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REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) XSTRATA PLC - Amendment
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:20130318:nBw185710a http://www.businesswire.com/news/home/20130318005710/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 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: 14 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: 12,319,696 0.41% 1,290,162 0.04% (2) Derivatives (other than options): 730,168 0.02% 31,064,720 1.03% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 850,000 0.03% (4) TOTAL: 35,310,447 1.18% 33,204,882 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 416 11.5886 GBP ORD Purchase 472 11.7200 GBP ORD Purchase 516 11.6207 GBP ORD Purchase 907 11.7092 GBP ORD Purchase 1,193 11.6025 GBP ORD Purchase 1,952 11.6353 GBP ORD Purchase 2,804 11.5900 GBP ORD Purchase 2,836 11.5983 GBP ORD Purchase 8,919 11.6492 GBP ORD Purchase 11,207 11.7088 GBP ORD Purchase 12,953 11.5877 GBP ORD Purchase 13,016 11.6339 GBP ORD Purchase 14,795 11.6050 GBP ORD Purchase 18,605 11.6268 GBP ORD Purchase 31,848 11.6204 GBP ORD Purchase 82,680 11.6700 GBP ORD Purchase 144,180 11.6284 GBP ORD Sale 130 11.5775 GBP ORD Sale 253 11.6350 GBP ORD Sale 312 11.5850 GBP ORD Sale 817 11.5932 GBP ORD Sale 1,952 11.6411 GBP ORD Sale 2,001 11.5967 GBP ORD Sale 2,298 11.6372 GBP ORD Sale 3,049 11.7100 GBP ORD Sale 4,537 11.5815 GBP ORD Sale 6,867 11.6365 GBP ORD Sale 6,905 11.6807 GBP ORD Sale 7,440 11.6768 GBP ORD Sale 7,732 11.6700 GBP ORD Sale 7,736 11.6122 GBP ORD Sale 9,248 11.6003 GBP ORD Sale 10,427 11.6040 GBP ORD Sale 14,600 11.6201 GBP ORD Sale 15,536 11.5983 GBP ORD Sale 18,668 11.6050 GBP ORD Sale 30,611 11.6427 GBP ORD Sale 84,070 11.6227 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 7,336 11.6751 GBP ORD SWAP Long 7,736 11.6122 GBP ORD SWAP Short 2,836 11.5984 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: 18 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. 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 11.8862 European 24 Sep 2013 ORD Put Options Written -250,000 7.2000 American 16 Mar 2013 ORD Put Options Written -600,000 8.2000 American 16 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