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: 20 Nov 2012 (e) Has the EPT previously disclosed, or is it today YES: disclosing, under the Code in respect of any other party to this offer? XSTRATA 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 5,784,028 0.08% 30,355,810 0.43% controlled: (2) Derivatives (other than options): 29,102,691 0.41% 2,906,491 0.04% (3) Options and agreements to purchase/sell: 1,000,000 0.01% 250,000 0.00% (4) TOTAL: 35,886,719 0.51% 33,512,301 0.47% Class of Convertible relevant Bond security: XS0475310396 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 ORD Purchase 400 40.2000 HKD ORD Purchase 800 40.0500 HKD ORD Purchase 1,200 40.6166 HKD ORD Purchase 2,600 3.2932 GBP ORD Purchase 9,618 3.2946 GBP ORD Purchase 11,052 3.3026 GBP ORD Purchase 19,693 3.2921 GBP ORD Purchase 35,743 3.2886 GBP ORD Purchase 46,822 3.2796 GBP ORD Purchase 48,251 3.2941 GBP ORD Purchase 49,991 3.3322 GBP ORD Purchase 53,796 3.3105 GBP ORD Purchase 61,610 3.2700 GBP ORD Purchase 72,392 3.2752 GBP ORD Purchase 80,165 3.2736 GBP ORD Purchase 107,817 3.2732 GBP ORD Purchase 122,076 3.2844 GBP ORD Purchase 154,445 3.2954 GBP ORD Purchase 159,202 3.3062 GBP ORD Purchase 446,699 3.2991 GBP ORD Purchase 457,500 3.3071 GBP ORD Purchase 1,071,202 3.2955 GBP ORD Purchase 2,017,872 3.2938 GBP ORD Sale 100 40.8000 HKD ORD Sale 200 40.6500 HKD ORD Sale 300 40.2000 HKD ORD Sale 1,100 40.6000 HKD ORD Sale 1,800 3.3319 GBP ORD Sale 3,119 3.2779 GBP ORD Sale 3,876 3.3072 GBP ORD Sale 4,100 3.3099 GBP ORD Sale 4,327 3.3055 GBP ORD Sale 5,956 3.2944 GBP ORD Sale 6,359 3.2955 GBP ORD Sale 8,181 3.2992 GBP ORD Sale 9,698 3.3336 GBP ORD Sale 10,818 3.3048 GBP ORD Sale 27,091 3.2966 GBP ORD Sale 28,502 3.2890 GBP ORD Sale 29,308 3.2790 GBP ORD Sale 30,263 3.2961 GBP ORD Sale 52,553 3.2855 GBP ORD Sale 72,076 3.2793 GBP ORD Sale 119,705 3.2884 GBP ORD Sale 141,939 3.2939 GBP ORD Sale 165,773 3.2960 GBP ORD Sale 168,251 3.3068 GBP ORD Sale 222,871 3.2896 GBP ORD Sale 375,000 3.3108 GBP ORD Sale 500,000 3.2949 GBP ORD Sale 579,500 3.2919 GBP ORD Sale 588,188 3.2952 GBP ORD Sale 3,965,000 3.2902 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 200 40.6012 HKD ORD CFD Long 7,765 3.2876 GBP ORD CFD Long 83,268 3.2986 GBP ORD SWAP Long 92,134 3.2910 GBP ORD SWAP Long 388,644 3.2923 GBP ORD SWAP Long 3,965,000 3.2902 GBP ORD CFD Short 100 40.2482 HKD ORD CFD Short 800 40.1006 HKD ORD SWAP Short 20,298 3.2704 GBP ORD CFD Short 61,610 3.2699 GBP ORD CFD Short 72,392 3.2752 GBP ORD CFD Short 73,702 3.2847 GBP ORD SWAP Short 80,165 3.2736 GBP ORD CFD Short 102,412 3.3024 GBP ORD CFD Short 107,817 3.2732 GBP ORD CFD Short 1,330,909 3.3071 GBP ORD SWAP Short 1,330,909 3.3071 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 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 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 1,000,000 3.2000 American 22 Nov 2012 ORD Call Written -250,000 3.6000 American 22 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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