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:20130201:nBw015251a http://www.businesswire.com/news/home/20130201005251/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 relevant securities this form relates: GLENCORE INTL PLC Use a separate form for each offeror/offeree (c) Name of the party to the offer with which exempt principal trader is connected: Advisor to Offeree (d) Date position held/dealing undertaken: 31 January 2013 (e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? YES: 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: 2,939,858 0.04% 45,204,687 0.64% (2) Derivatives (other than options): 43,058,460 0.61% 506,167 0.01% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 45,998,318 0.65% 45,710,854 0.64% 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 3,000,000 127.0000 USD Convertible Bond Sale 3,000,000 127.0000 USD ORD Purchase 500 3.9570 GBP ORD Purchase 642 3.9380 GBP ORD Purchase 1,976 3.9577 GBP ORD Purchase 6,384 3.9468 GBP ORD Purchase 7,800 47.9294 HKD ORD Purchase 10,499 3.9345 GBP ORD Purchase 13,874 3.9552 GBP ORD Purchase 21,400 3.9443 GBP ORD Purchase 28,591 3.9534 GBP ORD Purchase 31,617 3.9435 GBP ORD Purchase 45,000 3.9371 GBP ORD Purchase 67,116 3.9500 GBP ORD Purchase 90,920 3.9512 GBP ORD Purchase 126,634 3.9511 GBP ORD Purchase 315,800 3.9387 GBP ORD Purchase 339,288 3.9525 GBP ORD Purchase 503,247 3.9504 GBP ORD Sale 600 3.9510 GBP ORD Sale 800 48.0000 HKD ORD Sale 2,000 3.9365 GBP ORD Sale 2,000 48.1000 HKD ORD Sale 2,059 3.9345 GBP ORD Sale 2,397 3.9432 GBP ORD Sale 3,809 3.9599 GBP ORD Sale 4,878 3.9497 GBP ORD Sale 5,000 47.8500 HKD ORD Sale 5,647 3.9424 GBP ORD Sale 7,421 3.9370 GBP ORD Sale 7,870 3.9488 GBP ORD Sale 9,603 3.9368 GBP ORD Sale 10,500 3.9560 GBP ORD Sale 11,838 3.9513 GBP ORD Sale 15,460 3.9440 GBP ORD Sale 26,243 3.9566 GBP ORD Sale 33,654 3.9452 GBP ORD Sale 34,834 3.9508 GBP ORD Sale 36,596 3.9350 GBP ORD Sale 71,779 3.9498 GBP ORD Sale 110,160 3.9503 GBP ORD Sale 206,599 3.9527 GBP ORD Sale 299,500 3.9517 GBP ORD Sale 350,000 3.9553 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 1,500 3.9571 GBP ORD CFD Long 2,496 3.9433 GBP ORD SWAP Long 6,100 3.9545 GBP ORD CFD Long 16,240 3.9453 GBP ORD CFD Long 23,232 3.9419 GBP ORD SWAP Long 36,743 3.9564 GBP ORD CFD Long 50,646 3.9428 GBP ORD CFD Short 3,166 3.9440 GBP ORD SWAP Short 4,200 3.9420 GBP ORD SWAP Short 6,384 3.9468 GBP ORD SWAP Short 53,017 3.9438 GBP ORD CFD Short 84,696 3.9521 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: 1 Feb 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
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