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REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - GLENCORE INTL PLC - Amendment
REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - GLENCORE INTL PLC - Amendment
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130411:nBw115539a http://www.businesswire.com/news/home/20130411005539/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: GLENCORE INTL 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: 9 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: 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: 4,451,195 0.06% 42,432,866 0.60% (2) Derivatives (other than options): 37,613,440 0.53% 2,480,462 0.03% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 42,064,635 0.59% 44,913,328 0.63% 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 ORD Purchase 100 40.7000 HKD ORD Purchase 100 41.4500 HKD ORD Purchase 300 41.5000 HKD ORD Purchase 1,428 3.5317 GBP ORD Purchase 2,000 41.3500 HKD ORD Purchase 2,800 41.1000 HKD ORD Purchase 2,900 41.2500 HKD ORD Purchase 3,258 3.5432 GBP ORD Purchase 4,000 41.2000 HKD ORD Purchase 4,500 41.3000 HKD ORD Purchase 5,800 41.1500 HKD ORD Purchase 6,410 3.5599 GBP ORD Purchase 6,872 3.5372 GBP ORD Purchase 9,323 3.5850 GBP ORD Purchase 10,044 3.5263 GBP ORD Purchase 11,311 3.5540 GBP ORD Purchase 21,108 3.5437 GBP ORD Purchase 25,102 3.5401 GBP ORD Purchase 71,947 3.5386 GBP ORD Purchase 74,545 3.5366 GBP ORD Purchase 124,544 3.5363 GBP ORD Purchase 185,000 3.5632 GBP ORD Purchase 264,795 3.5563 GBP ORD Purchase 506,300 3.4215 GBP ORD Sale 100 40.7000 HKD ORD Sale 1,096 3.5370 GBP ORD Sale 1,111 3.5552 GBP ORD Sale 1,177 3.5461 GBP ORD Sale 1,428 3.5318 GBP ORD Sale 2,176 3.5294 GBP ORD Sale 2,650 3.5713 GBP ORD Sale 3,000 3.5215 GBP ORD Sale 6,370 3.5850 GBP ORD Sale 10,000 3.5515 GBP ORD Sale 11,946 3.5481 GBP ORD Sale 15,304 3.5337 GBP ORD Sale 15,319 3.5483 GBP ORD Sale 16,838 3.5440 GBP ORD Sale 17,308 3.5311 GBP ORD Sale 18,814 3.5628 GBP ORD Sale 22,500 41.2173 HKD ORD Sale 90,310 3.5544 GBP ORD Sale 91,096 3.5543 GBP ORD Sale 155,297 3.5507 GBP ORD Sale 170,000 3.5316 GBP ORD Sale 238,279 3.5666 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 100 40.6419 HKD ORD SWAP Long 794 3.5088 GBP ORD CFD Long 2,320 3.5037 GBP ORD CFD Long 14,675 3.5402 GBP ORD CFD Long 19,505 3.5406 GBP ORD CFD Long 47,000 3.5329 GBP ORD CFD Long 55,778 3.5331 GBP ORD SWAP Long 152,500 3.5846 GBP ORD SWAP Short 600 3.5115 GBP ORD SWAP Short 3,050 3.5112 GBP ORD CFD Short 42,745 3.5374 GBP ORD CFD Short 55,668 3.5437 GBP ORD CFD Short 64,286 3.5857 GBP ORD CFD Short 185,000 3.5632 GBP ORD CFD Short 506,300 3.4215 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: 11 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. BARCLAYS PLC Copyright Business Wire 2013