Hsbc Securities (South Africa) (Pty) Limited - Form 8.5 (EPT/NON-RI) - Sibanye Gold Ltd
April 18 2019 - 8:12AM
Dow Jones News
TIDM0MC2
Amended section 3a
FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS
(OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: HSBC Securities
(South Africa)
(Pty) Limited
--------------------------------------------------------- -------------------
(b) Name of offeror/offeree in relation to whose relevant Sibanye Gold Ltd
securities this form relates:
Use a separate form for each offeror/offeree
--------------------------------------------------------- -------------------
(c) Name of the party to the offer with which exempt Sibanye Gold Ltd
principal trader is connected:
--------------------------------------------------------- -------------------
(d) Date position held/dealing undertaken: 17-April-2019
For an opening position disclosure, state the latest
practicable date prior to the disclosure
--------------------------------------------------------- -------------------
(e) In addition to the company in 1(b) above, is the YES - Lonmin plc.
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"
--------------------------------------------------------- -------------------
2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
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(b),
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 (if any)
Class of relevant security:
-------------------------------------------------- ----------------------------------
Interests Short positions
-------------------------------------------------- ---------------- ----------------
Number % Number %
-------------------------------------------------- --------- ----- --------- -----
(1) Relevant securities owned and/or controlled:
-------------------------------------------------- --------- ----- --------- -----
(2) Cash-settled derivatives: 1,897,670 0.084 9,032,720 0.399
-------------------------------------------------- --------- ----- --------- -----
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell:
-------------------------------------------------- --------- ----- --------- -----
TOTAL: 1,897,670 0.084 9,032,720 0.399
-------------------------------------------------- --------- ----- --------- -----
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded
options), or agreements to purchase or sell relevant securities, should
be given on a Supplemental Form 8 (Open Positions).
(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 (IF ANY) 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 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
Class of Purchases/ sales Total number Highest price Lowest price
relevant of securities per unit per unit
security paid/received paid/received
(ZAR) (ZAR)
-------------- ---------------- -------------- ------------- -------------
Ordinary Purchase 2,084,802 1440.000 c 1330.000 c
Shares
-------------- ---------------- -------------- ------------- -------------
Ordinary Sale 2,084,802 1440.000 c 1330.000 c
Shares
-------------- ---------------- -------------- ------------- -------------
(b) Cash-settled derivative transactions
Class of Product description Nature of dealing Number of Price per unit
relevant e.g. CFD e.g. opening/closing a long/short position, increasing/reducing reference (ZAR)
security a long/short position securities
-------- ------------------- ---------------------------------------------------------------- ----------- --------------
Ordinary Swap
Shares Reducing a Short Position 25,480 1364.89c
-------- ------------------- ---------------------------------------------------------------- ----------- --------------
Ordinary Swap
Shares Increasing a Short Position 1,652,207 1422.32 c
-------- ------------------- ---------------------------------------------------------------- ----------- --------------
Ordinary Swap
Shares Reducing a Long Position 614,681 1399.715 c
-------- ------------------- ---------------------------------------------------------------- ----------- --------------
Ordinary Swap
Shares Increasing a Long Position 500,000 1413.141 c
-------- ------------------- ---------------------------------------------------------------- ----------- --------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry Option
relevant description purchasing, securities price e.g. American, European etc. date money
security e.g. call selling, to which per paid/
option varying option unit received
etc. relates per
unit
-------- ----------- ----------- ---------- -------- ----------------------------- ------ --------
(ii) Exercise
Class of Product description Exercising/ Number of Exercise
relevant e.g. call option exercised securities price per
security against unit
------------- ------------------- ------------ ------------- -------------
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of dealing Details Price per unit
security e.g. subscription, conversion (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
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"
-----------------------------------------------------------
(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"
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(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? No
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Date of disclosure: 18 April 2019
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Contact name: Mukhtar Khan
-------------------- -------------
Telephone number: 0207 088 2000
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Public disclosures under Rule 8 of the Code must be made to a Regulatory
Information Service.
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.
(END) Dow Jones Newswires
April 18, 2019 07:57 ET (11:57 GMT)
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