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:20130408:nBw085732a http://www.businesswire.com/news/home/20130408005732/en LONDON--(Business Wire)-- FORM 8.5 (EPT/NON-RI) AMENDMENT 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: 4 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% 1,019,869 0.03% (2) Derivatives (other than options): 722,664 0.02% 27,387,256 0.91% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 850,000 0.03% (4) TOTAL: 31,601,976 1.06% 29,257,125 0.97% 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 286 10.5100 GBP ORD Purchase 391 10.5695 GBP ORD Purchase 408 10.3700 GBP ORD Purchase 632 10.5697 GBP ORD Purchase 656 10.5889 GBP ORD Purchase 5,034 10.5496 GBP ORD Purchase 6,557 10.5832 GBP ORD Purchase 10,811 10.5473 GBP ORD Purchase 19,480 10.5482 GBP ORD Purchase 25,541 10.5574 GBP ORD Purchase 25,651 10.5489 GBP ORD Purchase 39,512 10.5126 GBP ORD Purchase 43,447 10.5448 GBP ORD Purchase 85,000 10.5398 GBP ORD Purchase 92,412 10.5374 GBP ORD Purchase 465,567 10.5478 GBP ORD Sale 122 10.5800 GBP ORD Sale 401 10.5900 GBP ORD Sale 538 10.4038 GBP ORD Sale 1,937 10.5651 GBP ORD Sale 2,030 10.5816 GBP ORD Sale 2,146 10.5969 GBP ORD Sale 2,217 10.5509 GBP ORD Sale 2,896 10.5500 GBP ORD Sale 4,373 10.5259 GBP ORD Sale 5,929 10.5100 GBP ORD Sale 10,607 10.5590 GBP ORD Sale 10,929 10.5592 GBP ORD Sale 15,055 10.5809 GBP ORD Sale 22,890 10.5340 GBP ORD Sale 41,926 10.5473 GBP ORD Sale 45,867 10.5607 GBP ORD Sale 49,863 10.5486 GBP ORD Sale 68,313 10.5697 GBP ORD Sale 91,998 10.5528 GBP ORD Sale 133,647 10.5447 GBP ORD Sale 141,276 10.5709 GBP ORD Sale 465,567 10.5478 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 567 10.5826 GBP ORD SWAP Long 1,937 10.5651 GBP ORD CFD Long 3,465 10.5831 GBP ORD SWAP Long 18,818 10.5735 GBP ORD CFD Long 22,890 10.5340 GBP ORD SWAP Long 41,926 10.5473 GBP ORD CFD Long 133,647 10.5447 GBP ORD SWAP Long 133,647 10.5447 GBP ORD CFD Long 141,276 10.5709 GBP ORD CFD Short 3,845 10.5414 GBP ORD SWAP Short 10,618 10.5435 GBP ORD SWAP Short 120,000 10.5321 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: 020 3555 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. 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 6 Apr 2013 ORD Put Options Written -600,000 8.2000 American 6 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