REG - Goldman Sachs (EPT) Hong Kong Exc.& Clrg - Form 8.5 (EPT/RI) - Amendment

Hong Kong Exchanges and ClearingAnnouncement

07/10/2019 16:10

RNS Number : 0404P
GoldmanSachs International
07 October 2019
 


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 04 October for dealings on 03 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:


03 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


379,176


243.6016 HKD


225.6000 HKD




ordinary NPV


Sales


508,666


230.0000 HKD


212.7641 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


Reducing a long position


90


225.6000 HKD




ordinary NPV


CFD


Reducing a short position


100


225.6000 HKD




ordinary NPV


CFD


Reducing a long position


10


225.6000 HKD




ordinary NPV


CFD


Reducing a short position


78


225.6001 HKD




ordinary NPV


CFD


Reducing a short position


12


225.6004 HKD




ordinary NPV


CFD


Reducing a short position


5


225.6010 HKD




ordinary NPV


CFD


Reducing a short position


5


225.6010 HKD




ordinary NPV


CFD


Reducing a short position


12


225.7340 HKD




ordinary NPV


CFD


Reducing a short position


5


225.7340 HKD




ordinary NPV


CFD


Reducing a short position


5


225.7340 HKD




ordinary NPV


CFD


Reducing a short position


78


225.7340 HKD




ordinary NPV


CFD


Reducing a short position


403


226.0522 HKD




ordinary NPV


CFD


Reducing a short position


2,712


226.0670 HKD




ordinary NPV


CFD


Reducing a short position


189


226.1393 HKD




ordinary NPV


CFD


Reducing a short position


196


226.1454 HKD




ordinary NPV


CFD


Reducing a short position


138


226.1563 HKD




ordinary NPV


CFD


Reducing a short position


924


226.1673 HKD




ordinary NPV


CFD


Reducing a short position


12


226.2334 HKD




ordinary NPV


CFD


Reducing a short position


5


226.2334 HKD




ordinary NPV


CFD


Reducing a short position


5


226.2334 HKD




ordinary NPV


CFD


Reducing a short position


78


226.2334 HKD




ordinary NPV


CFD


Reducing a short position


65


226.2507 HKD




ordinary NPV


CFD


Reducing a short position


11


226.3333 HKD




ordinary NPV


CFD


Reducing a short position


6


226.3333 HKD




ordinary NPV


CFD


Reducing a short position


6


226.3333 HKD




ordinary NPV


CFD


Reducing a short position


77


226.3333 HKD




ordinary NPV


CFD


Reducing a short position


73


226.3802 HKD




ordinary NPV


CFD


Increasing a long position


8,600


226.6303 HKD




ordinary NPV


CFD


Reducing a short position


600


227.9000 HKD




ordinary NPV


CFD


Reducing a short position


200


228.0000 HKD




ordinary NPV


CFD


Reducing a short position


200


228.0000 HKD




ordinary NPV


CFD


Reducing a short position


2,412


228.3745 HKD




ordinary NPV


CFD


Reducing a short position


16,553


228.3855 HKD




ordinary NPV


CFD


Reducing a short position


6,100


228.4000 HKD




ordinary NPV


CFD


Reducing a short position


1,510


228.4494 HKD




ordinary NPV


CFD


Reducing a short position


1,325


228.4808 HKD




ordinary NPV


CFD


Reducing a short position


100


228.5000 HKD




ordinary NPV


CFD


Reducing a short position


100


228.5000 HKD




ordinary NPV


CFD


Increasing a short position


500


228.7800 HKD




ordinary NPV


CFD


Reducing a short position


300


228.9667 HKD




ordinary NPV


CFD


Reducing a short position


200


229.0000 HKD




ordinary NPV


SWAP


Increasing a long position


1


29.2511 USD




ordinary NPV


SWAP


Reducing a long position


1


29.2511 USD



 
 
