REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - GLENCORE INTL PLC
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130129:nBw295883a http://www.businesswire.com/news/home/20130129005883/en LONDON--(Business Wire)-- 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: 28 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: 2,518,899 0.04% 46,752,705 0.66% (2) Derivatives (other than options): 44,274,238 0.62% 723,045 0.01% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 46,793,137 0.66% 47,475,750 0.67% Class of relevant security: Convertible Bond XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 6,200,000 0.32% 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: 6,200,000 0.32% 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 Convertible Bond Purchase 2,500,000 127.0000 USD Convertible Bond Sale 800,000 126.7500 USD Convertible Bond Sale 1,000,000 127.0500 USD ORD Purchase 150 3.9225 GBP ORD Purchase 738 3.9080 GBP ORD Purchase 800 47.7500 HKD ORD Purchase 813 3.9300 GBP ORD Purchase 872 3.9120 GBP ORD Purchase 1,153 3.9005 GBP ORD Purchase 3,100 47.8000 HKD ORD Purchase 3,680 3.9174 GBP ORD Purchase 5,500 47.7000 HKD ORD Purchase 6,000 47.6500 HKD ORD Purchase 9,100 47.6000 HKD ORD Purchase 10,461 3.9204 GBP ORD Purchase 36,777 3.9230 GBP ORD Purchase 44,403 3.9136 GBP ORD Purchase 45,314 3.9141 GBP ORD Purchase 96,419 3.9092 GBP ORD Purchase 108,911 3.9254 GBP ORD Purchase 126,977 3.9137 GBP ORD Purchase 128,876 3.9130 GBP ORD Purchase 142,903 3.9050 GBP ORD Purchase 142,903 3.9250 GBP ORD Sale 100 47.6000 HKD ORD Sale 308 3.9009 GBP ORD Sale 394 3.9209 GBP ORD Sale 400 47.7000 HKD ORD Sale 800 47.7500 HKD ORD Sale 980 3.9166 GBP ORD Sale 1,053 3.9005 GBP ORD Sale 1,403 3.9125 GBP ORD Sale 1,998 3.9200 GBP ORD Sale 2,084 3.9118 GBP ORD Sale 4,093 3.9101 GBP ORD Sale 4,100 47.6500 HKD ORD Sale 6,462 3.9035 GBP ORD Sale 7,236 3.9121 GBP ORD Sale 9,646 3.9116 GBP ORD Sale 14,979 3.9054 GBP ORD Sale 18,995 3.9159 GBP ORD Sale 20,100 47.6641 HKD ORD Sale 47,352 3.9080 GBP ORD Sale 56,552 3.9182 GBP ORD Sale 82,350 3.9157 GBP ORD Sale 82,350 3.9174 GBP ORD Sale 162,338 3.9086 GBP ORD Sale 204,832 3.9167 GBP ORD Sale 249,600 3.9234 GBP ORD Sale 300,551 3.9133 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 100 47.6405 HKD ORD CFD Long 400 47.6029 HKD ORD CFD Long 4,400 3.9396 GBP ORD CFD Long 4,900 47.6069 HKD ORD CFD Long 12,964 3.9097 GBP ORD CFD Long 45,365 3.9171 GBP ORD CFD Long 82,350 3.9157 GBP ORD CFD Long 82,350 3.9174 GBP ORD CFD Short 4,400 47.7254 HKD ORD SWAP Short 6,446 3.9102 GBP ORD CFD Short 24,323 3.9298 GBP ORD CFD Short 17,416 3.9210 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: 29 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