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REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) GLENCORE INTL PLC - Amendment
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:20130318:nBw185709a http://www.businesswire.com/news/home/20130318005709/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 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: 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? 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: 3,446,475 0.05% 45,867,645 0.65% (2) Derivatives (other than options): 40,695,118 0.57% 1,283,690 0.02% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 44,141,593 0.62% 47,151,335 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 45.2000 HKD ORD Purchase 584 3.9000 GBP ORD Purchase 1,018 3.8705 GBP ORD Purchase 1,100 45.5500 HKD ORD Purchase 2,811 3.8706 GBP ORD Purchase 3,315 3.8639 GBP ORD Purchase 3,900 44.9000 HKD ORD Purchase 4,713 3.8708 GBP ORD Purchase 4,980 3.8880 GBP ORD Purchase 5,852 3.8798 GBP ORD Purchase 7,522 3.8679 GBP ORD Purchase 8,828 3.8674 GBP ORD Purchase 14,880 3.8792 GBP ORD Purchase 16,953 3.8675 GBP ORD Purchase 48,991 3.8720 GBP ORD Purchase 63,583 3.8794 GBP ORD Purchase 68,284 3.8751 GBP ORD Purchase 281,213 3.8767 GBP ORD Purchase 335,359 3.8905 GBP ORD Sale 417 3.8680 GBP ORD Sale 760 3.8705 GBP ORD Sale 932 3.8657 GBP ORD Sale 1,100 45.5500 HKD ORD Sale 1,101 3.8950 GBP ORD Sale 1,120 3.8640 GBP ORD Sale 1,300 45.4000 HKD ORD Sale 2,000 45.3000 HKD ORD Sale 2,808 3.8853 GBP ORD Sale 4,713 3.8708 GBP ORD Sale 5,852 3.8798 GBP ORD Sale 6,888 3.8619 GBP ORD Sale 9,500 45.2000 HKD ORD Sale 12,828 3.8943 GBP ORD Sale 13,200 45.3500 HKD ORD Sale 24,402 3.8783 GBP ORD Sale 33,503 3.8750 GBP ORD Sale 45,611 3.8794 GBP ORD Sale 49,211 3.8756 GBP ORD Sale 50,000 3.8653 GBP ORD Sale 94,736 3.8767 GBP ORD Sale 182,205 3.8905 GBP ORD Sale 212,493 3.8755 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 542 3.8841 GBP ORD CFD Long 2,335 3.8979 GBP ORD SWAP Long 19,021 3.8899 GBP ORD CFD Long 19,713 3.8649 GBP ORD SWAP Long 20,164 3.8826 GBP ORD CFD Long 26,000 45.2394 HKD ORD SWAP Long 45,611 3.8794 GBP ORD CFD Long 177,182 3.8736 GBP ORD CFD Short 100 45.2590 HKD ORD CFD Short 3,900 44.9541 HKD ORD CFD Short 6,505 3.8698 GBP ORD SWAP Short 11,974 3.8669 GBP ORD CFD Short 22,100 3.8809 GBP ORD SWAP Short 24,475 3.8676 GBP ORD CFD Short 34,901 3.8814 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: 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. The Code can be viewed on the Panel`s website at www.thetakeoverpanel.org.uk. BARCLAYS PLC Copyright Business Wire 2013