Press Release |
REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI)- GLENCORE INTL PLC
REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI)- GLENCORE INTL PLC
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130411:nBw115543a http://www.businesswire.com/news/home/20130411005543/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 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: 10. 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: 4,415,266 0.06% 42,120,374 0.59% (2) Derivatives (other than options): 37,749,904 0.53% 2,459,105 0.03% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 42,165,170 0.59% 44,579,479 0.63% Class of relevant security: Convertible Bond XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 3,100,000 0.13% 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: 3,100,000 0.13% 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 Sale 1,000,000 118.7000 USD ORD Purchase 200 42.1500 HKD ORD Purchase 257 3.5870 GBP ORD Purchase 723 3.6065 GBP ORD Purchase 800 42.8500 HKD ORD Purchase 1,100 42.5500 HKD ORD Purchase 1,300 42.6000 HKD ORD Purchase 1,390 3.5904 GBP ORD Purchase 1,800 42.7000 HKD ORD Purchase 2,000 42.2000 HKD ORD Purchase 2,400 42.2500 HKD ORD Purchase 2,921 3.5915 GBP ORD Purchase 3,400 42.8000 HKD ORD Purchase 3,877 3.5954 GBP ORD Purchase 4,400 42.7500 HKD ORD Purchase 9,577 3.5750 GBP ORD Purchase 18,136 3.5982 GBP ORD Purchase 20,903 3.6074 GBP ORD Purchase 27,281 3.6105 GBP ORD Purchase 52,308 3.5956 GBP ORD Purchase 69,559 3.5996 GBP ORD Purchase 90,700 3.5902 GBP ORD Purchase 134,628 3.6107 GBP ORD Purchase 145,318 3.5934 GBP ORD Purchase 541,497 3.5968 GBP ORD Sale 100 42.0000 HKD ORD Sale 257 3.5870 GBP ORD Sale 612 3.6010 GBP ORD Sale 1,969 3.6049 GBP ORD Sale 9,335 3.5750 GBP ORD Sale 10,535 3.5992 GBP ORD Sale 12,215 3.5943 GBP ORD Sale 12,498 3.5788 GBP ORD Sale 13,339 3.5962 GBP ORD Sale 17,400 42.5962 HKD ORD Sale 28,037 3.5924 GBP ORD Sale 48,593 3.6020 GBP ORD Sale 57,980 3.5963 GBP ORD Sale 65,823 3.5996 GBP ORD Sale 65,972 3.5968 GBP ORD Sale 99,771 3.5930 GBP ORD Sale 172,000 3.5980 GBP ORD Sale 243,476 3.5916 GBP ORD (traded as ADR) Purchase 54 10.9600 USD ORD (traded as ADR) Purchase 136 10.8900 USD ORD (traded as ADR) Purchase 2,000 10.9140 USD ORD (traded as ADR) Sale 54 10.9600 USD ORD (traded as ADR) Sale 136 10.8900 USD ORD (traded as ADR) Sale 2,000 10.9140 USD (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 76,250 3.5746 GBP ORD SWAP Short 779 3.5883 GBP ORD SWAP Short 136,561 3.6106 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 April 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