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:20130408:nBw085737a http://www.businesswire.com/news/home/20130408005737/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: 5 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: 8,618,729 0.29% 1,004,018 0.03% (2) Derivatives (other than options): 736,380 0.02% 27,470,298 0.91% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 850,000 0.03% (4) TOTAL: 31,615,692 1.05% 29,324,316 0.98% 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 1,000 10.1200 GBP ORD Purchase 2,025 10.2887 GBP ORD Purchase 2,114 10.2253 GBP ORD Purchase 3,823 10.1582 GBP ORD Purchase 5,260 10.1771 GBP ORD Purchase 11,945 10.1856 GBP ORD Purchase 16,109 10.1733 GBP ORD Purchase 25,000 10.2294 GBP ORD Purchase 30,104 10.1985 GBP ORD Purchase 30,899 10.3464 GBP ORD Purchase 54,433 10.2304 GBP ORD Purchase 75,000 10.2050 GBP ORD Purchase 77,260 10.1758 GBP ORD Purchase 77,618 10.2032 GBP ORD Purchase 148,996 10.1713 GBP ORD Purchase 229,580 10.2098 GBP ORD Sale 91 10.1150 GBP ORD Sale 260 10.2700 GBP ORD Sale 284 10.1700 GBP ORD Sale 2,152 10.1600 GBP ORD Sale 2,225 10.2124 GBP ORD Sale 4,109 10.1617 GBP ORD Sale 5,265 10.1838 GBP ORD Sale 6,157 10.1815 GBP ORD Sale 7,244 10.1544 GBP ORD Sale 12,916 10.2050 GBP ORD Sale 27,951 10.2230 GBP ORD Sale 30,899 10.3464 GBP ORD Sale 31,734 10.1769 GBP ORD Sale 47,680 10.2360 GBP ORD Sale 68,315 10.1560 GBP ORD Sale 77,169 10.2036 GBP ORD Sale 138,874 10.1646 GBP ORD Sale 229,580 10.2098 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 72 10.1190 GBP ORD SWAP Long 794 10.1589 GBP ORD SWAP Long 5,000 10.1511 GBP ORD CFD Long 5,699 10.1588 GBP ORD SWAP Long 13,700 10.1822 GBP ORD CFD Long 27,951 10.2230 GBP ORD CFD Short 10 10.1020 GBP ORD SWAP Short 800 10.2915 GBP ORD SWAP Short 1,089 10.5004 GBP ORD CFD Short 14,557 10.2645 GBP ORD CFD Short 20,000 10.2540 GBP ORD SWAP Short 39,000 10.2763 GBP ORD CFD Short 47,086 10.1405 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: 8 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 7 Apr 2013 ORD Put Options Written -600,000 8.2000 American 7 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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