REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - Xstrata Plc
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130318:nBw185705a http://www.businesswire.com/news/home/20130318005705/en LONDON--(Business Wire)-- FORM 8.5 (EPT/NON-RI) 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: 15 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: 12,162,445 0.41% 1,105,898 0.04% (2) Derivatives (other than options): 522,603 0.02% 30,987,966 1.03% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 850,000 0.03% (4) TOTAL: 34,945,631 1.16% 32,943,864 1.10% 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 113 11.6000 GBP ORD Purchase 200 11.5750 GBP ORD Purchase 350 11.7100 GBP ORD Purchase 1,447 11.6169 GBP ORD Purchase 1,488 11.6235 GBP ORD Purchase 2,045 11.5717 GBP ORD Purchase 2,976 11.6445 GBP ORD Purchase 4,688 11.6246 GBP ORD Purchase 4,922 11.6194 GBP ORD Purchase 5,324 11.6088 GBP ORD Purchase 7,000 11.6500 GBP ORD Purchase 18,682 11.6478 GBP ORD Purchase 18,783 11.6205 GBP ORD Purchase 41,000 11.7108 GBP ORD Purchase 53,811 11.6391 GBP ORD Purchase 91,323 11.6450 GBP ORD Purchase 163,895 11.6886 GBP ORD Purchase 373,570 11.6410 GBP ORD Sale 607 11.6298 GBP ORD Sale 682 11.6700 GBP ORD Sale 1,057 11.6229 GBP ORD Sale 1,447 11.6169 GBP ORD Sale 4,567 11.6914 GBP ORD Sale 11,163 11.6662 GBP ORD Sale 13,476 11.6254 GBP ORD Sale 14,479 11.7114 GBP ORD Sale 21,051 11.6891 GBP ORD Sale 25,578 11.6265 GBP ORD Sale 30,174 11.6415 GBP ORD Sale 56,158 11.6225 GBP ORD Sale 80,000 11.6085 GBP ORD Sale 180,215 11.6450 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 682 11.6688 GBP ORD SWAP Long 3,246 11.6455 GBP ORD SWAP Long 6,700 11.6321 GBP ORD CFD Long 80,000 11.6085 GBP ORD CFD Short 2,846 11.5908 GBP ORD SWAP Short 4,328 11.6380 GBP ORD CFD Short 50,370 11.6401 GBP ORD SWAP Short 163,895 11.6886 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: 0203 555 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 email@example.com. 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 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 17 Mar 2013 ORD Put Options Written -600,000 8.2000 American 17 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
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