GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) GLENCORE INTL PLC Amendment
GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) GLENCORE INTL PLC Amendment
UK Regulatory Announcement
LONDON
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 Advisor to Offeree
principal trader is connected:
(d) Date position held/dealing undertaken: 1 May 2012
YES:
(e) Has the EPT previously disclosed, or is it today
disclosing, under the Code in respect of any other party XSTRATA PLC
to this offer?
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 ORD
security:
Interests Short
Positions
Number (%) Number (%)
(1) Relevant
securities owned
and/or 1,202,307 0.02% 11,824,702 0.17%
controlled:
(2) Derivatives
(other than
options): 11,645,265 0.17% 3,982,349 0.06%
(3) Options and
agreements to
purchase/sell: 250,000 0.00% 2,325,900 0.03%
(4) TOTAL:
13,097,572 0.19% 18,132,951 0.26%
Class of Convertible
relevant Bond
security:
Interests Short
Positions
Number (%) Number (%)
(1) Relevant
securities owned
and/or 1,200,000 0.05% 0 0.00%
controlled:
(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:
1,200,000 0.05% 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 200 4.3642 GBP
ORD Purchase 357 4.3379 GBP
ORD Purchase 700 4.2770 GBP
ORD Purchase 1,518 4.2912 GBP
ORD Purchase 1,867 4.3365 GBP
ORD Purchase 2,059 4.3252 GBP
ORD Purchase 6,144 4.2906 GBP
ORD Purchase 9,710 4.3052 GBP
ORD Purchase 10,429 4.3187 GBP
ORD Purchase 38,900 4.2692 GBP
ORD Purchase 60,870 4.3363 GBP
ORD Purchase 87,249 4.3129 GBP
ORD Sale 587 4.2831 GBP
ORD Sale 629 4.2842 GBP
ORD Sale 2,292 4.2766 GBP
ORD Sale 2,402 4.3193 GBP
ORD Sale 2,491 4.2600 GBP
ORD Sale 2,500 4.2946 GBP
ORD Sale 2,979 4.2770 GBP
ORD Sale 3,248 4.3460 GBP
ORD Sale 3,568 4.3453 GBP
ORD Sale 10,400 4.3197 GBP
ORD Sale 14,313 4.3145 GBP
ORD Sale 22,738 4.3250 GBP
ORD Sale 26,720 4.3629 GBP
ORD Sale 46,939 4.2807 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 946 4.2938 GBP
ORD CFD Long 1,518 4.2912 GBP
ORD SWAP Long 3,500 4.3377 GBP
ORD SWAP Long 12,900 4.3148 GBP
ORD CFD Long 24,375 4.3225 GBP
ORD CFD Long 55,754 4.3008 GBP
ORD SWAP Short 300 4.3630 GBP
ORD SWAP Short 900 4.2963 GBP
ORD CFD Short 946 4.2940 GBP
ORD CFD Short 1,518 4.2912 GBP
ORD SWAP Short 14,182 4.3600 GBP
ORD CFD Short 24,375 4.3227 GBP
ORD CFD Short 55,754 4.3014 GBP
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Writing, Number of Type Option
Class of Product purchasing, securities Exercise money
relevant description selling, to which price e.g. Expiry paid/
security e.g. call varying option per unit American, date received
option etc. relates European per unit
etc.
(ii) Exercising
Product
Class of relevant description Number of Exercise price
security securities per unit
e.g. call option
(d) Other dealings (including subscribing for new securities)
Nature of dealing
Class of relevant Details Price per unit (if
security e.g. subscription, applicable)
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
YES
Is a Supplemental Form 8 (Open Positions) attached?
Date of disclosure: 4 May 2012
Contact name: Geoff Smith
Telephone number: 020 7116 2913
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 Barclays Capital Securities
being disclosed: Ltd
Name of offeror/offeree in relation to whose GLENCORE INTL PLC
relevant securities the disclosure relates:
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 Put Options Purchased 250,000 4.4000 American 3 May
2012
ORD Put Options Written -1,000,000 4.8000 American 3 May
2012
ORD Call Written -75,900 4.3890 European 6 Jul
Options 2012
ORD Call Written -250,000 4.6000 American 3 May
Options 2012
ORD Call Written -1,000,000 4.8000 American 3 May
Options 2012
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.
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.
Contact:
BARCLAYS PLC
Sponsored Links
Advertisement
Advertisements
Sponsored Links
Advertisement
Rate this Page