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:20130213:nBw135548a http://www.businesswire.com/news/home/20130213005548/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 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 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. 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