REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) Glencore International Plc
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130130:nBw305675a http://www.businesswire.com/news/home/20130130005675/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: 29 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: 2,695,652 0.04% 45,323,118 0.64% (2) Derivatives (other than options): 43,156,201 0.61% 706,763 0.01% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 45,851,853 0.65% 46,029,881 0.65% 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 ORD Purchase 300 3.9095 GBP ORD Purchase 600 47.7500 HKD ORD Purchase 1,254 3.9270 GBP ORD Purchase 1,518 3.9587 GBP ORD Purchase 1,800 47.8000 HKD ORD Purchase 2,800 47.9000 HKD ORD Purchase 5,100 47.8500 HKD ORD Purchase 5,166 3.9127 GBP ORD Purchase 13,667 3.9600 GBP ORD Purchase 32,813 3.9209 GBP ORD Purchase 34,281 3.9110 GBP ORD Purchase 85,315 3.9418 GBP ORD Purchase 143,707 3.9245 GBP ORD Purchase 221,179 3.9350 GBP ORD Purchase 250,000 3.9064 GBP ORD Purchase 750,000 3.9354 GBP ORD Purchase 1,771,417 3.8917 GBP ORD Sale 100 3.8840 GBP ORD Sale 100 3.9190 GBP ORD Sale 100 47.8000 HKD ORD Sale 100 47.8500 HKD ORD Sale 200 3.9050 GBP ORD Sale 200 47.9000 HKD ORD Sale 384 3.9030 GBP ORD Sale 2,552 3.8998 GBP ORD Sale 2,910 3.8969 GBP ORD Sale 4,422 3.9600 GBP ORD Sale 5,795 3.9085 GBP ORD Sale 6,145 3.8990 GBP ORD Sale 6,464 3.8977 GBP ORD Sale 9,289 3.9141 GBP ORD Sale 9,498 3.9118 GBP ORD Sale 10,300 47.8490 HKD ORD Sale 14,595 3.9114 GBP ORD Sale 25,124 3.9428 GBP ORD Sale 38,971 3.9078 GBP ORD Sale 50,475 3.9215 GBP ORD Sale 61,000 3.9145 GBP ORD Sale 62,988 3.9183 GBP ORD Sale 65,766 3.9157 GBP ORD Sale 81,330 3.9105 GBP ORD Sale 134,440 3.9335 GBP ORD Sale 142,965 3.9128 GBP ORD Sale 178,998 3.8972 GBP ORD Sale 247,571 3.9572 GBP ORD Sale 605,057 3.9366 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 400 47.8029 HKD ORD CFD Long 3,399 3.8837 GBP ORD CFD Long 3,802 3.9591 GBP ORD CFD Long 5,795 3.9085 GBP ORD CFD Long 18,444 3.9057 GBP ORD CFD Long 61,000 3.9145 GBP ORD CFD Long 247,571 3.9572 GBP ORD CFD Short 100 3.9161 GBP ORD CFD Short 2,521 3.9666 GBP ORD SWAP Short 4,034 3.9527 GBP ORD CFD Short 18,267 3.9143 GBP ORD CFD Short 72,114 3.9471 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: 30 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 email@example.com. 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
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