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 whose relevant securities this form relates: XSTRATA 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: 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 2,450,835 0.08% 375,179 0.01% controlled: (2) Derivatives (other than options): 131,006 0.00% 22,404,165 0.75% (3) Options and agreements to purchase/sell: 25,745,546 0.86% 3,350,416 0.11% (4) TOTAL: 28,327,387 0.94% 26,129,760 0.87% 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 75 14.4500 CHF ORD Purchase 128 9.6105 GBP ORD Purchase 522 9.5908 GBP ORD Purchase 671 9.6160 GBP ORD Purchase 1,754 9.5467 GBP ORD Purchase 1,883 9.5624 GBP ORD Purchase 2,000 14.3500 CHF ORD Purchase 2,600 9.5952 GBP ORD Purchase 3,404 9.5829 GBP ORD Purchase 5,000 9.5630 GBP ORD Purchase 5,401 9.5933 GBP ORD Purchase 7,291 9.5516 GBP ORD Purchase 12,275 9.5680 GBP ORD Purchase 12,404 9.5512 GBP ORD Purchase 20,019 9.5491 GBP ORD Purchase 33,339 9.5421 GBP ORD Purchase 52,476 9.5843 GBP ORD Purchase 66,565 9.5517 GBP ORD Purchase 140,406 9.5658 GBP ORD Sale 351 9.5560 GBP ORD Sale 644 9.5816 GBP ORD Sale 671 9.6160 GBP ORD Sale 707 9.5970 GBP ORD Sale 1,500 14.4000 CHF ORD Sale 3,139 9.5630 GBP ORD Sale 3,500 14.3500 CHF ORD Sale 4,100 9.5867 GBP ORD Sale 5,287 9.5760 GBP ORD Sale 5,294 9.5736 GBP ORD Sale 5,757 9.5801 GBP ORD Sale 6,061 9.5805 GBP ORD Sale 14,949 9.6012 GBP ORD Sale 17,999 9.5997 GBP ORD Sale 20,800 9.5681 GBP ORD Sale 26,852 9.5740 GBP ORD Sale 65,076 9.5794 GBP ORD Sale 200,000 9.5943 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 367 9.5959 GBP ORD CFD Long 1,140 9.6041 GBP ORD CFD Long 2,703 9.5797 GBP ORD SWAP Long 4,100 9.5866 GBP ORD CFD Long 5,000 14.3628 CHF ORD CFD Long 15,000 9.6048 GBP ORD SWAP Short 435 9.6143 GBP ORD CFD Short 1,599 9.6008 GBP ORD CFD Short 2,075 14.3557 CHF ORD SWAP Short 2,600 9.5953 GBP ORD CFD Short 3,342 9.5657 GBP ORD SWAP Short 7,291 9.5517 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: 22 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 XSTRATA 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 2,570,863 7.9303 European 18 Jun 2013 ORD Put Options Purchased 500,000 8.0000 American 21 Nov 2012 ORD Put Options Purchased 250,000 9.6000 American 21 Nov 2012 ORD Put Options Written -250,000 7.2000 American 21 Nov 2012 ORD Put Options Written -500,000 8.0000 American 21 Nov 2012 ORD Put Options Written -600,000 8.2000 American 21 Nov 2012 ORD Put Options Written -375,000 9.2000 American 21 Nov 2012 ORD Call Purchased 500,000 11.0000 American 21 Nov Options 2012 ORD Call Written -1,000,000 12.0000 American 21 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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