GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - GLENCORE INTL 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: 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: 27 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 4,894,124 0.07% 32,194,017 0.45% controlled: (2) Derivatives (other than options): 31,794,747 0.45% 2,341,586 0.03% (3) Options and agreements to purchase/sell: 1,000,000 0.01% 250,000 0.00% (4) TOTAL: 37,688,871 0.53% 34,785,603 0.49% Class of Convertible relevant Bond security: XS0475310396 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 ORD Purchase 200 42.4000 HKD ORD Purchase 1,800 42.2000 HKD ORD Purchase 3,300 42.2500 HKD ORD Purchase 13,073 3.4041 GBP ORD Purchase 21,234 3.3830 GBP ORD Purchase 22,490 3.3811 GBP ORD Purchase 30,702 3.4061 GBP ORD Purchase 38,614 3.4157 GBP ORD Purchase 93,800 3.4266 GBP ORD Purchase 177,481 3.3969 GBP ORD Purchase 320,826 3.4062 GBP ORD Purchase 335,572 3.3880 GBP ORD Sale 434 3.4328 GBP ORD Sale 1,477 3.4222 GBP ORD Sale 1,869 3.4192 GBP ORD Sale 5,300 42.2386 HKD ORD Sale 5,575 3.3804 GBP ORD Sale 5,645 3.4353 GBP ORD Sale 5,760 3.4075 GBP ORD Sale 6,984 3.3731 GBP ORD Sale 7,241 3.3896 GBP ORD Sale 11,403 3.3877 GBP ORD Sale 15,778 3.3800 GBP ORD Sale 29,623 3.4116 GBP ORD Sale 40,221 3.3834 GBP ORD Sale 49,139 3.3904 GBP ORD Sale 53,632 3.3892 GBP ORD Sale 54,797 3.4081 GBP ORD Sale 81,827 3.4098 GBP ORD Sale 114,554 3.4037 GBP ORD Sale 119,433 3.3900 GBP ORD Sale 133,292 3.3918 GBP ORD Sale 278,675 3.3835 GBP ORD Sale 366,000 3.4388 GBP ORD Sale 424,214 3.3880 GBP ORD Sale 610,000 3.4429 GBP ORD Sale 762,500 3.4226 GBP ORD Sale 1,311,500 3.4211 GBP ORD (traded as ADR) Purchase 530 10.7800 USD ORD (traded as ADR) Sale 530 10.7800 USD (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 434 3.4329 GBP ORD CFD Long 701 3.4339 GBP ORD SWAP Long 54,096 3.4078 GBP ORD SWAP Long 196,381 3.4062 GBP ORD SWAP Long 366,000 3.4388 GBP ORD SWAP Long 610,000 3.4429 GBP ORD SWAP Long 762,500 3.4225 GBP ORD SWAP Long 1,311,500 3.4210 GBP ORD SWAP Short 600 3.4370 GBP ORD CFD Short 93,200 3.4267 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: 29 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 email@example.com. 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 29 Nov 2012 ORD Call Written -250,000 3.6000 American 29 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 - Amendment
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