 
(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


1,180,000


208.0800 HKD


EUROPEAN


30/12/2019


0.2033 HKD




Warrant


Call Warrant


Selling


570,000


208.0800 HKD


EUROPEAN


30/12/2019


0.2021 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


10,010,000


217.0800 HKD


EUROPEAN


30/12/2019


0.1133 HKD




Warrant


Call Warrant


Selling


16,080,000


217.0800 HKD


EUROPEAN


30/12/2019


0.1087 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


520,000


268.8800 HKD


EUROPEAN


02/04/2020


0.0528 HKD




Warrant


Call Warrant


Selling


520,000


268.8800 HKD


EUROPEAN


02/04/2020


0.0490 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


400,000


206.6000 HKD


EUROPEAN


16/12/2019


0.0350 HKD




Warrant


Put Warrant


Selling


550,000


206.6000 HKD


EUROPEAN


16/12/2019


0.0359 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


1,830,000


250.2000 HKD


EUROPEAN


23/06/2020


0.1206 HKD




Warrant


Call Warrant


Selling


1,830,000


250.2000 HKD


EUROPEAN


23/06/2020


0.1205 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


5,215,000


220.6800 HKD


EUROPEAN


26/11/2019


0.1253 HKD




Warrant


Put Warrant


Selling


4,030,000


220.6800 HKD


EUROPEAN


26/11/2019


0.1221 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


300,000


234.8000 HKD


EUROPEAN


26/11/2019


0.2757 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


490,000


190.0800 HKD


EUROPEAN


30/12/2019


0.4082 HKD




Warrant


Call Warrant


Selling


530,000


190.0800 HKD


EUROPEAN


30/12/2019


0.4005 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


520,000


186.0800 HKD


EUROPEAN


30/12/2019


0.4392 HKD




Warrant


Call Warrant


Selling


520,000


186.0800 HKD


EUROPEAN


30/12/2019


0.4450 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


3,270,000


198.0800 HKD


EUROPEAN


20/02/2020


0.0604 HKD




Warrant


Call Warrant


Selling


3,370,000


198.0800 HKD


EUROPEAN


20/02/2020


0.0659 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


3,220,000


255.2000 HKD


EUROPEAN


26/11/2019


0.0158 HKD




Warrant


Call Warrant


Selling


300,000


255.2000 HKD


EUROPEAN


26/11/2019


0.0163 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


150,000


283.4800 HKD


EUROPEAN


20/12/2019


0.0100 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


Selling


60,000


288.2000 HKD


EUROPEAN


24/02/2020


0.0230 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


6,040,000


235.2000 HKD


EUROPEAN


26/11/2019


0.0689 HKD




Warrant


Call Warrant


Selling


7,590,000


235.2000 HKD


EUROPEAN


26/11/2019


0.0685 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


288.8800 HKD


EUROPEAN


23/12/2020


0.0823 HKD




Warrant


Call Warrant


Selling


600,000


288.8800 HKD


EUROPEAN


23/12/2020


0.0822 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


265.2000 HKD


EUROPEAN


25/02/2020


0.0410 HKD




Warrant


Call Warrant


Selling


100,000


265.2000 HKD


EUROPEAN


25/02/2020


0.0390 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


1,360,000


239.1000 HKD


EUROPEAN


24/12/2019


0.0698 HKD




Warrant


Call Warrant


Selling


3,160,000


239.1000 HKD


EUROPEAN


24/12/2019


0.0691 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


2,540,000


220.0000 HKD


EUROPEAN


30/03/2020


0.2167 HKD




Warrant


Call Warrant


Selling


2,550,000


220.0000 HKD


EUROPEAN


30/03/2020


0.2153 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


670,000


280.2000 HKD


EUROPEAN


23/06/2020


0.0610 HKD




Warrant


Call Warrant


Selling


670,000


280.2000 HKD


EUROPEAN


23/06/2020


0.0597 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.




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