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 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: 12 November 2012 (e) Has the EPT previously disclosed, or is it today YES: XSTRATA PLC disclosing, under the Code in 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 (%) Relevant (1) securities owned and/or 4,108,026 0.06% 26,459,021 0.37% controlled: (2) Derivatives (other than options): 25,876,649 0.36% 1,911,009 0.03% (3) Options and agreements to purchase/sell: 2,363,800 0.03% 250,000 0.00% (4) TOTAL: 32,348,475 0.46% 28,620,030 0.40% Class of Convertible Bond relevant XS0475310396 security: Interests Short Positions Number (%) Number (%) Relevant (1) securities owned and/or 2,300,000 0.10% 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: 2,300,000 0.10% 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 42.2500 HKD ORD Purchase 300 42.2000 HKD ORD Purchase 1,637 3.3669 GBP ORD Purchase 2,373 3.3810 GBP ORD Purchase 2,788 3.3792 GBP ORD Purchase 4,398 3.3864 GBP ORD Purchase 6,576 3.3833 GBP ORD Purchase 7,309 3.3878 GBP ORD Purchase 8,496 3.3722 GBP ORD Purchase 10,901 3.3775 GBP ORD Purchase 15,001 3.3779 GBP ORD Purchase 17,860 3.3706 GBP ORD Purchase 31,820 3.3709 GBP ORD Purchase 34,530 3.3700 GBP ORD Purchase 61,997 3.3740 GBP ORD Purchase 75,371 3.3728 GBP ORD Purchase 176,921 3.3680 GBP ORD Purchase 208,828 3.3860 GBP ORD Purchase 268,390 3.3692 GBP ORD Sale 12 3.3675 GBP ORD Sale 100 42.3000 HKD ORD Sale 200 41.9500 HKD ORD Sale 300 42.2000 HKD ORD Sale 1,024 3.3901 GBP ORD Sale 1,841 3.3626 GBP ORD Sale 2,059 3.3868 GBP ORD Sale 2,379 3.3553 GBP ORD Sale 3,245 3.3814 GBP ORD Sale 4,110 3.3753 GBP ORD Sale 4,310 3.3794 GBP ORD Sale 5,921 3.3883 GBP ORD Sale 8,702 3.3744 GBP ORD Sale 16,100 3.3769 GBP ORD Sale 25,673 3.3799 GBP ORD Sale 31,900 3.3737 GBP ORD Sale 120,107 3.3801 GBP ORD Sale 176,346 3.3637 GBP ORD Sale 400,000 3.3709 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 300 42.0162 HKD ORD SWAP Long 8,702 3.3744 GBP ORD CFD Long 14,365 3.3807 GBP ORD CFD Long 22,881 3.3706 GBP ORD CFD Short 100 42.3008 HKD ORD CFD Short 26,566 3.3710 GBP ORD CFD Short 80,401 3.3688 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: 13 Nov 2012 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 email@example.com. 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. 143221.01 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 Call Purchased 363,800 3.8500 European 13 Nov Options 2012 ORD Put Options Purchased 1,000,000 3.2000 American 14 Nov 2012 ORD Put Options Purchased 1,000,000 3.2000 European 13 Nov 2012 ORD Call Written -250,000 3.6000 American 14 Nov 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
Press spacebar to pause and continue. Press esc to stop.