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

Thu May 2, 2013 4:54am EDT

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Form 8.5 (EPT/NON-RI) GLENCORE INTL PLC - Amendment

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

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: 30 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: 10,780,330 0.15% 45,132,533 0.64%
           
(2) Derivatives (other than
options): 40,861,745 0.58% 7,992,226 0.11%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
51,642,075 0.73% 53,124,759 0.75%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 3,400,000 0.15% 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%
           
` TOTAL:
3,400,000 0.15% 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 1,000,000 115.0000 USD
ORD Purchase 100 38.7500 HKD
ORD Purchase 100 38.8500 HKD
ORD Purchase 800 38.7000 HKD
ORD Purchase 819 3.2074 GBP
ORD Purchase 873 3.1890 GBP
ORD Purchase 1,000 39.3000 HKD
ORD Purchase 1,337 3.1949 GBP
ORD Purchase 2,100 39.1000 HKD
ORD Purchase 2,200 3.1765 GBP
ORD Purchase 11,897 3.1971 GBP
ORD Purchase 14,598 3.1834 GBP
ORD Purchase 34,752 3.2089 GBP
ORD Purchase 35,042 3.1963 GBP
ORD Purchase 36,829 3.1924 GBP
ORD Purchase 54,676 3.1699 GBP
ORD Purchase 76,265 3.2280 GBP
ORD Purchase 90,355 3.2072 GBP
ORD Purchase 100,000 3.1870 GBP
ORD Purchase 132,399 3.2248 GBP
ORD Purchase 140,544 3.1951 GBP
ORD Purchase 152,475 3.2149 GBP
ORD Purchase 152,475 3.2149 GBP
ORD Purchase 156,801 3.1695 GBP
ORD Purchase 172,593 3.2478 GBP
ORD Purchase 400,000 3.2023 GBP
ORD Purchase 912,127 3.1901 GBP
ORD Purchase 2,021,506 3.1729 GBP
ORD Sale 796 3.1722 GBP
ORD Sale 2,619 3.2000 GBP
ORD Sale 3,100 39.1645 HKD
ORD Sale 8,080 3.2580 GBP
ORD Sale 11,065 3.2639 GBP
ORD Sale 11,933 3.2376 GBP
ORD Sale 11,941 3.1994 GBP
ORD Sale 20,000 3.3144 GBP
ORD Sale 40,428 3.1915 GBP
ORD Sale 50,000 3.1845 GBP
ORD Sale 75,000 3.2390 GBP
ORD Sale 80,606 3.2635 GBP
ORD Sale 100,000 3.1920 GBP
ORD Sale 100,000 3.2170 GBP
ORD Sale 109,602 3.2073 GBP
ORD Sale 117,397 3.2006 GBP
ORD Sale 132,399 3.1657 GBP
ORD Sale 157,083 3.2145 GBP
ORD Sale 162,566 3.1954 GBP
ORD Sale 200,000 3.1664 GBP
ORD Sale 304,950 3.2254 GBP
ORD Sale 603,433 3.1949 GBP
ORD Sale 610,760 3.2314 GBP
ORD Sale 2,255,009 3.1695 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 7,877 3.1627 GBP
ORD CFD Long 14,058 3.1980 GBP
ORD SWAP Long 45,442 3.1924 GBP
ORD SWAP Long 102,502 3.2085 GBP
ORD CFD Long 57,333 3.2555 GBP
ORD CFD Long 145,943 3.2497 GBP
ORD CFD Long 304,950 3.2254 GBP
ORD CFD Long 343,638 3.2095 GBP
ORD CFD Short 1,000 38.7667 HKD
ORD CFD Short 4,000 3.1662 GBP
ORD CFD Short 4,006 3.1860 GBP
ORD CFD Short 11,502 3.2061 GBP
ORD CFD Short 23,264 3.1858 GBP
ORD SWAP Short 54,676 3.1699 GBP
ORD CFD Short 38,048 3.1987 GBP
ORD SWAP Short 97,638 3.2039 GBP
ORD CFD Short 100,000 3.1870 GBP
ORD SWAP Short 103,367 3.2093 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

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(ii) Exercising

Class of relevant security   Product description

e.g. call option

  Number of securities   Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security   Nature of dealing

e.g. subscription, conversion

  Details   Price per unit (if applicable)

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:  

2 May 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.

BARCLAYS PLC

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