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REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) XSTRATA PLC
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:20130215:nBw155475a http://www.businesswire.com/news/home/20130215005475/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: 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: 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: 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: 12,160,127 0.40% 1,012,547 0.03% (2) Derivatives (other than options): 549,644 0.02% 31,935,286 1.06% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 1,475,416 0.05% (4) TOTAL: 34,970,354 1.16% 34,423,249 1.15% 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 1,276 11.8707 GBP ORD Purchase 2,663 11.8728 GBP ORD Purchase 4,020 11.8759 GBP ORD Purchase 11,404 11.8469 GBP ORD Purchase 19,429 11.8536 GBP ORD Purchase 19,539 11.8500 GBP ORD Purchase 47,122 11.8401 GBP ORD Purchase 48,989 11.8521 GBP ORD Purchase 76,453 11.8466 GBP ORD Sale 10 11.8600 GBP ORD Sale 40 11.8800 GBP ORD Sale 128 11.8707 GBP ORD Sale 534 11.8500 GBP ORD Sale 617 11.8450 GBP ORD Sale 781 11.8700 GBP ORD Sale 1,480 11.8660 GBP ORD Sale 2,094 11.8625 GBP ORD Sale 2,582 11.8486 GBP ORD Sale 6,674 11.8528 GBP ORD Sale 18,265 11.8591 GBP ORD Sale 31,260 11.8585 GBP ORD Sale 48,870 11.8504 GBP ORD Sale 50,000 11.7997 GBP ORD Sale 64,711 11.8569 GBP ORD Sale 108,143 11.8463 GBP ORD Sale 646,351 11.8467 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 1,100 11.8621 GBP ORD SWAP Long 1,174 11.8631 GBP ORD SWAP Long 5,752 11.8517 GBP ORD CFD Long 50,000 11.7996 GBP ORD CFD Short 4,020 11.8770 GBP ORD SWAP Short 6,772 11.8726 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: 15 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 16 Feb 2013 ORD Put Options Written -600,000 8.2000 American 16 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 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