REG - Goldman Sachs & Co. Royal Dutch Shell - Form 8 (DD) - [Royal Dutch Shell] <Origin Href="QuoteRef">RDSa.L</Origin>
02/10/2015 15:41
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RNS Number : 1294B
Goldman Sachs & Co.
02 October 2015
FORM 8 (DD)
PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT
(INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)
Rules 8.1, 8.2 and 8.4 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Full name of discloser: (GS) GOLDMAN, SACHS & CO.
(b) Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree ROYAL DUTCH SHELL PLC
(d) Status of person making the disclosure: e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree) Advisor to BG GROUP PLC
(e) Date dealing undertaken: 01 October 2015
(f) In addition to the company in 1(c) above, is discoloser making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state "N/A" NO
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more than one
class of relevant securities of the offeror or offeree named in 1(c), copy
table 2(a) or (b) (as appropriate) for each additional class of relevant
security.
(a) Interests and short positions in the relevant securities of the
offeror or offeree to which the disclosure relates following the dealing
Class of relevant security: EUR 0.07 A ordinary and ADRs
Interests Short positions
Number % Number %
(1) Relevant securities owned and/or controlled: 416,855 0.00 45,066 0.00
(2) Cash-settled derivatives: 0 0.00 0 0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 102,400 0.00 17,600 0.00
TOTAL: 519,255 0.00 62,666 0.00
Class of relevant security: EUR 0.07 B ordinary and ADRs
Interests Short positions
Number % Number %
(1) Relevant securities owned and/or controlled: 36,358 0.00 5,382 0.00
(2) Cash-settled derivatives: 3,332 0.00 0 0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 0 0.00 294,200 0.00
TOTAL: 39,690 0.00 299,582 0.00
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (included traded
options), or agreements to purchase or sell relevant securities, should be
given on a Supplemental Form 8 (Open Positions).
Details of any securities borrowing and lending positions or financial
collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).
(b) Rights to subscribe for new securities (including directors' and
other employee options)
Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:
3. DEALINGS BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities
of the offeror or offeree named in 1(c), copy table 3(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
(i) Party to an offer or person acting in concert (except for a
principal trader in the same group as a connected adviser)
Class of relevant security Purchase/sale Number of securities Price per unit
(ii) Principal trader where the sole reason for the connection is that
the principal trader is in the same group as a connected advisor
Class of relevant security Purchases/ sales Total number of securities Highest price per unit paid/received Lowest price per unit paid/received
ADR / (1.00 : 2.00) Purchases 23,881 (47,762) 48.8100 USD 47.9700 USD
ADR / (1.00 : 2.00) Sales 20,861 (41,722) 48.8900 USD 47.9100 USD
Class of relevant security Purchases/ sales Total number of securities Highest price per unit paid/received Lowest price per unit paid/received
ADR / (1.00 : 2.00) Purchases 2,621 (5,242) 48.7100 USD 48.2600 USD
ADR / (1.00 : 2.00) Sales 3,371 (6,742) 48.6500 USD 48.2000 USD
(b) Cash-settled derivative transactions
Class of relevant security Product descriptione.g. CFD Nature of dealinge.g. opening/closing a long/short position, increasing/reducing a long/short position Number of reference securities Price per unit
ADR / (1.00 : 2.00) CFD / (1.00 : 2.00) Increasing a long position 1,057 (2,114) 48.4400 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 Typee.g. American, European etc. Expiry date Option money paid/ received per unit
(ii) Exercise
Class of relevant security Product descriptione.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 dealinge.g. subscription, conversion Details Price per unit (if applicable)
4. 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 party to the offer or person acting in concert making the disclosure and any other person: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 party to the offer or person acting in concert 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
(c) Attachments
Are any Supplemental Forms attached?
Supplemental Form 8 (Open Positions) YES
Supplemental Form 8 (SBL) NO
Date of disclosure: 02 October 2015
Contact name: Aadithya Rao and Yiannis Bardis
Telephone number: +44(20) 7051 9046 / +44(20) 7774 7107
Telephone number:
+44(20) 7051 9046 / +44(20) 7774 7107
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.
SUPPLEMENTAL FORM 8(OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS,
AGREEMENT TO
PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the "Code")
1. KEY INFORMATION
Full name of person making disclosure: (GS) GOLDMAN, SACHS & CO.
