relevant security
Nature of dealing
e.g. subscription, conversion
Details
Price per unit (if applicable)
3. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer:
Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state "none"
NONE
(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader making the disclosure and any other person relating to:
(i) the voting rights of any relevant securities under any option; or
(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:
If there are no such agreements, arrangements or understandings, state "none"
NONE
Date of disclosure:
07 October 2019
Contact name:
Kashif Rafiq and Papa Lette
Telephone number:
+44(20) 7051 0547 / +44(20) 7774 7442
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.ENDFERUGGUAUUPBGWM
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