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: 19 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 (%) (1) Relevant securities owned and/or 4,211,294 0.06% 26,102,138 0.37% controlled: (2) Derivatives (other than options): 25,645,411 0.36% 1,954,303 0.03% (3) Options and agreements to purchase/sell: 1,000,000 0.01% 250,000 0.00% (4) TOTAL: 30,856,705 0.43% 28,306,441 0.40% Class of Convertible Bond relevant XS0475310396 security: Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or 2,400,000 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: 2,400,000 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 Convertible Bond Purchase 1,800,000 118.5000 USD Convertible Bond Sale 1,700,000 118.5000 USD ORD Purchase 69 3.2675 GBP ORD Purchase 100 40.0000 HKD ORD Purchase 100 40.0500 HKD ORD Purchase 100 40.1000 HKD ORD Purchase 200 40.2500 HKD ORD Purchase 300 3.2530 GBP ORD Purchase 800 40.1500 HKD ORD Purchase 964 3.2459 GBP ORD Purchase 2,158 3.2428 GBP ORD Purchase 2,600 40.2000 HKD ORD Purchase 3,600 40.3000 HKD ORD Purchase 3,657 3.2424 GBP ORD Purchase 9,364 3.2433 GBP ORD Purchase 10,699 3.2414 GBP ORD Purchase 11,843 3.2595 GBP ORD Purchase 38,666 3.2499 GBP ORD Purchase 41,595 3.2513 GBP ORD Purchase 70,487 3.2590 GBP ORD Purchase 78,886 3.2478 GBP ORD Purchase 148,000 3.2174 GBP ORD Purchase 153,299 3.2470 GBP ORD Purchase 296,273 3.2408 GBP ORD Purchase 366,363 3.2516 GBP ORD Purchase 591,000 3.2425 GBP ORD Sale 200 40.1500 HKD ORD Sale 264 3.2645 GBP ORD Sale 300 40.2500 HKD ORD Sale 300 40.3000 HKD ORD Sale 1,218 3.2641 GBP ORD Sale 1,303 3.2472 GBP ORD Sale 1,700 3.2415 GBP ORD Sale 2,969 3.2452 GBP ORD Sale 4,074 3.2660 GBP ORD Sale 4,853 3.2665 GBP ORD Sale 5,177 3.2462 GBP ORD Sale 5,200 3.2436 GBP ORD Sale 6,645 3.2397 GBP ORD Sale 6,646 3.2510 GBP ORD Sale 7,200 40.2437 HKD ORD Sale 7,331 3.2475 GBP ORD Sale 8,242 3.2446 GBP ORD Sale 9,536 3.2378 GBP ORD Sale 17,305 3.2501 GBP ORD Sale 27,563 3.2409 GBP ORD Sale 70,634 3.2413 GBP ORD Sale 100,000 3.2774 GBP ORD Sale 103,941 3.2497 GBP ORD Sale 109,664 3.2615 GBP ORD Sale 155,252 3.2388 GBP ORD Sale 250,000 3.2389 GBP ORD Sale 401,198 3.2526 GBP ORD Sale 500,000 3.2338 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 102 3.2584 GBP ORD CFD Long 600 40.2266 HKD ORD CFD Long 1,400 3.2497 GBP ORD SWAP Long 5,200 3.2436 GBP ORD CFD Long 15,342 3.2286 GBP ORD CFD Long 23,649 3.2441 GBP ORD CFD Long 32,103 3.2326 GBP ORD CFD Long 267,943 3.2511 GBP ORD CFD Short 100 40.0480 HKD ORD SWAP Short 2,535 3.2322 GBP ORD CFD Short 5,954 3.2474 GBP ORD CFD Short 21,300 3.2397 GBP ORD CFD Short 233,389 3.2404 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: 20 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. 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 BARCLAYS CAPITAL SECURITIES LTD Identity of person whose open positions are being disclosed: 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 1,000,000 3.2000 American 21 Nov 2012 ORD Call Written -250,000 3.6000 American 21 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
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