REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) Xstrata Plc - Amendment

Fri Apr 5, 2013 7:20am EDT

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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
monitoring@disclosure.org.uk. 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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