XTA: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - XSTRATA PLC - AMENDMENT UK Regulatory Announcement LONDON 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 XSTRATA 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: 15 November 2012 (e) Has the EPT previously disclosed, or is YES: it today disclosing, under the Code in respect of any other party to this offer? GLENCORE INTL 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 ORD security: Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or 3,772,414 0.13% 347,906 0.01% controlled: (2) Derivatives (other than options): 122,211 0.00% 23,445,085 0.78% (3) Options and agreements to purchase/sell: 25,745,546 0.86% 3,350,416 0.11% (4) TOTAL: 29,640,171 0.99% 27,143,407 0.90% 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 158 9.6285 GBP ORD Purchase 263 9.5857 GBP ORD Purchase 413 14.3000 CHF ORD Purchase 633 9.5500 GBP ORD Purchase 660 9.5550 GBP ORD Purchase 1,500 14.3500 CHF ORD Purchase 3,000 9.5816 GBP ORD Purchase 3,524 9.5470 GBP ORD Purchase 3,729 9.5969 GBP ORD Purchase 3,755 9.5904 GBP ORD Purchase 5,600 9.5800 GBP ORD Purchase 14,960 9.5897 GBP ORD Purchase 21,595 9.5941 GBP ORD Purchase 31,016 9.5973 GBP ORD Purchase 114,505 9.5944 GBP ORD Purchase 186,228 9.6006 GBP ORD Purchase 290,419 9.5843 GBP ORD Purchase 294,846 9.5965 GBP ORD Purchase 540,500 9.6014 GBP ORD Purchase 769,679 9.5899 GBP ORD Purchase 2,447,184 9.5939 GBP ORD Sale 100 9.5630 GBP ORD Sale 400 9.6165 GBP ORD Sale 400 14.3500 CHF ORD Sale 600 14.3000 CHF ORD Sale 1,171 9.5930 GBP ORD Sale 1,297 9.6331 GBP ORD Sale 2,584 9.5897 GBP ORD Sale 4,819 9.6014 GBP ORD Sale 5,000 9.5928 GBP ORD Sale 5,190 9.6421 GBP ORD Sale 5,988 9.6066 GBP ORD Sale 6,117 9.5733 GBP ORD Sale 6,621 9.5997 GBP ORD Sale 15,300 9.6077 GBP ORD Sale 19,446 9.6098 GBP ORD Sale 25,170 9.5883 GBP ORD Sale 42,665 9.5966 GBP ORD Sale 56,314 9.5800 GBP ORD Sale 64,758 9.5932 GBP ORD Sale 85,774 9.5940 GBP ORD Sale 167,038 9.5924 GBP ORD Sale 277,081 9.5974 GBP ORD Sale 307,390 9.5941 GBP ORD Sale 450,084 9.6030 GBP ORD Sale 650,000 9.6174 GBP ORD Sale 650,000 9.6185 GBP ORD Sale 1,785,293 9.5938 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 400 9.6012 GBP ORD CFD Long 1,000 14.3178 CHF ORD SWAP Long 1,297 9.6331 GBP ORD CFD Long 1,836 9.5937 GBP ORD CFD Long 15,161 9.5924 GBP ORD CFD Short 89 9.6029 GBP ORD CFD Short 158 9.6286 GBP ORD CFD Short 1,913 14.3413 CHF ORD SWAP Short 3,729 9.6046 GBP ORD CFD Short 6,283 9.5524 GBP ORD CFD Short 10,035 9.6196 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: 19 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 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 XSTRATA 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 2,570,863 7.9303 European 18 Jun 2013 ORD Put Options Purchased 500,000 8.0000 American 17 Nov 2012 ORD Put Options Purchased 250,000 9.6000 American 17 Nov 2012 ORD Put Options Written -250,000 7.2000 American 17 Nov 2012 ORD Put Options Written -500,000 8.0000 American 17 Nov 2012 ORD Put Options Written -600,000 8.2000 American 17 Nov 2012 ORD Put Options Written -375,000 9.2000 American 17 Nov 2012 ORD Call Purchased 500,000 11.0000 American 17 Nov Options 2012 ORD Call Written -1,000,000 12.0000 American 17 Nov Options 2012 ORD Call Written -625,416 12.0000 European 27 Feb Options 2013 ORD Equity Purchased 21,924,683 20.5248 17 Jun Forward 2013 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
XTA: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - XSTRATA PLC - AMENDMENT
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