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: | BARCLAYS CAPITAL SECURITIES LTD | |||||
(b) | Name of offeror/offeree in relation to whose | ANGLO AMERICAN PLC | |||||
(c) | Name of the party to the offer with which exempt principal trader is connected | BHP GROUP LTD | |||||
(d) | Date position held/dealing undertaken: | 29 May 2024 | |||||
(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? | YES: | |||||
2. | POSITIONS OF THE EXEMPT PRINCIPAL TRADER | ||||||
(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: | USD 0.54945 ordinary | ||||||
| Interests | Short Positions | |||||
Number | (%) | Number | (%) | ||||
(1) Relevant securities owned and/or controlled: | 6,195,566 | 0.51% | 16,309,004 | 1.33% | |||
(2) Cash-settled derivatives: | 16,766,627 | 1.37% | 6,087,041 | 0.50% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 103,548 | 0.01% | |||
| 22,962,193 | 1.87% | 22,499,593 | 1.84% | |||
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(b) | Rights to subscribe for new securities (including directors and other executive options) | ||||||
Class of relevant security in relation to |
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Details, including nature of the rights |
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3. | DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER | ||||||
(a) | Purchase and sales |
| | | | | |
Class of relevant | Purchase/sale | Total number of | Highest price per unit | Lowest price per unit | |||
USD 0.54945 ordinary | Purchase | 2675918 | 25.5138 GBP | 24.3374 GBP | |||
USD 0.54945 ordinary | Sale | 1647589 | 25.5256 GBP | 24.4956 GBP | |||
USD 0.54945 ordinary | Sale | 3556 | 29.0946 EUR | 29.0946 EUR | |||
USD 0.54945 ordinary | Purchase | 2010 | 29.4911 EUR | 29.4911 EUR | |||
ADR | Sale | 150533 | 15.7125 USD | 15.6403 USD | |||
ADR | Purchase | 150533 | 15.7125 USD | 15.6403 USD | |||
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(b) | Cash-settled derivative transactions | ||||||
Class of | Product description | Nature of dealing | Number of | Price per | |||
USD 0.54945 ordinary | SWAP | Closing Long | 251 | 25.0271 GBP | |||
USD 0.54945 ordinary | SWAP | Closing Long | 263 | 24.9315 GBP | |||
USD 0.54945 ordinary | SWAP | Closing Long | 1,795 | 24.8891 GBP | |||
USD 0.54945 ordinary | SWAP | Closing Long | 2,037 | 25.4186 GBP | |||
USD 0.54945 ordinary | SWAP | Closing Long | 2,736 | 25.2726 GBP | |||
USD 0.54945 ordinary | SWAP | Closing Long | 11,934 | 25.5256 GBP | |||
USD 0.54945 ordinary | SWAP | Closing Long | 31,207 | 25.2283 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 50 | 25.1166 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 280 | 25.2506 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 341 | 24.9089 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 601 | 25.3610 GBP | |||
USD 0.54945 ordinary | CFD | Decreasing Long | 711 | 25.0070 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 733 | 25.0360 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 758 | 24.7994 GBP | |||
USD 0.54945 ordinary | CFD | Decreasing Long | 804 | 24.7950 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 1,248 | 25.2348 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 1,353 | 25.2134 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 1,561 | 25.0830 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 1,878 | 25.0374 GBP | |||
USD 0.54945 ordinary | CFD | Decreasing Long | 2,507 | 24.9576 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 4,030 | 24.8448 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 4,130 | 25.0514 GBP | |||
USD 0.54945 ordinary | CFD | Decreasing Long | 4,456 | 24.8000 GBP | |||
USD 0.54945 ordinary | CFD | Decreasing Long | 4,792 | 25.1394 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 10,545 | 25.0822 GBP | |||
USD 0.54945 ordinary | CFD | Decreasing Long | 13,539 | 24.9377 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 14,598 | 25.0504 GBP | |||
USD 0.54945 ordinary | CFD | Decreasing Long | 15,539 | 24.7850 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 15,944 | 25.0252 GBP | |||
USD 0.54945 ordinary | CFD | Decreasing Long | 17,028 | 24.7561 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 30,392 | 24.7302 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 39,595 | 24.8000 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 54,338 | 24.8367 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 66,097 | 24.9734 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 72,599 | 24.9917 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 98,008 | 24.9908 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 118,908 | 25.1276 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 138,182 | 24.9726 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Long | 550,748 | 24.8392 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Short | 1,060 | 25.0032 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Short | 1,200 | 24.8483 GBP | |||
