REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) Glencore International
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130408:nBw085736a http://www.businesswire.com/news/home/20130408005736/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 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: 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? 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: 4,302,855 0.06% 42,852,018 0.60% (2) Derivatives (other than options): 38,170,173 0.54% 2,338,281 0.03% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 42,473,028 0.60% 45,190,299 0.64% Class of relevant security: Convertible Bond XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 4,100,000 0.18% 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: 4,100,000 0.18% 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 Convertible Bond Purchase 800,000 115.1250 USD ORD Purchase 411 3.4712 GBP ORD Purchase 522 3.3593 GBP ORD Purchase 916 3.3842 GBP ORD Purchase 1,100 40.9000 HKD ORD Purchase 1,400 40.8500 HKD ORD Purchase 1,482 3.3990 GBP ORD Purchase 2,427 3.4420 GBP ORD Purchase 3,000 41.1500 HKD ORD Purchase 3,847 3.4094 GBP ORD Purchase 4,232 3.4907 GBP ORD Purchase 4,765 3.4089 GBP ORD Purchase 5,297 3.4080 GBP ORD Purchase 28,742 3.4142 GBP ORD Purchase 39,894 3.3857 GBP ORD Purchase 41,399 3.3655 GBP ORD Purchase 89,013 3.3806 GBP ORD Purchase 96,935 3.3887 GBP ORD Purchase 108,442 3.3945 GBP ORD Purchase 130,916 3.4018 GBP ORD Purchase 259,861 3.4086 GBP ORD Purchase 646,877 3.3913 GBP ORD Purchase 707,084 3.3967 GBP ORD Purchase 970,000 3.3765 GBP ORD Sale 411 3.4712 GBP ORD Sale 500 40.9000 HKD ORD Sale 1,000 40.2500 HKD ORD Sale 1,000 40.3000 HKD ORD Sale 1,200 40.8000 HKD ORD Sale 1,200 40.9500 HKD ORD Sale 1,327 3.3762 GBP ORD Sale 1,601 3.3722 GBP ORD Sale 2,200 40.5000 HKD ORD Sale 2,251 3.3805 GBP ORD Sale 3,954 3.3681 GBP ORD Sale 4,400 41.0545 HKD ORD Sale 5,293 3.3708 GBP ORD Sale 5,470 3.3508 GBP ORD Sale 10,086 3.3764 GBP ORD Sale 12,312 3.3890 GBP ORD Sale 19,884 3.4571 GBP ORD Sale 26,085 3.3699 GBP ORD Sale 66,774 3.4206 GBP ORD Sale 67,471 3.3781 GBP ORD Sale 73,000 3.3631 GBP ORD Sale 79,301 3.3978 GBP ORD Sale 87,819 3.3735 GBP ORD Sale 88,412 3.4876 GBP ORD Sale 216,500 3.3754 GBP ORD Sale 707,084 3.3967 GBP (b) Derivatives transactions (other than options) Class of Product Nature of dealing Number of Price per relevant description reference unit security securities ORD SWAP Long 1,600 3.4775 GBP ORD CFD Long 2,000 3.3721 GBP ORD CFD Long 7,100 40.5427 HKD ORD CFD Long 10,670 3.3487 GBP ORD CFD Long 40,912 3.3742 GBP ORD SWAP Long 115,900 3.4155 GBP ORD CFD Short 1,100 40.9490 HKD ORD CFD Short 7,200 3.4368 GBP ORD SWAP Short 12,200 3.3551 GBP ORD CFD Short 14,663 3.4306 GBP ORD SWAP Short 49,046 3.3843 GBP ORD SWAP Short 64,752 3.3811 GBP ORD SWAP Short 136,829 3.3878 GBP ORD CFD Short 206,237 3.3698 GBP ORD CFD Short 427,038 3.3988 GBP ORD CFD Short 970,000 3.3765 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: 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. BARCLAYS PLC Copyright Business Wire 2013
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