REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - GLENCORE INTL PLC - AMENDMENT
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130212:nBw125832a http://www.businesswire.com/news/home/20130212005832/en LONDON--(Business Wire)-- FORM 8.5 (EPT/NON-RI) AMENDMENT 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: 8 February 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: 2,483,114 0.03% 45,274,884 0.64% (2) Derivatives (other than options): 43,427,500 0.61% 1,078,088 0.02% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 45,910,614 0.64% 46,352,972 0.65% Class of relevant security: Convertible Bond XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 3,200,000 0.14% 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: 3,200,000 0.14% 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 Sale 500,000 125.8750 USD ORD Purchase 100 47.0500 HKD ORD Purchase 497 3.8362 GBP ORD Purchase 500 3.8600 GBP ORD Purchase 575 3.8400 GBP ORD Purchase 694 3.8537 GBP ORD Purchase 710 3.8586 GBP ORD Purchase 1,200 46.8000 HKD ORD Purchase 1,893 3.8535 GBP ORD Purchase 2,300 47.1000 HKD ORD Purchase 2,689 3.8601 GBP ORD Purchase 2,949 3.8406 GBP ORD Purchase 3,586 3.8495 GBP ORD Purchase 3,993 3.8442 GBP ORD Purchase 4,499 3.8551 GBP ORD Purchase 7,500 47.0000 HKD ORD Purchase 12,500 3.8486 GBP ORD Purchase 13,761 3.8464 GBP ORD Purchase 42,394 3.8457 GBP ORD Purchase 50,000 3.8608 GBP ORD Purchase 76,580 3.8475 GBP ORD Purchase 108,728 3.8481 GBP ORD Purchase 214,354 3.8533 GBP ORD Sale 400 3.8575 GBP ORD Sale 645 3.8490 GBP ORD Sale 783 3.8501 GBP ORD Sale 1,119 3.8453 GBP ORD Sale 1,200 3.8451 GBP ORD Sale 2,000 3.8535 GBP ORD Sale 2,603 3.8549 GBP ORD Sale 2,913 3.8430 GBP ORD Sale 2,930 3.8592 GBP ORD Sale 4,210 3.8408 GBP ORD Sale 6,070 3.8565 GBP ORD Sale 9,900 47.0237 HKD ORD Sale 12,500 3.8486 GBP ORD Sale 14,709 3.8459 GBP ORD Sale 48,342 3.8482 GBP ORD Sale 51,913 3.8470 GBP ORD Sale 117,557 3.8619 GBP ORD Sale 124,603 3.8477 GBP ORD Sale 131,552 3.8488 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 800 3.8570 GBP ORD SWAP Long 1,100 3.8440 GBP ORD CFD Long 2,225 3.8608 GBP ORD CFD Long 2,709 3.8562 GBP ORD SWAP Long 6,470 3.8565 GBP ORD CFD Long 14,709 3.8459 GBP ORD CFD Long 115,498 3.8617 GBP ORD SWAP Short 694 3.8537 GBP ORD CFD Short 1,164 3.8409 GBP ORD CFD Short 1,200 46.8599 HKD ORD SWAP Short 2,100 3.8655 GBP ORD SWAP Short 4,999 3.8556 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: 12 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 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