REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) XSTRATA PLC - Amendment

Fri Mar 15, 2013 7:49am EDT

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LONDON--(Business Wire)--


FORM 8.5 (EPT/NON-RI)- Amendment 

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:                                                                                      13 March 2013                    
 (e) Has the EPT previously disclosed, or is it 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:           12,248,864    0.41%    1,337,140          0.04%    
                                                                                                                
 (2)                            Derivatives (other than                                                         
                                options):                    717,932       0.02%    31,069,257         1.03%    
                                                                                                                
 (3)                            Options and agreements to                                                       
                                purchase/sell:               22,260,583    0.74%    850,000            0.03%    
                                                                                                                
 (4)                            TOTAL:                                                                          
                                                             35,227,379    1.17%    33,256,397         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         42            11.6650 GBP       
 ORD                    Purchase         390           11.5800 GBP       
 ORD                    Purchase         470           11.5700 GBP       
 ORD                    Purchase         767           11.5250 GBP       
 ORD                    Purchase         1,419         11.6055 GBP       
 ORD                    Purchase         1,885         11.5650 GBP       
 ORD                    Purchase         1,939         11.5409 GBP       
 ORD                    Purchase         3,014         11.5884 GBP       
 ORD                    Purchase         3,452         11.5792 GBP       
 ORD                    Purchase         6,300         11.5723 GBP       
 ORD                    Purchase         8,488         11.6207 GBP       
 ORD                    Purchase         10,036        11.6100 GBP       
 ORD                    Purchase         10,039        11.5660 GBP       
 ORD                    Purchase         17,427        11.6070 GBP       
 ORD                    Purchase         18,716        11.6236 GBP       
 ORD                    Purchase         35,000        11.6281 GBP       
 ORD                    Purchase         65,032        11.5876 GBP       
 ORD                    Purchase         142,091       11.6107 GBP       
 ORD                    Sale             390           11.5857 GBP       
 ORD                    Sale             873           11.5810 GBP       
 ORD                    Sale             1,512         11.5479 GBP       
 ORD                    Sale             1,733         11.5792 GBP       
 ORD                    Sale             1,764         11.5700 GBP       
 ORD                    Sale             1,944         11.5650 GBP       
 ORD                    Sale             2,311         11.5546 GBP       
 ORD                    Sale             2,600         11.5617 GBP       
 ORD                    Sale             2,875         11.6100 GBP       
 ORD                    Sale             3,917         11.5368 GBP       
 ORD                    Sale             4,164         11.5818 GBP       
 ORD                    Sale             4,254         11.6324 GBP       
 ORD                    Sale             6,802         11.6760 GBP       
 ORD                    Sale             8,918         11.6344 GBP       
 ORD                    Sale             15,788        11.6339 GBP       
 ORD                    Sale             17,850        11.5777 GBP       
 ORD                    Sale             24,929        11.5944 GBP       
 ORD                    Sale             40,659        11.5732 GBP       
 ORD                    Sale             43,100        11.5972 GBP       
 ORD                    Sale             53,190        11.5882 GBP       
 ORD                    Sale             53,328        11.5987 GBP       
 ORD                    Sale             120,000       11.6096 GBP       
 ORD (traded as ADR)    Purchase         234           3.4400 USD        
 ORD (traded as ADR)    Sale             234           3.4400 USD        


(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                 1,880         11.5682 GBP    
 ORD         SWAP           Long                 2,600         11.5617 GBP    
 ORD         CFD            Long                 43,034        11.5704 GBP    
 ORD         CFD            Short                59            11.5708 GBP    
 ORD         CFD            Short                1,880         11.5411 GBP    
 ORD         SWAP           Short                6,300         11.5723 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 March 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
monitoring@disclosure.org.uk. 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. 

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       11.8862     European    24 Sep 2013    
 ORD         Put Options       Written        -250,000      7.2000      American    15 Mar 2013    
 ORD         Put Options       Written        -600,000      8.2000      American    15 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