REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) XSTRATA PLC - Amendment
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130315:nBw155328a http://www.businesswire.com/news/home/20130315005328/en 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 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. 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