REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) Glencore International Plc - Amendment
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130125:nBw255475a http://www.businesswire.com/news/home/20130125005475/en LONDON--(Business Wire)-- Amendment 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 GLENCORE INTL PLC relevant securities this form relates: (c) Name of the party to the offer with which exempt Advisor to Offeree principal trader is connected (d) Date position held/dealing undertaken: 23 January 2013 (e) Has the EPT previously disclosed, or is it YES: today disclosing, under the Code in respect of any other party to this offer? XSTRATA PLC 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: ORD Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 2,425,642 0.03% 43,675,877 0.62% (2) Derivatives (other than options): 42,007,543 0.59% 913,882 0.01% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 44,433,185 0.62% 44,589,759 0.63% Class of relevant security: Convertible Bond XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 800,000 0.04% 0 0.00% (2) Derivatives (other than options): 0 0.00% 0 0.00% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 800,000 0.04% 0 0.00% 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) Class of relevant security in relation to which subscription right exists: Details, including nature of the rights concerned and relevant percentages: 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 Class of relevant Purchase/sale Number of Price per unit security securities ORD Purchase 235 3.8625 GBP ORD Purchase 480 3.8375 GBP ORD Purchase 500 47.2000 HKD ORD Purchase 556 3.8601 GBP ORD Purchase 700 47.4000 HKD ORD Purchase 1,066 3.8549 GBP ORD Purchase 1,900 47.1500 HKD ORD Purchase 2,063 3.8748 GBP ORD Purchase 4,700 47.3500 HKD ORD Purchase 5,460 3.8450 GBP ORD Purchase 7,074 Transfer ORD Purchase 7,800 47.1000 HKD ORD Purchase 13,884 3.8398 GBP ORD Purchase 14,506 3.8511 GBP ORD Purchase 21,203 3.8639 GBP ORD Purchase 57,994 3.8547 GBP ORD Purchase 67,836 3.8483 GBP ORD Purchase 79,995 3.8524 GBP ORD Purchase 115,943 3.8521 GBP ORD Purchase 119,479 3.8531 GBP ORD Purchase 153,415 3.8529 GBP ORD Purchase 543,774 3.8522 GBP ORD Purchase 1,060,263 3.8496 GBP ORD Sale 500 47.4000 HKD ORD Sale 947 3.8425 GBP ORD Sale 1,675 3.8475 GBP ORD Sale 1,700 3.8540 GBP ORD Sale 2,063 3.8750 GBP ORD Sale 2,633 3.8596 GBP ORD Sale 6,802 3.8508 GBP ORD Sale 8,615 3.8585 GBP ORD Sale 11,482 3.8380 GBP ORD Sale 15,600 47.1980 HKD ORD Sale 18,489 3.8537 GBP ORD Sale 20,149 3.8724 GBP ORD Sale 34,036 3.8548 GBP ORD Sale 34,760 3.8549 GBP ORD Sale 83,837 3.8459 GBP ORD Sale 111,505 3.8547 GBP ORD Sale 114,461 3.8551 GBP ORD Sale 167,750 3.8600 GBP ORD Sale 1,841,845 3.8506 GBP (b) Derivatives transactions (other than options) Class of Product Nature of dealing Number of Price per relevant description reference unit security securities ORD CFD Long 500 47.3394 HKD ORD CFD Long 1,675 3.8473 GBP ORD CFD Long 4,999 3.8347 GBP ORD CFD Long 6,257 3.8619 GBP ORD CFD Long 13,892 3.8765 GBP ORD CFD Long 167,750 3.8600 GBP ORD CFD Short 656 3.8494 GBP ORD SWAP Short 4,090 3.8475 GBP ORD SWAP Short 22,337 3.8643 GBP ORD CFD Short 13,708 3.8398 GBP (c) Options transactions in respect of existing securities (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 Expiry date Option money paid/ received per unit e.g. American, European etc. (ii) Exercising Class of relevant security Product description Number of securities Exercise price per unit e.g. call option (d) Other dealings (including subscribing for new securities) Class of relevant security Nature of dealing Details Price per unit (if applicable) e.g. subscription, conversion 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 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" 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 (c) Attachments Is a Supplemental Form 8 (Open Positions) attached? NO Date of disclosure: 25 Jan 2013 Contact name: Geoff Smith Telephone number: 020 3555 4632 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 firstname.lastname@example.org. 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. BARCLAYS PLC Copyright Business Wire 2013