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

Hong Kong Exchanges and ClearingAnnouncement

09/10/2019 11:45

RNS Number : 3167P
GoldmanSachs International
09 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:


08 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


579,700


241.5224 HKD


230.1000 HKD




ordinary NPV


Sales


466,800


242.9515 HKD


200.6060 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 short position


3,100


229.5000 HKD




ordinary NPV


CFD


Reducing a long position


3,100


229.5000 HKD




ordinary NPV


CFD


Reducing a short position


20,200


229.5000 HKD




ordinary NPV


CFD


Reducing a long position


100,000


229.5000 HKD




ordinary NPV


CFD


Reducing a short position


78,600


229.5000 HKD




ordinary NPV


CFD


Reducing a short position


1,200


229.5000 HKD




ordinary NPV


CFD


Reducing a long position


31


232.2000 HKD




ordinary NPV


CFD


Reducing a long position


69


232.2000 HKD




ordinary NPV


CFD


Reducing a long position


100


232.2000 HKD




ordinary NPV


CFD


Opening a short position


40,700


232.3170 HKD




ordinary NPV


CFD


Increasing a short position


100


232.4000 HKD




ordinary NPV


CFD


Increasing a short position


100


232.4000 HKD




ordinary NPV


CFD


Reducing a long position


100,000


232.4340 HKD




ordinary NPV


CFD


Reducing a short position


200


232.7000 HKD




ordinary NPV


CFD


Increasing a short position


400


232.7000 HKD




ordinary NPV


CFD


Reducing a short position


200


232.7000 HKD




ordinary NPV


CFD


Reducing a short position


200


232.7000 HKD




ordinary NPV


CFD


Reducing a short position


1,100


232.7000 HKD




ordinary NPV


CFD


Reducing a short position


200


232.7000 HKD




ordinary NPV


CFD


Increasing a short position


1,500


232.7000 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


2,390,000


208.0800 HKD


EUROPEAN


30/12/2019


0.2568 HKD




Warrant


Call Warrant


Selling


1,490,000


208.0800 HKD


EUROPEAN


30/12/2019


0.2535 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


7,780,000


217.0800 HKD


EUROPEAN


30/12/2019


0.1667 HKD




Warrant


Call Warrant


Selling


8,810,000


217.0800 HKD


EUROPEAN


30/12/2019


0.1662 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


2,270,000


268.8800 HKD


EUROPEAN


02/04/2020


0.0601 HKD




Warrant


Call Warrant


Selling


560,000


268.8800 HKD


EUROPEAN


02/04/2020


0.0579 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


275.8800 HKD


EUROPEAN


30/12/2019


0.4500 HKD




Warrant


Put Warrant


Selling


450,000


275.8800 HKD


EUROPEAN


30/12/2019


0.4456 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


270.8800 HKD


EUROPEAN


30/12/2019


0.3800 HKD




Warrant


Put Warrant


Selling


300,000


270.8800 HKD


EUROPEAN


30/12/2019


0.3900 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


5,970,000


250.2000 HKD


EUROPEAN


23/06/2020


0.1357 HKD




Warrant


Call Warrant


Selling


5,370,000


250.2000 HKD


EUROPEAN


23/06/2020


0.1329 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


5,310,000


220.6800 HKD


EUROPEAN


26/11/2019


0.0945 HKD




Warrant


Put Warrant


Selling


5,855,000


220.6800 HKD


EUROPEAN


26/11/2019


0.0923 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


2,780,000


206.6000 HKD


EUROPEAN


16/12/2019


0.0274 HKD




Warrant


Put Warrant


Selling


3,080,000


206.6000 HKD


EUROPEAN


16/12/2019


0.0269 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


3,630,000


234.8000 HKD


EUROPEAN


26/11/2019


0.2067 HKD




Warrant


Put Warrant


Selling


3,675,000


234.8000 HKD


EUROPEAN


26/11/2019


0.2069 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


130,000


190.0800 HKD


EUROPEAN


30/12/2019


0.4600 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


120,000


186.0800 HKD


EUROPEAN


30/12/2019


0.4950 HKD




Warrant


Call Warrant


Selling


120,000


186.0800 HKD


EUROPEAN


30/12/2019


0.4950 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


275,000


198.0800 HKD


EUROPEAN


20/02/2020


0.0741 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


7,530,000


255.2000 HKD


EUROPEAN


26/11/2019


0.0223 HKD




Warrant


Call Warrant


Selling


310,000


255.2000 HKD


EUROPEAN


26/11/2019


0.0227 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


7,400,000


283.4800 HKD


EUROPEAN


20/12/2019


0.0110 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


300,000


288.2000 HKD


EUROPEAN


24/02/2020


0.0257 HKD




Warrant


Call Warrant


Selling


200,000


288.2000 HKD


EUROPEAN


24/02/2020


0.0250 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


14,230,000


235.2000 HKD


EUROPEAN


26/11/2019


0.0869 HKD




Warrant


Call Warrant


Selling


9,590,000


235.2000 HKD


EUROPEAN


26/11/2019


0.0854 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


940,000


288.8800 HKD


EUROPEAN


23/12/2020


0.0933 HKD




Warrant


Call Warrant


Selling


640,000


288.8800 HKD


EUROPEAN


23/12/2020


0.0930 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


6,900,000


265.2000 HKD


EUROPEAN


25/02/2020


0.0519 HKD




Warrant


Call Warrant


Selling


360,000


265.2000 HKD


EUROPEAN


25/02/2020


0.0519 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


12,350,000


239.1000 HKD


EUROPEAN


24/12/2019


0.0883 HKD




Warrant


Call Warrant


Selling


5,270,000


239.1000 HKD


EUROPEAN


24/12/2019


0.0899 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


0.0340 HKD




Warrant


Call Warrant


Selling


100,000


300.2000 HKD


EUROPEAN


26/05/2020


0.0350 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


1,520,000


220.0000 HKD


EUROPEAN


30/03/2020


0.2501 HKD




Warrant


Call Warrant


Selling


1,440,000


220.0000 HKD


EUROPEAN


30/03/2020


0.2409 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


310,000


280.2000 HKD


EUROPEAN


23/06/2020


0.0660 HKD




Warrant


Call Warrant


Selling


810,000


280.2000 HKD


EUROPEAN


23/06/2020


0.0656 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:


09 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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