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:20130214:nBw145601a http://www.businesswire.com/news/home/20130214005601/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 relevant securities this form relates: GLENCORE INTL 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: 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: 2,767,095 0.04% 46,796,486 0.66% (2) Derivatives (other than options): 43,813,581 0.62% 1,080,175 0.02% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 46,580,676 0.66% 47,876,661 0.67% 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 400 3.9820 GBP ORD Purchase 3,881 3.9255 GBP ORD Purchase 4,179 3.9510 GBP ORD Purchase 4,901 3.9434 GBP ORD Purchase 7,488 3.9075 GBP ORD Purchase 11,911 3.9539 GBP ORD Purchase 18,308 3.9323 GBP ORD Purchase 21,337 3.9718 GBP ORD Purchase 24,089 3.9385 GBP ORD Purchase 27,964 3.9413 GBP ORD Purchase 64,237 3.9488 GBP ORD Purchase 77,763 3.9222 GBP ORD Purchase 126,439 3.9061 GBP ORD Purchase 136,299 3.9428 GBP ORD Purchase 206,719 3.9469 GBP ORD Purchase 393,657 3.9451 GBP ORD Sale 105 3.9445 GBP ORD Sale 253 3.9335 GBP ORD Sale 494 3.8960 GBP ORD Sale 600 3.8990 GBP ORD Sale 800 3.9090 GBP ORD Sale 1,023 3.9740 GBP ORD Sale 1,605 3.9135 GBP ORD Sale 4,107 3.9039 GBP ORD Sale 4,684 3.9300 GBP ORD Sale 4,834 3.9522 GBP ORD Sale 5,736 3.9739 GBP ORD Sale 7,522 3.9101 GBP ORD Sale 8,357 3.9576 GBP ORD Sale 9,241 3.9741 GBP ORD Sale 10,020 3.9408 GBP ORD Sale 15,433 3.9035 GBP ORD Sale 16,378 3.8954 GBP ORD Sale 16,545 3.8985 GBP ORD Sale 18,638 3.9709 GBP ORD Sale 19,531 3.9056 GBP ORD Sale 29,330 3.8993 GBP ORD Sale 54,193 3.9405 GBP ORD Sale 68,398 3.9017 GBP ORD Sale 69,902 3.9027 GBP ORD Sale 84,790 3.8232 GBP ORD Sale 107,434 3.9019 GBP ORD Sale 133,927 3.9062 GBP ORD Sale 145,884 3.9439 GBP ORD Sale 170,027 3.9261 GBP ORD Sale 181,797 3.9392 GBP ORD Sale 378,333 3.9196 GBP ORD Sale 507,607 3.9075 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 1,400 3.9047 GBP ORD CFD Long 1,947 3.9090 GBP ORD CFD Long 21,552 3.8812 GBP ORD CFD Long 84,790 3.8232 GBP ORD CFD Long 252,118 3.9115 GBP ORD SWAP Short 400 3.9820 GBP ORD CFD Short 2,860 3.9152 GBP ORD CFD Short 21,525 3.9028 GBP ORD CFD Short 71,776 3.9268 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: 14 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