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

Thu Feb 14, 2013 6:43am 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 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:                                                                                      13 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:           12,932,728    0.43%    1,033,503          0.03%    
                                                                                                                
 (2)                            Derivatives (other than                                                         
                                options):                    553,584       0.02%    32,631,409         1.09%    
                                                                                                                
 (3)                            Options and agreements to                                                       
                                purchase/sell:               22,260,583    0.74%    1,475,416          0.05%    
                                                                                                                
 (4)                            TOTAL:                                                                          
                                                             35,746,895    1.19%    35,140,328         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           11.8250 GBP       
 ORD                  Purchase         264           11.7275 GBP       
 ORD                  Purchase         1,778         11.9650 GBP       
 ORD                  Purchase         1,827         11.7294 GBP       
 ORD                  Purchase         3,354         11.8350 GBP       
 ORD                  Purchase         4,123         11.7152 GBP       
 ORD                  Purchase         7,600         11.8543 GBP       
 ORD                  Purchase         15,058        11.8365 GBP       
 ORD                  Purchase         16,163        11.8887 GBP       
 ORD                  Purchase         27,633        11.7293 GBP       
 ORD                  Purchase         27,800        11.5083 GBP       
 ORD                  Purchase         56,048        11.8682 GBP       
 ORD                  Purchase         107,158       11.8653 GBP       
 ORD                  Purchase         120,351       11.7327 GBP       
 ORD                  Purchase         148,584       11.7150 GBP       
 ORD                  Sale             169           11.9150 GBP       
 ORD                  Sale             281           11.5850 GBP       
 ORD                  Sale             341           11.7250 GBP       
 ORD                  Sale             384           11.7150 GBP       
 ORD                  Sale             3,700         11.9204 GBP       
 ORD                  Sale             4,777         11.8030 GBP       
 ORD                  Sale             8,011         11.7376 GBP       
 ORD                  Sale             8,104         11.8071 GBP       
 ORD                  Sale             10,210        11.8290 GBP       
 ORD                  Sale             12,242        11.8538 GBP       
 ORD                  Sale             22,000        11.7223 GBP       
 ORD                  Sale             32,395        11.8187 GBP       
 ORD                  Sale             33,953        11.8454 GBP       
 ORD                  Sale             56,626        11.8162 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                 3,700         11.9205 GBP    
 ORD         CFD            Long                 4,717         11.9343 GBP    
 ORD         CFD            Long                 8,581         11.6669 GBP    
 ORD         CFD            Short                946           11.8851 GBP    
 ORD         SWAP           Short                1,174         11.8718 GBP    
 ORD         SWAP           Short                7,600         11.8543 GBP    
 ORD         CFD            Short                27,800        11.5083 GBP    
 ORD         CFD            Short                21,992        11.7546 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:    14 Feb 2013    
 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    15 Feb 2013    
 ORD         Put Options       Written        -600,000      8.2000      American    15 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
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.

BARCLAYS PLC 

Copyright Business Wire 2013