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:20130315:nBw155327a http://www.businesswire.com/news/home/20130315005327/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: GLENCORE INTL 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? 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: 3,301,033 0.05% 45,839,509 0.65% (2) Derivatives (other than options): 40,510,505 0.57% 1,272,488 0.02% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 43,811,538 0.62% 47,111,997 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 45.1000 HKD ORD Purchase 518 3.8735 GBP ORD Purchase 600 44.7500 HKD ORD Purchase 2,452 3.8522 GBP ORD Purchase 1,562 3.8675 GBP ORD Purchase 3,848 3.8592 GBP ORD Purchase 10,448 3.8665 GBP ORD Purchase 10,959 3.8596 GBP ORD Purchase 16,574 3.8757 GBP ORD Purchase 16,895 3.8586 GBP ORD Purchase 18,426 3.8704 GBP ORD Purchase 24,060 3.8664 GBP ORD Purchase 29,268 3.8628 GBP ORD Purchase 33,202 3.8752 GBP ORD Purchase 51,187 3.8697 GBP ORD Purchase 160,292 3.8650 GBP ORD Purchase 167,658 3.8657 GBP ORD Sale 518 3.8735 GBP ORD Sale 700 45.3500 HKD ORD Sale 756 3.8560 GBP ORD Sale 888 3.8590 GBP ORD Sale 1,162 3.8517 GBP ORD Sale 1,562 3.8675 GBP ORD Sale 2,232 3.8591 GBP ORD Sale 2,702 3.8683 GBP ORD Sale 3,393 3.8553 GBP ORD Sale 7,105 3.8620 GBP ORD Sale 7,185 3.8581 GBP ORD Sale 8,211 3.8724 GBP ORD Sale 11,961 3.8563 GBP ORD Sale 12,637 3.8908 GBP ORD Sale 16,837 3.8637 GBP ORD Sale 32,519 3.8598 GBP ORD Sale 49,453 3.8651 GBP ORD Sale 93,283 3.8689 GBP ORD Sale 94,176 3.8719 GBP ORD Sale 110,914 3.8713 GBP ORD Sale 124,865 3.8644 GBP ORD Sale 161,921 3.8642 GBP ORD Sale 279,896 3.8677 GBP ORD (traded as ADR) Purchase 140 11.4800 USD ORD (traded as ADR) Sale 140 11.4800 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 700 45.2952 HKD ORD SWAP Long 3,200 3.8625 GBP ORD SWAP Long 4,328 3.8642 GBP ORD CFD Long 25,376 3.8559 GBP ORD CFD Long 54,125 3.8542 GBP ORD CFD Long 182,241 3.8765 GBP ORD CFD Long 183,532 3.8656 GBP ORD CFD Short 700 44.8546 HKD ORD CFD Short 3,889 3.8599 GBP ORD SWAP Short 13,862 3.8680 GBP ORD SWAP Short 15,846 3.8719 GBP ORD SWAP Short 26,587 3.8636 GBP ORD CFD Short 16,549 3.8577 GBP ORD SWAP Short 33,202 3.8752 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: 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. BARCLAYS PLC Copyright Business Wire 2013
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