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:20130405:nBw055268a http://www.businesswire.com/news/home/20130405005268/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 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: 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? 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: 8,540,898 0.28% 725,306 0.02% (2) Derivatives (other than options): 430,256 0.01% 27,333,171 0.91% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 850,000 0.03% (4) TOTAL: 31,231,737 1.04% 28,908,477 0.96% 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 37 10.6850 GBP ORD Purchase 54 10.4500 GBP ORD Purchase 66 10.6200 GBP ORD Purchase 1,151 10.6062 GBP ORD Purchase 2,373 10.6212 GBP ORD Purchase 2,590 10.5593 GBP ORD Purchase 5,862 10.4780 GBP ORD Purchase 9,733 10.4621 GBP ORD Purchase 13,193 10.5460 GBP ORD Purchase 13,612 10.4530 GBP ORD Purchase 23,445 10.4542 GBP ORD Purchase 26,261 10.5893 GBP ORD Purchase 26,982 10.5794 GBP ORD Purchase 29,500 10.4579 GBP ORD Purchase 32,686 10.4494 GBP ORD Purchase 34,303 10.5101 GBP ORD Purchase 55,428 10.4740 GBP ORD Purchase 76,261 10.4750 GBP ORD Purchase 82,727 10.5600 GBP ORD Purchase 347,869 10.4604 GBP ORD Sale 400 10.4600 GBP ORD Sale 896 10.4560 GBP ORD Sale 925 10.4200 GBP ORD Sale 1,054 10.4174 GBP ORD Sale 1,188 10.6087 GBP ORD Sale 2,421 10.4210 GBP ORD Sale 2,475 10.5399 GBP ORD Sale 5,663 10.4968 GBP ORD Sale 5,868 10.5469 GBP ORD Sale 5,922 10.5813 GBP ORD Sale 6,038 10.5699 GBP ORD Sale 8,260 10.4300 GBP ORD Sale 26,349 10.5606 GBP ORD Sale 36,530 10.5328 GBP ORD Sale 60,000 10.5979 GBP ORD Sale 74,138 10.5426 GBP ORD Sale 75,838 10.5093 GBP ORD Sale 75,930 10.4610 GBP ORD Sale 103,378 10.5586 GBP ORD Sale 292,206 10.4528 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 400 10.4592 GBP ORD CFD Long 8,260 10.4300 GBP ORD CFD Long 16,126 10.6239 GBP ORD CFD Long 29,640 10.5978 GBP ORD CFD Long 30,360 10.5979 GBP ORD SWAP Short 2,200 10.6775 GBP ORD CFD Short 3,904 10.4540 GBP ORD CFD Short 19,000 10.4486 GBP ORD SWAP Short 27,300 10.4405 GBP ORD CFD Short 36,935 10.5916 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: 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. 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 5 Apr 2013 ORD Put Options Written -600,000 8.2000 American 5 Apr 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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