REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) Glencore International - Amendment
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130405:nBw055267a http://www.businesswire.com/news/home/20130405005267/en LONDON--(Business Wire)-- AMENDMENT 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 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: 3 April 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: 3,622,935 0.05% 44,464,381 0.63% (2) Derivatives (other than options): 39,951,414 0.56% 1,657,931 0.02% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 43,574,349 0.61% 46,122,312 0.65% Class of relevant security: Convertible Bond XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 3,300,000 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: 3,300,000 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 42.3000 HKD ORD Purchase 200 41.6500 HKD ORD Purchase 782 3.5045 GBP ORD Purchase 800 41.3000 HKD ORD Purchase 1,000 3.4690 GBP ORD Purchase 2,500 41.7500 HKD ORD Purchase 3,100 41.8500 HKD ORD Purchase 5,026 3.5033 GBP ORD Purchase 7,300 41.8000 HKD ORD Purchase 7,551 3.4780 GBP ORD Purchase 8,500 41.6676 HKD ORD Purchase 10,796 3.4885 GBP ORD Purchase 14,814 3.4718 GBP ORD Purchase 15,515 3.4809 GBP ORD Purchase 15,952 3.5090 GBP ORD Purchase 17,669 3.5248 GBP ORD Purchase 21,776 3.4888 GBP ORD Purchase 25,193 3.4675 GBP ORD Purchase 26,559 3.4631 GBP ORD Purchase 40,473 3.4971 GBP ORD Purchase 92,200 3.5032 GBP ORD Purchase 94,639 3.5021 GBP ORD Purchase 126,223 3.4833 GBP ORD Purchase 208,919 3.4730 GBP ORD Purchase 235,320 3.5104 GBP ORD Purchase 400,000 3.4630 GBP ORD Purchase 724,532 3.4831 GBP ORD Sale 100 3.5040 GBP ORD Sale 200 41.2500 HKD ORD Sale 202 3.5545 GBP ORD Sale 296 3.5492 GBP ORD Sale 429 3.4964 GBP ORD Sale 654 3.4720 GBP ORD Sale 1,000 41.3700 HKD ORD Sale 1,719 3.4608 GBP ORD Sale 2,000 41.5000 HKD ORD Sale 3,000 41.7500 HKD ORD Sale 3,065 3.4596 GBP ORD Sale 5,000 3.4794 GBP ORD Sale 5,547 3.5501 GBP ORD Sale 6,300 3.5498 GBP ORD Sale 6,800 41.7000 HKD ORD Sale 11,113 3.4620 GBP ORD Sale 14,704 3.5663 GBP ORD Sale 21,114 3.4632 GBP ORD Sale 27,612 3.4791 GBP ORD Sale 28,133 3.4802 GBP ORD Sale 46,484 3.4987 GBP ORD Sale 64,413 3.4644 GBP ORD Sale 83,856 3.5109 GBP ORD Sale 88,314 3.4665 GBP ORD Sale 158,579 3.4875 GBP ORD Sale 244,108 3.4896 GBP ORD Sale 250,000 3.4699 GBP ORD Sale 259,349 3.4901 GBP ORD Sale 307,604 3.4676 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 1,810 3.5541 GBP ORD SWAP Long 2,100 3.5506 GBP ORD CFD Long 3,500 41.6313 HKD ORD SWAP Long 3,939 3.5483 GBP ORD SWAP Long 6,300 3.5498 GBP ORD CFD Long 12,900 3.5682 GBP ORD CFD Short 100 42.3585 HKD ORD CFD Short 3,500 3.5540 GBP ORD CFD Short 3,942 3.5258 GBP ORD CFD Short 12,900 41.8525 HKD ORD CFD Short 25,193 3.4675 GBP ORD SWAP Short 36,961 3.4778 GBP ORD SWAP Short 43,323 3.4803 GBP ORD CFD Short 59,736 3.5015 GBP ORD SWAP Short 133,774 3.4830 GBP ORD CFD Short 171,053 3.5146 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: 5 Apr 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. BARCLAYS PLC Copyright Business Wire 2013
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