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:20130308:nBw085249a http://www.businesswire.com/news/home/20130308005249/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 XSTRATA 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: 7 March 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? 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: 12,394,892 0.41% 1,209,272 0.04% (2) Derivatives (other than options): 709,867 0.02% 31,287,921 1.04% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 850,000 0.03% (4) TOTAL: 35,365,342 1.18% 33,347,193 1.11% 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 285 11.5928 GBP ORD Purchase 381 11.5738 GBP ORD Purchase 473 11.5550 GBP ORD Purchase 1,265 11.5859 GBP ORD Purchase 1,389 11.5639 GBP ORD Purchase 2,100 11.5250 GBP ORD Purchase 2,819 11.5624 GBP ORD Purchase 4,422 11.5640 GBP ORD Purchase 5,946 11.5835 GBP ORD Purchase 7,353 11.5264 GBP ORD Purchase 7,500 11.4950 GBP ORD Purchase 7,954 11.5556 GBP ORD Purchase 8,738 11.5560 GBP ORD Purchase 16,907 11.5653 GBP ORD Purchase 17,476 11.5635 GBP ORD Purchase 33,612 11.5456 GBP ORD Purchase 70,000 11.5388 GBP ORD Sale 288 11.5800 GBP ORD Sale 390 11.5590 GBP ORD Sale 473 11.5550 GBP ORD Sale 864 11.5200 GBP ORD Sale 1,389 11.5639 GBP ORD Sale 2,066 11.5687 GBP ORD Sale 3,208 11.5785 GBP ORD Sale 4,393 11.5531 GBP ORD Sale 4,585 11.5568 GBP ORD Sale 4,619 11.5413 GBP ORD Sale 7,353 11.5322 GBP ORD Sale 12,011 11.5599 GBP ORD Sale 15,846 11.5744 GBP ORD Sale 17,716 11.5722 GBP ORD Sale 56,229 11.5656 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 359 11.5239 GBP ORD SWAP Long 1,793 11.5391 GBP ORD CFD Long 3,145 11.5482 GBP ORD SWAP Long 5,110 11.5570 GBP ORD SWAP Short 889 11.5458 GBP ORD CFD Short 988 11.5350 GBP ORD SWAP Short 7,500 11.4950 GBP ORD SWAP Short 7,710 11.5596 GBP ORD CFD Short 17,530 11.5700 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: 8 Mar 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. 143221.01 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 the person whose positions/dealings BARCLAYS CAPITAL SECURITIES LTD are being disclosed: Name of offeror/offeree in relation to whose XSTRATA PLC relevant securities this from relates: 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 9 Mar 2013 ORD Put Options Written -600,000 8.2000 American 9 Mar 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. 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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