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: 23 November 2012 YES: (e) Has the EPT previously disclosed, or is it today 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 controlled: 5,418,070 0.08% 28,853,482 0.41% (2) Derivatives (other than options): 28,476,301 0.40% 2,410,936 0.03% (3) Options and agreements to purchase/sell: 1,000,000 0.01% 250,000 0.00% (4) TOTAL: 34,894,371 0.49% 31,514,418 0.44% Class of Convertible Bond relevant XS0475310396 security: Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or 1,400,000 0.06% 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: 1,400,000 0.06% 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 Sale 1,000,000 121.5000 USD ORD Purchase 142 3.4105 GBP ORD Purchase 334 3.4036 GBP ORD Purchase 800 3.4070 GBP ORD Purchase 1,100 42.4500 HKD ORD Purchase 1,421 3.4498 GBP ORD Purchase 2,100 42.3500 HKD ORD Purchase 2,709 3.4282 GBP ORD Purchase 3,300 3.4444 GBP ORD Purchase 3,472 3.4314 GBP ORD Purchase 3,700 42.4000 HKD ORD Purchase 7,800 42.5000 HKD ORD Purchase 7,828 3.4488 GBP ORD Purchase 8,700 42.3000 HKD ORD Purchase 12,250 3.4515 GBP ORD Purchase 14,393 3.4358 GBP ORD Purchase 24,621 3.4376 GBP ORD Purchase 54,829 3.4300 GBP ORD Purchase 88,940 3.4147 GBP ORD Purchase 109,718 3.4437 GBP ORD Purchase 121,385 3.4206 GBP ORD Purchase 214,336 3.4451 GBP ORD Sale 100 42.3000 HKD ORD Sale 100 42.4000 HKD ORD Sale 200 42.4500 HKD ORD Sale 344 3.4525 GBP ORD Sale 756 3.4334 GBP ORD Sale 1,371 3.4560 GBP ORD Sale 1,411 3.4389 GBP ORD Sale 2,709 3.4284 GBP ORD Sale 3,311 3.4366 GBP ORD Sale 3,447 3.4136 GBP ORD Sale 4,030 3.4156 GBP ORD Sale 6,462 3.4285 GBP ORD Sale 8,200 3.4510 GBP ORD Sale 8,236 3.4174 GBP ORD Sale 9,739 3.4549 GBP ORD Sale 12,734 3.4447 GBP ORD Sale 15,420 3.4416 GBP ORD Sale 23,400 42.3940 HKD ORD Sale 31,279 3.4089 GBP ORD Sale 43,553 3.4480 GBP ORD Sale 51,976 3.4142 GBP ORD Sale 54,904 3.4381 GBP ORD Sale 67,761 3.4350 GBP ORD Sale 151,100 3.4273 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 400 42.3491 HKD ORD CFD Long 1,047 3.4374 GBP ORD SWAP Long 8,236 3.4174 GBP ORD SWAP Long 25,435 3.4105 GBP ORD CFD Long 79,387 3.4215 GBP ORD SWAP Long 83,255 3.4122 GBP ORD SWAP Short 1,700 3.4436 GBP ORD CFD Short 2,261 3.4444 GBP ORD SWAP Short 4,100 3.4371 GBP ORD CFD Short 52,289 3.4297 GBP ORD CFD Short 121,385 3.4206 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: 26 Nov 2012 Contact name: Geoff Smith Telephone number: 0203 555 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 25 Nov 2012 ORD Call Written -250,000 3.6000 American 25 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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