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

Hong Kong Exchanges and ClearingAnnouncement

07/10/2019 11:50

RNS Number : 0078P
GoldmanSachs International
07 October 2019
 


Warrant dealings in section 2(c) represent holdings in warrants rather than the underlying ordinary NPV
 
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:


04 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


257,750


260.1480 HKD


224.3147 HKD




ordinary NPV


Sales


320,981


228.5286 HKD


224.3147 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


Opening a long position


100,000


225.0008 HKD




ordinary NPV


CFD


Opening a long position


3,100


225.0008 HKD




ordinary NPV


CFD


Opening a long position


4,000


225.2700 HKD




ordinary NPV


CFD


Reducing a short position


12,200


227.6000 HKD




ordinary NPV


CFD


Reducing a short position


36


228.1312 HKD




ordinary NPV


CFD


Reducing a short position


164


228.1312 HKD




ordinary NPV


CFD


Reducing a short position


146


228.2311 HKD




ordinary NPV


CFD


Reducing a short position


654


228.2311 HKD




ordinary NPV


CFD


Reducing a short position


82


228.4000 HKD




ordinary NPV


CFD


Reducing a short position


18


228.4001 HKD




ordinary NPV


CFD


Increasing a long position


100


229.0000 HKD




ordinary NPV


CFD


Reducing a long position


100


229.0000 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




ordinary NPV


WRNT / (1.00 : 0.02)


N/A


1,000,000 (20,000)


N/A


N/A


N/A


0.5500 HKD




ordinary NPV


WRNT / (1.00 : 0.02)


N/A


1,000,000 (20,000)


N/A


N/A


N/A


0.5500 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


18,540,000


217.0800 HKD


EUROPEAN


30/12/2019


0.1151 HKD




Warrant


Call Warrant


Selling


12,930,000


217.0800 HKD


EUROPEAN


30/12/2019


0.1103 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


6,220,000


208.0800 HKD


EUROPEAN


30/12/2019


0.2095 HKD




Warrant


Call Warrant


Selling


6,520,000


208.0800 HKD


EUROPEAN


30/12/2019


0.2102 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


1,000,000


268.8800 HKD


EUROPEAN


02/04/2020


0.0470 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


1,400,000


250.2000 HKD


EUROPEAN


23/06/2020


0.1180 HKD




Warrant


Call Warrant


Selling


1,900,000


250.2000 HKD


EUROPEAN


23/06/2020


0.1191 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


5,205,000


220.6800 HKD


EUROPEAN


26/11/2019


0.1211 HKD




Warrant


Put Warrant


Selling


6,685,000


220.6800 HKD


EUROPEAN


26/11/2019


0.1292 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


1,290,000


206.6000 HKD


EUROPEAN


16/12/2019


0.0341 HKD




Warrant


Put Warrant


Selling


3,950,000


206.6000 HKD


EUROPEAN


16/12/2019


0.0358 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


120,000


234.8000 HKD


EUROPEAN


26/11/2019


0.2683 HKD




Warrant


Put Warrant


Selling


20,000


234.8000 HKD


EUROPEAN


26/11/2019


0.2515 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


160,000


190.0800 HKD


EUROPEAN


30/12/2019


0.3753 HKD




Warrant


Call Warrant


Selling


440,000


190.0800 HKD


EUROPEAN


30/12/2019


0.3818 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


220,000


186.0800 HKD


EUROPEAN


30/12/2019


0.4409 HKD




Warrant


Call Warrant


Selling


220,000


186.0800 HKD


EUROPEAN


30/12/2019


0.4341 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


2,300,000


255.2000 HKD


EUROPEAN


26/11/2019


0.0179 HKD




Warrant


Call Warrant


Selling


1,350,000


255.2000 HKD


EUROPEAN


26/11/2019


0.0172 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


3,230,000


198.0800 HKD


EUROPEAN


20/02/2020


0.0667 HKD




Warrant


Call Warrant


Selling


180,000


198.0800 HKD


EUROPEAN


20/02/2020


0.0611 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


1,160,000


288.2000 HKD


EUROPEAN


24/02/2020


0.0201 HKD




Warrant


Call Warrant


Selling


100,000


288.2000 HKD


EUROPEAN


24/02/2020


0.0220 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


2,150,000


235.2000 HKD


EUROPEAN


26/11/2019


0.0684 HKD




Warrant


Call Warrant


Selling


6,100,000


235.2000 HKD


EUROPEAN


26/11/2019


0.0629 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


288.8800 HKD


EUROPEAN


23/12/2020


0.0850 HKD




Warrant


Call Warrant


Selling


390,000


288.8800 HKD


EUROPEAN


23/12/2020


0.0807 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


10,000


265.2000 HKD


EUROPEAN


25/02/2020


0.0410 HKD




Warrant


Call Warrant


Selling


3,090,000


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


2,570,000


220.0000 HKD


EUROPEAN


30/03/2020


0.2167 HKD




Warrant


Call Warrant


Selling


3,150,000


220.0000 HKD


EUROPEAN


30/03/2020


0.2186 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


7,190,000


239.1000 HKD


EUROPEAN


24/12/2019


0.0692 HKD




Warrant


Call Warrant


Selling


6,530,000


239.1000 HKD


EUROPEAN


24/12/2019


0.0681 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


40,000


300.2000 HKD


EUROPEAN


26/05/2020


0.0310 HKD




Warrant


Call Warrant


Selling


40,000


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


30,000


280.2000 HKD


EUROPEAN


23/06/2020


0.0570 HKD




Warrant


Call Warrant


Selling


30,000


280.2000 HKD


EUROPEAN


23/06/2020


0.0580 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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