USD 0.54945 ordinary | CFD | Decreasing Short | 3,410 | 29.0877 EUR | |||
USD 0.54945 ordinary | SWAP | Decreasing Short | 4,910 | 24.7925 GBP | |||
USD 0.54945 ordinary | SWAP | Decreasing Short | 48,212 | 25.2852 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 80 | 25.2350 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 303 | 25.1460 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 532 | 25.2800 GBP | |||
USD 0.54945 ordinary | CFD | Increasing Long | 711 | 25.3650 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 1,067 | 24.7666 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 1,488 | 25.2153 GBP | |||
USD 0.54945 ordinary | CFD | Increasing Long | 1,673 | 25.3901 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 2,046 | 24.9702 GBP | |||
USD 0.54945 ordinary | CFD | Increasing Long | 4,251 | 25.0829 GBP | |||
USD 0.54945 ordinary | CFD | Increasing Long | 8,510 | 24.8000 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 15,000 | 25.1464 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 16,159 | 24.6510 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 41,058 | 24.7553 GBP | |||
USD 0.54945 ordinary | CFD | Increasing Long | 47,790 | 24.6752 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 58,559 | 24.8114 GBP | |||
USD 0.54945 ordinary | CFD | Increasing Long | 69,401 | 24.6429 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 80,134 | 25.0263 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Long | 116,333 | 24.8000 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Short | 62 | 25.3395 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Short | 522 | 24.6905 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Short | 1,000 | 25.3225 GBP | |||
USD 0.54945 ordinary | CFD | Increasing Short | 2,010 | 29.4944 EUR | |||
USD 0.54945 ordinary | SWAP | Increasing Short | 2,053 | 24.9459 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Short | 36,787 | 25.1080 GBP | |||
USD 0.54945 ordinary | SWAP | Increasing Short | 87,409 | 24.8776 GBP | |||
USD 0.54945 ordinary | SWAP | Opening Long | 146 | 29.1802 EUR | |||
USD 0.54945 ordinary | SWAP | Opening Long | 5,222 | 24.7791 GBP | |||
USD 0.54945 ordinary | SWAP | Opening Short | 698 | 24.9783 GBP | |||
USD 0.54945 ordinary | SWAP | Opening Short | 3,243 | 24.9937 GBP | |||
USD 0.54945 ordinary | SWAP | Opening Short | 5,781 | 25.0023 GBP | |||
USD 0.54945 ordinary | SWAP | Opening Short | 7,754 | 24.5288 GBP | |||
USD 0.54945 ordinary | SWAP | Opening Short | 11,330 | 24.7807 GBP | |||
USD 0.54945 ordinary | SWAP | Opening Short | 41,265 | 24.7221 GBP | |||
USD 0.54945 ordinary | SWAP | Opening Short | 170,359 | 24.8001 GBP | |||
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(c) | Stock-settled derivative transactions (including options) | ||||||
(i) | Writing, selling, purchasing or varying | ||||||
Class | Product | Writing, | Number | Exercise | Type | Expiry | Option |
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(ii) | Exercising |
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Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | |||
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(d) | Other dealings (including subscribing for new securities) | ||||||
Class of relevant | Nature of Dealings | Details | Price per unit (if | ||||
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4. | OTHER INFORMATION | ||||||
(a) | Indemnity and other dealings arrangements | ||||||
Details of any indemnity or option arrangement, or any agreement or understanding, | |||||||
NONE | |||||||
(b) | Agreements, arrangements or understandings relating to options or derivatives | ||||||
Details of any agreement, arrangement or understanding, formal or informal, between | |||||||
NONE | |||||||
(c) | Attachments | ||||||
Is a Supplemental Form 8 (Open Positions) attached? | YES | ||||||
Date of disclosure: | 30 May 2024 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 | ||||||
| | | | | | | |
| | | | | | | |
SUPPLEMENTAL FORM 8 (OPEN POSITIONS) | |||||||
DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO | |||||||
PURCHASE OR SELL ETC. | |||||||
Note 5(i) on Rule 8 of the Takeover Code (the "Code") | |||||||
1. KEY INFORMATION | |||||||
Identity of the person whose positions/dealings | BARCLAYS CAPITAL SECURITIES LTD | ||||||
Name of offeror/offeree in relation to whose | ANGLO AMERICAN PLC | ||||||
| | | | | | | |
2. OPTIONS AND DERIVATIVES | |||||||
Class | Product | Writing, | Number | Exercise | Type | Expiry | |
USD 0.54945 ordinary | Call Options | Written | -103,548 | 20.4333 | European | - | |
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3. AGREEMENTS TO PURCHASE OR SELL ETC. | |||||||
Full details should be given so that the nature of the interest or position can be fully understood: | |||||||
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