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:20130215:nBw155474a http://www.businesswire.com/news/home/20130215005474/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: 14 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: 2,465,250 0.03% 46,777,974 0.66% (2) Derivatives (other than options): 43,809,547 0.62% 1,057,970 0.01% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 46,274,797 0.65% 47,835,944 0.67% Class of relevant security: Convertible Bond XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 4,400,000 0.19% 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: 4,400,000 0.19% 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 Convertible Bond Purchase 1,200,000 126.1250 USD ORD Purchase 95 3.9485 GBP ORD Purchase 100 48.0000 HKD ORD Purchase 200 47.7000 HKD ORD Purchase 1,500 48.1000 HKD ORD Purchase 1,500 48.1500 HKD ORD Purchase 1,600 47.6500 HKD ORD Purchase 1,839 3.9493 GBP ORD Purchase 2,500 47.9500 HKD ORD Purchase 3,168 3.9203 GBP ORD Purchase 3,500 47.9000 HKD ORD Purchase 3,769 3.9261 GBP ORD Purchase 6,839 3.9446 GBP ORD Purchase 6,914 3.9405 GBP ORD Purchase 8,600 47.8500 HKD ORD Purchase 10,100 48.0084 HKD ORD Purchase 11,355 3.9308 GBP ORD Purchase 17,930 3.9390 GBP ORD Purchase 27,254 3.9444 GBP ORD Purchase 29,767 3.9410 GBP ORD Purchase 32,496 3.9411 GBP ORD Purchase 43,751 3.9374 GBP ORD Purchase 118,254 3.9383 GBP ORD Purchase 152,500 3.9339 GBP ORD Purchase 158,416 3.9441 GBP ORD Sale 1,100 3.9570 GBP ORD Sale 1,458 3.9340 GBP ORD Sale 1,700 48.0500 HKD ORD Sale 2,064 3.9278 GBP ORD Sale 2,303 3.9447 GBP ORD Sale 2,355 3.9491 GBP ORD Sale 2,381 3.9442 GBP ORD Sale 2,412 3.9350 GBP ORD Sale 3,500 47.9000 HKD ORD Sale 4,240 3.9473 GBP ORD Sale 6,205 3.9471 GBP ORD Sale 6,852 3.9326 GBP ORD Sale 7,500 47.9500 HKD ORD Sale 8,500 48.0000 HKD ORD Sale 11,100 47.8500 HKD ORD Sale 15,880 3.9481 GBP ORD Sale 19,500 47.8969 HKD ORD Sale 23,944 3.9422 GBP ORD Sale 43,468 3.9405 GBP ORD Sale 80,902 3.9433 GBP ORD Sale 115,383 3.9449 GBP ORD Sale 119,000 3.9574 GBP ORD Sale 172,006 3.9421 GBP ORD Sale 273,527 3.9485 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 100 47.9404 HKD ORD SWAP Long 1,100 3.9570 GBP ORD CFD Long 8,629 3.9564 GBP ORD CFD Long 20,725 3.9505 GBP ORD CFD Long 22,100 47.8343 HKD ORD CFD Long 43,038 3.9373 GBP ORD CFD Long 119,364 3.9414 GBP ORD CFD Short 326 3.9707 GBP ORD CFD Short 21,959 3.9280 GBP ORD CFD Short 22,100 3.9461 GBP ORD CFD Short 152,500 3.9339 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: 15 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 firstname.lastname@example.org. 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