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:20130207:nBw075704a http://www.businesswire.com/news/home/20130207005704/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: XSTRATA 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: 6 February 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: 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: 12,517,643 0.42% 1,078,278 0.04% (2) Derivatives (other than options): 670,034 0.02% 32,476,857 1.08% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 1,475,416 0.05% (4) TOTAL: 35,448,260 1.18% 35,030,551 1.17% 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 670 11.5850 GBP ORD Purchase 885 11.5658 GBP ORD Purchase 1,173 11.6300 GBP ORD Purchase 2,487 11.5855 GBP ORD Purchase 5,803 11.6750 GBP ORD Purchase 8,015 11.6241 GBP ORD Purchase 13,726 11.6244 GBP ORD Purchase 19,064 11.5000 GBP ORD Purchase 25,242 11.6266 GBP ORD Purchase 69,969 11.6307 GBP ORD Sale 52 11.5900 GBP ORD Sale 200 11.5550 GBP ORD Sale 1,130 11.6271 GBP ORD Sale 1,228 11.6150 GBP ORD Sale 1,272 11.6218 GBP ORD Sale 1,435 11.5822 GBP ORD Sale 1,825 11.5719 GBP ORD Sale 2,000 11.6100 GBP ORD Sale 2,951 11.6431 GBP ORD Sale 6,424 11.5655 GBP ORD Sale 20,431 11.6750 GBP ORD Sale 25,021 11.6185 GBP ORD Sale 26,935 11.5415 GBP ORD Sale 28,420 11.6199 GBP ORD Sale 57,942 11.6194 GBP ORD Sale 61,452 11.6038 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 13 11.5461 GBP ORD CFD Long 1,266 11.5465 GBP ORD CFD Long 2,040 11.6587 GBP ORD SWAP Long 3,355 11.6406 GBP ORD CFD Long 4,541 11.6168 GBP ORD CFD Long 7,869 11.5464 GBP ORD SWAP Short 9,655 11.6244 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: Contact name: Geoff Smith Telephone number: 020 3555 4632 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 person whose open positions are being disclosed: BARCLAYS CAPITAL SECURITIES LTD Name of offeror/offeree in relation to whose relevant securities the disclosure relates: XSTRATA PLC 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 8 Feb 2013 ORD Put Options Written -600,000 8.2000 American 8 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. 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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