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

Wed Apr 10, 2013 4:43am EDT

* Reuters is not responsible for the content in this press release.

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
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. 

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

Comments (0)
This discussion is now closed. We welcome comments on our articles for a limited period after their publication.