REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) XSTRATA PLC
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130131:nBw315599a http://www.businesswire.com/news/home/20130131005599/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 XSTRATA 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: 30 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? GLENCORE INTL 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: 12,814,662 0.43% 862,644 0.03% (2) Derivatives (other than options): 383,339 0.01% 32,557,343 1.08% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 1,475,416 0.05% (4) TOTAL: 35,458,584 1.18% 34,895,403 1.16% 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 20 11.8250 GBP ORD Purchase 289 11.8337 GBP ORD Purchase 1,316 11.8539 GBP ORD Purchase 1,345 11.8300 GBP ORD Purchase 2,115 11.8532 GBP ORD Purchase 4,101 11.8448 GBP ORD Purchase 15,660 11.8439 GBP ORD Purchase 18,046 11.8700 GBP ORD Purchase 35,062 11.8384 GBP ORD Purchase 55,372 11.8503 GBP ORD Purchase 91,010 11.8458 GBP ORD Purchase 171,478 11.8492 GBP ORD Sale 74 11.8650 GBP ORD Sale 101 11.8357 GBP ORD Sale 217 11.8382 GBP ORD Sale 342 11.8401 GBP ORD Sale 1,000 11.8250 GBP ORD Sale 1,021 11.8434 GBP ORD Sale 1,094 11.8633 GBP ORD Sale 1,560 11.8700 GBP ORD Sale 7,301 11.8372 GBP ORD Sale 8,037 11.8386 GBP ORD Sale 8,195 11.8479 GBP ORD Sale 15,831 11.8451 GBP ORD Sale 18,363 11.8458 GBP ORD Sale 30,527 11.8613 GBP ORD Sale 56,792 11.8424 GBP ORD Sale 89,772 11.8402 GBP ORD Sale 113,772 11.8440 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 52 11.8182 GBP ORD CFD Long 1,554 11.8814 GBP ORD CFD Long 4,395 11.8466 GBP ORD SWAP Long 7,301 11.8372 GBP ORD CFD Long 24,411 11.8336 GBP ORD CFD Short 20 11.8260 GBP ORD CFD Short 54 11.8759 GBP ORD CFD Short 1,345 11.8308 GBP ORD SWAP Short 4,101 11.8447 GBP ORD CFD Short 9,094 11.8758 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? YES Date of disclosure: 31 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. 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 are being disclosed: Name of offeror/offeree in relation to whose XSTRATA PLC relevant securities this from relates: 2. OPTIONS AND DERIVATIVES Class Product Writing, Number Exercise Type Expiry of description purchasing, of price date relevant selling, securities per unit security varying etc to which option relates ORD Call Options Purchased 168,000 11.0346 European 16 May 2013 ORD Call Options Purchased 167,900 11.1902 European 13 Mar 2013 ORD Put Options Written -250,000 7.2000 American 1 Feb 2013 ORD Put Options Written -600,000 8.2000 American 1 Feb 2013 ORD Call Options Written -625,416 12.0000 European 27 Feb 2013 ORD Equity Forward Purchased 21,924,683 20.5248 17 Jun 2013 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: It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to contracts for differences ("CFDs") or spread bets. The currency of all prices and other monetary amounts should be stated. 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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