GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - GLENCORE INTL PLC 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 GLENCORE INTL PLC whose relevant securities this form relates: (c) Name of the party to the offer with which Advisor to Offeree exempt principal trader is connected (d) Date position held/dealing undertaken: 18 May 2012 (e) Has the EPT previously disclosed, or is YES: it today disclosing, under the Code in XSTRATA PLC respect of any other party 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 1,299,482 0.02% 11,844,616 0.17% controlled: (2) Derivatives (other than options): 9,651,260 0.14% 706,661 0.01% (3) Options and agreements to purchase/sell: 250,000 0.00% 2,325,900 0.03% (4) TOTAL: 11,200,742 0.16% 14,877,177 0.21% Class of Convertible relevant Bond security: Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or 3,700,000 0.16% 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: 3,700,000 0.16% 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 378 3.4993 GBP ORD Purchase 379 3.4637 GBP ORD Purchase 871 3.5147 GBP ORD Purchase 1,000 43.3000 HKD ORD Purchase 1,120 3.4465 GBP ORD Purchase 7,150 3.4940 GBP ORD Purchase 11,313 3.4595 GBP ORD Purchase 11,774 3.4558 GBP ORD Purchase 19,111 3.4966 GBP ORD Purchase 20,000 3.5082 GBP ORD Purchase 25,709 3.5079 GBP ORD Purchase 28,145 3.4924 GBP ORD Purchase 46,716 3.4600 GBP ORD Purchase 59,878 3.4718 GBP ORD Purchase 90,655 3.4798 GBP ORD Purchase 100,000 3.4681 GBP ORD Purchase 104,298 3.4787 GBP ORD Purchase 106,886 3.4830 GBP ORD Purchase 118,300 43.3459 HKD ORD Purchase 129,487 3.4743 GBP ORD Purchase 277,930 3.4809 GBP ORD Purchase 332,518 3.4766 GBP ORD Sale 563 3.4905 GBP ORD Sale 1,249 3.5102 GBP ORD Sale 1,300 44.1500 HKD ORD Sale 1,323 3.4625 GBP ORD Sale 1,628 3.5167 GBP ORD Sale 3,300 43.9500 HKD ORD Sale 3,955 3.4765 GBP ORD Sale 5,000 42.9000 HKD ORD Sale 5,000 43.1000 HKD ORD Sale 5,000 43.2500 HKD ORD Sale 5,872 3.4940 GBP ORD Sale 8,300 42.9500 HKD ORD Sale 8,700 43.2000 HKD ORD Sale 10,000 43.7500 HKD ORD Sale 12,512 3.4601 GBP ORD Sale 13,700 43.8000 HKD ORD Sale 13,900 43.2793 HKD ORD Sale 15,000 43.8500 HKD ORD Sale 25,146 3.5083 GBP ORD Sale 34,000 3.4535 GBP ORD Sale 35,512 3.4681 GBP ORD Sale 42,348 3.4725 GBP ORD Sale 44,234 3.4824 GBP ORD Sale 47,600 43.1500 HKD ORD Sale 69,973 3.4851 GBP ORD Sale 120,048 3.5022 GBP ORD Sale 134,130 3.4813 GBP ORD Sale 200,000 3.4995 GBP ORD Sale 280,000 3.5257 GBP ORD Sale 314,500 3.5256 GBP ORD Sale 350,800 3.4753 GBP ORD Sale 582,319 3.4827 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 600 3.5120 GBP ORD SWAP Long 649 3.4685 GBP ORD CFD Long 1,300 44.0941 HKD ORD SWAP Long 1,628 3.5167 GBP ORD CFD Long 1,667 3.5552 GBP ORD CFD Long 3,300 43.8944 HKD ORD CFD Long 13,900 43.2793 HKD ORD CFD Long 30,440 3.5017 GBP ORD CFD Long 37,369 3.4913 GBP ORD CFD Long 66,113 3.4538 GBP ORD CFD Long 280,000 3.5257 GBP ORD CFD Short 1,000 43.3547 HKD ORD CFD Short 6,100 3.4803 GBP ORD SWAP Short 7,150 3.4939 GBP ORD CFD Short 20,594 3.5253 GBP ORD SWAP Short 25,999 3.4760 GBP ORD CFD Short 40,000 3.4756 GBP ORD CFD Short 74,939 3.4459 GBP ORD SWAP Short 120,142 3.4784 GBP ORD CFD Short 146,021 3.4648 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 Is a Supplemental Form 8 (Open Positions) attached? YES Date of disclosure: 21 May 2012 Contact name: Geoff Smith Telephone number: 020 7116 2913 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. 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 the person whose Barclays Capital Securities positions/dealings Ltd are being disclosed: Name of offeror/offeree in relation to whose GLENCORE INTL PLC relevant securities this from 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 20 May 2012 ORD Put Options Written -1,000,000 4.8000 American 20 May 2012 ORD Call Written -75,900 4.3890 European 6 Jul Options 2012 ORD Call Written -250,000 4.6000 American 20 May Options 2012 ORD Call Written -1,000,000 4.8000 American 20 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. 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
GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - GLENCORE INTL PLC
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