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:20130213:nBw135547a http://www.businesswire.com/news/home/20130213005547/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 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: 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? 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: 2,512,079 0.04% 45,593,514 0.64% (2) Derivatives (other than options): 43,556,644 0.61% 1,088,484 0.02% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 46,068,723 0.65% 46,681,998 0.66% 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 ORD Purchase 837 3.8245 GBP ORD Purchase 1,413 3.8434 GBP ORD Purchase 1,422 3.8644 GBP ORD Purchase 1,600 3.8620 GBP ORD Purchase 2,000 3.8650 GBP ORD Purchase 4,000 3.8300 GBP ORD Purchase 4,583 3.8382 GBP ORD Purchase 6,513 3.8307 GBP ORD Purchase 12,500 3.8309 GBP ORD Purchase 20,254 3.8335 GBP ORD Purchase 69,182 3.8445 GBP ORD Purchase 72,658 3.8254 GBP ORD Purchase 146,266 3.8284 GBP ORD Purchase 147,038 3.8321 GBP ORD Purchase 174,168 3.8287 GBP ORD Sale 157 3.8435 GBP ORD Sale 200 3.8633 GBP ORD Sale 2,489 3.8176 GBP ORD Sale 4,803 3.8651 GBP ORD Sale 8,116 3.8331 GBP ORD Sale 12,500 3.8309 GBP ORD Sale 16,413 3.8262 GBP ORD Sale 25,401 3.8283 GBP ORD Sale 68,661 3.8288 GBP ORD Sale 74,894 3.8358 GBP ORD Sale 76,860 3.8445 GBP ORD Sale 83,875 3.8585 GBP ORD Sale 83,875 3.8599 GBP ORD Sale 145,034 3.8274 GBP ORD Sale 195,981 3.8357 GBP ORD Sale 310,676 3.8295 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 3,720 3.8671 GBP ORD CFD Long 3,732 3.8648 GBP ORD CFD Long 83,875 3.8585 GBP ORD CFD Long 83,875 3.8599 GBP ORD CFD Long 206,045 3.8293 GBP ORD SWAP Short 1,600 3.8620 GBP ORD CFD Short 9,082 3.8331 GBP ORD CFD Short 145,306 3.8322 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: 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. BARCLAYS PLC Copyright Business Wire 2013
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