Name of offeror/offeree in relation to whose relevant securities disclosure relates: ROYAL DUTCH SHELL PLC
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class of relevant security Product description e.g. call option Written or purchased Number of securities to which option or derivative relates Exercise price per unit Typee.g. American, European etc. Expiry date
EUR 0.07 A ordinary Call Option Sold 200 70.0000 USD AMER 15/01/2016
EUR 0.07 A ordinary Call Option Sold 200 75.0000 USD AMER 15/01/2016
EUR 0.07 A ordinary Call Option Purchased 400 65.0000 USD AMER 15/01/2016
EUR 0.07 A ordinary Call Option Sold 400 67.5000 USD AMER 16/10/2015
EUR 0.07 A ordinary Call Option Sold 400 72.5000 USD AMER 15/01/2016
EUR 0.07 A ordinary Call Option Sold 600 65.0000 USD AMER 20/01/2017
EUR 0.07 A ordinary Call Option Purchased 600 67.5000 USD AMER 15/01/2016
EUR 0.07 A ordinary Call Option Sold 1,000 62.5000 USD AMER 16/10/2015
EUR 0.07 A ordinary Call Option Sold 1,200 55.0000 USD AMER 15/01/2016
EUR 0.07 A ordinary Call Option Purchased 1,200 57.5000 USD AMER 15/01/2016
EUR 0.07 A ordinary Call Option Purchased 1,200 77.5000 USD AMER 15/01/2016
EUR 0.07 A ordinary Call Option Purchased 1,600 50.0000 USD AMER 20/11/2015
EUR 0.07 A ordinary Call Option Purchased 1,800 52.5000 USD AMER 16/10/2015
EUR 0.07 A ordinary Call Option Purchased 2,000 52.5000 USD AMER 15/01/2016
EUR 0.07 A ordinary Call Option Purchased 2,000 70.0000 USD AMER 16/10/2015
EUR 0.07 A ordinary Call Option Purchased 2,600 57.5000 USD AMER 16/10/2015
EUR 0.07 A ordinary Call Option Purchased 2,800 50.0000 USD AMER 16/10/2015
EUR 0.07 A ordinary Call Option Sold 2,800 65.0000 USD AMER 16/10/2015
EUR 0.07 A ordinary Call Option Purchased 3,000 62.5000 USD AMER 15/01/2016
EUR 0.07 A ordinary Call Option Purchased 7,400 60.0000 USD AMER 15/01/2016
EUR 0.07 A ordinary Call Option Purchased 14,000 60.0000 USD AMER 16/10/2015
EUR 0.07 A ordinary Call Option Purchased 57,200 60.0000 USD AMER 16/10/2015
EUR 0.07 A ordinary Put Option Purchased 200 50.0000 USD AMER 16/10/2015
EUR 0.07 A ordinary Put Option Purchased 200 77.5000 USD AMER 15/01/2016
EUR 0.07 A ordinary Put Option Purchased 200 80.0000 USD AMER 15/01/2016
EUR 0.07 A ordinary Put Option Purchased 400 52.5000 USD AMER 15/01/2016
EUR 0.07 A ordinary Put Option Sold 600 50.0000 USD AMER 20/01/2017
EUR 0.07 A ordinary Put Option Sold 600 65.0000 USD AMER 15/01/2016
EUR 0.07 A ordinary Put Option Sold 600 72.5000 USD AMER 15/01/2016
EUR 0.07 A ordinary Put Option Purchased 800 57.5000 USD AMER 15/01/2016
EUR 0.07 A ordinary Put Option Sold 800 57.5000 USD AMER 16/10/2015
EUR 0.07 A ordinary Put Option Purchased 1,200 50.0000 USD AMER 15/01/2016
EUR 0.07 A ordinary Put Option Purchased 1,600 52.5000 USD AMER 16/10/2015
EUR 0.07 A ordinary Put Option Sold 2,000 40.0000 USD AMER 15/04/2016
EUR 0.07 A ordinary Put Option Purchased 2,200 55.0000 USD AMER 15/01/2016
EUR 0.07 A ordinary Put Option Purchased 4,000 55.0000 USD AMER 16/10/2015
Class of relevant security Product description e.g. call option Written or purchased Number of securities to which option or derivative relates Exercise price per unit Typee.g. American, European etc. Expiry date
EUR 0.07 B ordinary Call Option Sold 294,200 65.0000 USD AMER 15/01/2016
3. AGREEMENTS TO PURCHASE OR SELL
Full details should be given so that the nature of the interest or position can be fully understood:
It is not necessary to provide details on a Supplement form (Open Positions)
with regard to cash-settled derivatives.
The currency of all pieces and other monetary amounts should be stated.
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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