Form 8.5 (EPT/NON-RI) ALLIED GOLD MINING PLC
BARCLAYS PLC
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
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(a) Name of exempt principal trader:
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BARCLAYS CAPITAL SECURITIES LTD
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(b) Name of offeror/offeree in relation to whose relevant securities
this form relates:
Use a separate form for each offeror/offeree
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ALLIED GOLD MINING PLC
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(c) Name of the party to the offer with which exempt principal
trader is connected:
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Advisor to Offeror
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(d) Date position held/dealing undertaken:
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3 July 2012
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(e) Has the EPT previously disclosed, or is it today disclosing,
under the Code in respect of any other party to this offer?
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YES:
ST BARBARA LIMITED
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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)
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Class of relevant security:
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ORD
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Interests
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Short Positions
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Number
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(%)
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Number
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(%)
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(1)
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Relevant securities owned
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and/or controlled:
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16,327
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0.01%
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0
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0.00%
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(2)
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Derivatives (other than
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options):
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0
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0.00%
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75
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0.00%
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(3)
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Options and agreements to
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purchase/sell:
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0
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0.00%
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0
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0.00%
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(4)
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TOTAL:
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16,327
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0.01%
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75
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0.00%
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All interests and all short positions should be disclosed.
Details of any open derivative or option positions, 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 executive options)
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Class of relevant security in relation to which subscription right
exists:
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Details, including nature of the rights concerned and relevant
percentages:
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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.
3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
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Class of relevant
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Purchase/sale
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Number of
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Price per unit
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security
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securities
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ORD
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Purchase
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207
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1.4175 GBP
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(b) Derivatives transactions (other than options)
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Class of
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Product
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Nature of dealing
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Number of
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Price per
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relevant
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description
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reference
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unit
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security
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securities
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ORD
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CFD
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Short
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207
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1.4175 GBP
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(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
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Class of relevant security
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Product description e.g. call option
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Writing, purchasing, selling, varying etc.
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Number of securities to which option relates
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Exercise price per unit
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Type
e.g. American, European etc.
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Expiry date
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Option money paid/ received per unit
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(ii) Exercising
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Class of relevant security
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Product description
e.g. call option
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Number of securities
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Exercise price per unit
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(d) Other dealings (including subscribing for new securities)
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Class of relevant security
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Nature of dealing
e.g. subscription, conversion
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Details
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Price per unit (if applicable)
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The currency of all prices and other monetary amounts should be stated.
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.
4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
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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:
If there are no such agreements, arrangements or understandings,
state “none”
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NONE
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(b) Agreements, arrangements or understandings relating to options or
derivatives
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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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NONE
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(c) Attachments
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Is a Supplemental Form 8 (Open Positions) attached?
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NO
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Date of disclosure:
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4 Jul 2012
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Contact name:
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Geoff Smith
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Telephone number:
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020 7116 2913
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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 dealing disclosure requirements on +44 (0)20 7638
0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
