REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) GLENCORE INTL PLC - Amendment
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130314:nBw145531a http://www.businesswire.com/news/home/20130314005531/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 GLENCORE INTL 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: 12 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? 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: 3,830,539 0.05% 45,892,188 0.65% (2) Derivatives (other than options): 40,612,779 0.57% 1,289,333 0.02% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 44,443,318 0.62% 47,181,521 0.66% Class of relevant security: Convertible Bond XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 3,500,000 0.15% 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: 3,500,000 0.15% 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 100 3.9165 GBP ORD Purchase 1,100 44.3500 HKD ORD Purchase 1,112 3.9040 GBP ORD Purchase 1,306 3.8955 GBP ORD Purchase 2,200 44.7500 HKD ORD Purchase 3,099 3.9008 GBP ORD Purchase 3,400 44.4500 HKD ORD Purchase 3,493 3.8925 GBP ORD Purchase 3,600 44.5000 HKD ORD Purchase 3,700 44.4000 HKD ORD Purchase 5,494 3.8937 GBP ORD Purchase 11,424 3.8904 GBP ORD Purchase 13,642 3.8973 GBP ORD Purchase 18,600 44.8139 HKD ORD Purchase 19,459 3.8734 GBP ORD Purchase 20,871 3.8939 GBP ORD Purchase 29,272 3.8977 GBP ORD Purchase 31,300 3.8972 GBP ORD Purchase 56,069 3.8959 GBP ORD Purchase 80,298 3.9052 GBP ORD Purchase 82,578 3.8999 GBP ORD Purchase 149,551 3.8981 GBP ORD Purchase 218,356 3.8979 GBP ORD Purchase 235,207 3.9010 GBP ORD Purchase 461,498 3.8967 GBP ORD Purchase 952,195 3.8962 GBP ORD Sale 100 3.9130 GBP ORD Sale 100 44.3500 HKD ORD Sale 400 3.9075 GBP ORD Sale 400 45.1000 HKD ORD Sale 500 44.9500 HKD ORD Sale 596 3.9046 GBP ORD Sale 949 3.8980 GBP ORD Sale 1,500 45.0000 HKD ORD Sale 3,493 3.8925 GBP ORD Sale 5,400 44.7500 HKD ORD Sale 7,509 3.8915 GBP ORD Sale 7,735 3.8937 GBP ORD Sale 10,908 3.9062 GBP ORD Sale 11,424 3.8904 GBP ORD Sale 11,500 44.8000 HKD ORD Sale 11,800 44.4402 HKD ORD Sale 18,227 3.8918 GBP ORD Sale 24,328 3.8955 GBP ORD Sale 33,235 3.8988 GBP ORD Sale 55,228 3.8885 GBP ORD Sale 95,718 3.8950 GBP ORD Sale 122,322 3.8913 GBP ORD Sale 176,224 3.8979 GBP ORD Sale 203,624 3.8973 GBP ORD Sale 261,238 3.8961 GBP ORD Sale 685,696 3.8971 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 800 44.6431 HKD ORD CFD Long 440 3.8909 GBP ORD CFD Long 1,425 3.9026 GBP ORD CFD Long 2,200 3.8796 GBP ORD CFD Long 119,902 3.8912 GBP ORD CFD Short 440 3.8978 GBP ORD CFD Short 2,200 44.8039 HKD ORD SWAP Short 8,799 3.8971 GBP ORD SWAP Short 13,642 3.8973 GBP ORD CFD Short 19,532 3.8987 GBP ORD CFD Short 13,868 3.9005 GBP ORD SWAP Short 52,171 3.8959 GBP ORD CFD Short 108,218 3.8981 GBP ORD CFD Short 461,498 3.8967 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 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 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
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