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

Wed Feb 13, 2013 6:46am 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:              12 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?                   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:           12,573,522    0.42%    1,018,945          0.03%    
                                                                                                                
 (2)                            Derivatives (other than                                                         
                                options):                    570,730       0.02%    32,606,041         1.09%    
                                                                                                                
 (3)                            Options and agreements to                                                       
                                purchase/sell:               22,260,583    0.74%    1,475,416          0.05%    
                                                                                                                
 (4)                            TOTAL:                                                                          
                                                             35,404,835    1.18%    35,100,402         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         100           11.6100 GBP       
 ORD                  Purchase         151           11.5000 GBP       
 ORD                  Purchase         5,445         11.4995 GBP       
 ORD                  Purchase         7,065         11.5006 GBP       
 ORD                  Purchase         8,654         11.5156 GBP       
 ORD                  Purchase         9,929         11.5093 GBP       
 ORD                  Purchase         13,686        11.5129 GBP       
 ORD                  Purchase         27,500        11.6202 GBP       
 ORD                  Purchase         27,500        11.6208 GBP       
 ORD                  Purchase         28,612        11.5076 GBP       
 ORD                  Purchase         34,613        11.5041 GBP       
 ORD                  Purchase         58,315        11.5224 GBP       
 ORD                  Purchase         60,312        11.5064 GBP       
 ORD                  Purchase         61,257        11.5500 GBP       
 ORD                  Sale             100           11.6100 GBP       
 ORD                  Sale             475           11.5750 GBP       
 ORD                  Sale             487           11.4800 GBP       
 ORD                  Sale             1,207         11.4968 GBP       
 ORD                  Sale             1,325         11.4827 GBP       
 ORD                  Sale             3,617         11.5106 GBP       
 ORD                  Sale             5,200         11.5216 GBP       
 ORD                  Sale             11,683        11.5323 GBP       
 ORD                  Sale             13,491        11.5347 GBP       
 ORD                  Sale             39,364        11.5266 GBP       
 ORD                  Sale             54,441        11.5500 GBP       
 ORD                  Sale             81,405        11.5205 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                 759           11.5332 GBP    
 ORD         SWAP           Long                 2,478         11.4993 GBP    
 ORD         CFD            Long                 4,700         11.4913 GBP    
 ORD         CFD            Short                4,365         11.4909 GBP    
 ORD         SWAP           Short                8,478         11.4981 GBP    
 ORD         CFD            Short                27,500        11.6202 GBP    
 ORD         CFD            Short                27,500        11.6208 GBP    
 ORD         CFD            Short                40,466        11.5109 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:    13 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
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    14 Feb 2013    
 ORD         Put Options       Written        -600,000      8.2000      American    14 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