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:20130410:nBw105601a http://www.businesswire.com/news/home/20130410005601/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 relevant securities this form relates: XSTRATA PLC Use a separate form for each offeror/offeree (c) Name of the party to the offer with which exempt principal trader is connected: Advisor to Offeree (d) Date position held/dealing undertaken: 8 April 2013 (e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? YES: 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: 8,411,456 0.28% 955,170 0.03% (2) Derivatives (other than options): 678,097 0.02% 27,260,266 0.91% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 850,000 0.03% (4) TOTAL: 31,350,136 1.04% 29,065,436 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 260 10.2489 GBP ORD Purchase 367 10.3243 GBP ORD Purchase 2,392 10.3350 GBP ORD Purchase 3,241 10.3350 GBP ORD Purchase 3,425 10.3269 GBP ORD Purchase 4,221 10.1781 GBP ORD Purchase 4,428 10.2472 GBP ORD Purchase 6,893 10.2932 GBP ORD Purchase 8,807 10.3350 GBP ORD Purchase 10,000 10.3173 GBP ORD Purchase 11,790 10.2384 GBP ORD Purchase 16,315 10.2474 GBP ORD Purchase 20,394 10.3102 GBP ORD Purchase 21,402 10.3033 GBP ORD Purchase 25,188 10.3034 GBP ORD Purchase 31,608 10.2373 GBP ORD Purchase 34,500 10.3394 GBP ORD Purchase 40,999 10.3058 GBP ORD Purchase 70,309 10.2762 GBP ORD Purchase 102,590 10.3054 GBP ORD Purchase 127,941 10.2769 GBP ORD Purchase 130,379 10.2953 GBP ORD Purchase 189,548 10.2973 GBP ORD Sale 280 10.3000 GBP ORD Sale 367 10.3245 GBP ORD Sale 493 10.2839 GBP ORD Sale 781 10.2475 GBP ORD Sale 1,080 10.2803 GBP ORD Sale 1,154 10.3058 GBP ORD Sale 1,820 10.3429 GBP ORD Sale 2,391 10.3200 GBP ORD Sale 2,845 10.3100 GBP ORD Sale 3,241 10.3126 GBP ORD Sale 3,918 10.3154 GBP ORD Sale 5,571 10.2840 GBP ORD Sale 5,734 10.3014 GBP ORD Sale 10,031 10.3129 GBP ORD Sale 10,630 10.3350 GBP ORD Sale 11,450 10.2546 GBP ORD Sale 12,746 10.3400 GBP ORD Sale 15,650 10.3079 GBP ORD Sale 20,394 10.3102 GBP ORD Sale 21,402 10.3033 GBP ORD Sale 25,933 10.2896 GBP ORD Sale 31,463 10.3032 GBP ORD Sale 49,497 10.2877 GBP ORD Sale 57,518 10.3251 GBP ORD Sale 102,575 10.2951 GBP ORD Sale 166,000 10.2959 GBP ORD Sale 460,458 10.2911 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 2,727 10.2611 GBP ORD CFD Long 5,459 10.3740 GBP ORD CFD Long 10,000 10.2418 GBP ORD CFD Long 10,000 10.2441 GBP ORD SWAP Long 11,254 10.2889 GBP ORD CFD Long 12,466 10.3167 GBP ORD CFD Long 51,895 10.3195 GBP ORD CFD Long 166,000 10.2959 GBP ORD CFD Short 72 10.2759 GBP ORD CFD Short 607 10.3109 GBP ORD SWAP Short 2,432 10.2978 GBP ORD CFD Short 1,425 10.2763 GBP ORD SWAP Short 5,000 10.3361 GBP ORD SWAP Short 5,926 10.3165 GBP ORD SWAP Short 27,636 10.3004 GBP ORD SWAP Short 29,083 10.2703 GBP ORD SWAP Short 45,871 10.3304 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: 10 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 firstname.lastname@example.org. 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. 143221.01 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 person whose open positions are being disclosed: BARCLAYS CAPITAL SECURITIES LTD Name of offeror/offeree in relation to whose relevant securities the disclosure relates: XSTRATA PLC 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 10 Apr 2013 ORD Put Options Written -600,000 8.2000 American 10 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