REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - XSTRATA PLC

Thu Jan 31, 2013 5:26am EST

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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:              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?                   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:           12,769,054    0.43%    858,851            0.03%    
                                                                                                                
 (2)                            Derivatives (other than                                                         
                                options):                    375,771       0.01%    32,574,176         1.08%    
                                                                                                                
 (3)                            Options and agreements to                                                       
                                purchase/sell:               22,260,583    0.74%    1,475,416          0.05%    
                                                                                                                
 (4)                            TOTAL:                                                                          
                                                             35,405,408    1.18%    34,908,443         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         150           11.8000 GBP       
 ORD                  Purchase         280           11.7677 GBP       
 ORD                  Purchase         377           11.6750 GBP       
 ORD                  Purchase         1,000         11.6950 GBP       
 ORD                  Purchase         1,228         11.9362 GBP       
 ORD                  Purchase         1,900         11.7722 GBP       
 ORD                  Purchase         2,283         11.6761 GBP       
 ORD                  Purchase         2,298         11.7656 GBP       
 ORD                  Purchase         5,807         11.9250 GBP       
 ORD                  Purchase         17,761        11.7288 GBP       
 ORD                  Purchase         18,501        11.8067 GBP       
 ORD                  Purchase         20,000        11.7850 GBP       
 ORD                  Purchase         20,853        11.8155 GBP       
 ORD                  Purchase         53,609        11.8093 GBP       
 ORD                  Purchase         55,000        11.9216 GBP       
 ORD                  Purchase         58,688        11.7401 GBP       
 ORD                  Purchase         105,962       11.8112 GBP       
 ORD                  Sale             100           11.8100 GBP       
 ORD                  Sale             180           11.7450 GBP       
 ORD                  Sale             442           11.9354 GBP       
 ORD                  Sale             1,000         11.6950 GBP       
 ORD                  Sale             1,273         11.7201 GBP       
 ORD                  Sale             1,288         11.9355 GBP       
 ORD                  Sale             2,481         11.9250 GBP       
 ORD                  Sale             2,774         11.9311 GBP       
 ORD                  Sale             3,600         11.8070 GBP       
 ORD                  Sale             9,288         11.7999 GBP       
 ORD                  Sale             10,919        11.8551 GBP       
 ORD                  Sale             13,629        11.9236 GBP       
 ORD                  Sale             15,000        11.9190 GBP       
 ORD                  Sale             39,259        11.7579 GBP       
 ORD                  Sale             39,808        11.7996 GBP       


(b) Derivatives transactions (other than options)

 Class of    Product        Nature of dealing    Number of     Price per      
 relevant    description                         reference     unit           
 security                                        securities                   
 ORD         SWAP           Long                 520           11.8299 GBP    
 ORD         CFD            Long                 1,148         11.9129 GBP    
 ORD         CFD            Long                 2,100         11.9383 GBP    
 ORD         CFD            Short                52            11.7261 GBP    
 ORD         CFD            Short                1,900         11.7722 GBP    
 ORD         CFD            Short                20,000        11.7850 GBP    
 ORD         CFD            Short                19,128        11.7207 GBP    
 ORD         CFD            Short                55,000        11.9216 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
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. 

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    31 Jan 2013    
 ORD         Put Options       Written        -600,000      8.2000      American    31 Jan 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