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: 30 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 3,776,838 0.06% 34,664,115 0.49% controlled: (2) Derivatives (other than options): 34,275,199 0.48% 2,578,516 0.04% (3) Options and agreements to purchase/sell: 1,000,000 0.01% 250,000 0.00% (4) TOTAL: 39,052,037 0.55% 37,492,631 0.53% 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 ORD Purchase 200 42.4000 HKD ORD Purchase 500 42.1500 HKD ORD Purchase 600 42.2500 HKD ORD Purchase 900 42.3000 HKD ORD Purchase 1,000 3.4180 GBP ORD Purchase 4,669 3.4493 GBP ORD Purchase 5,339 3.4595 GBP ORD Purchase 6,809 3.4744 GBP ORD Purchase 9,556 3.4616 GBP ORD Purchase 13,621 3.4581 GBP ORD Purchase 23,263 3.4689 GBP ORD Purchase 27,808 3.4682 GBP ORD Purchase 38,368 3.4550 GBP ORD Purchase 48,978 3.4574 GBP ORD Purchase 62,094 3.4476 GBP ORD Purchase 71,344 3.4623 GBP ORD Purchase 250,000 3.4734 GBP ORD Purchase 260,494 3.4632 GBP ORD Purchase 477,356 3.4527 GBP ORD Sale 100 42.2500 HKD ORD Sale 200 42.3000 HKD ORD Sale 500 42.5000 HKD ORD Sale 1,868 3.4543 GBP ORD Sale 1,888 3.4846 GBP ORD Sale 2,000 42.2475 HKD ORD Sale 4,503 3.4782 GBP ORD Sale 5,347 3.4567 GBP ORD Sale 6,147 3.4740 GBP ORD Sale 8,119 3.4780 GBP ORD Sale 8,905 3.4597 GBP ORD Sale 11,451 3.4680 GBP ORD Sale 14,225 3.4576 GBP ORD Sale 27,808 3.4683 GBP ORD Sale 34,726 3.4571 GBP ORD Sale 46,327 3.4550 GBP ORD Sale 68,699 3.4657 GBP ORD Sale 129,811 3.4645 GBP ORD Sale 139,337 3.4625 GBP ORD Sale 165,553 3.4603 GBP ORD Sale 762,500 3.4542 GBP ORD Sale 1,067,500 3.4612 GBP ORD Sale 478,068 3.4527 GBP ORD Sale 1,220,000 3.4482 GBP (b) Derivatives transactions (other than options) Class of Product Nature of Number of Price per dealing relevant description reference unit security securities ORD CFD Long 600 42.3704 HKD ORD CFD Long 1,078 3.4516 GBP ORD CFD Long 165,219 3.4601 GBP ORD SWAP Long 2,440,000 3.4482 GBP ORD SWAP Short 700 3.4360 GBP ORD SWAP Short 1,000 3.4180 GBP ORD CFD Short 7,339 3.4530 GBP ORD CFD Short 59,394 3.4484 GBP ORD CFD Short 250,000 3.4734 GBP ORD SWAP Short 1,220,000 3.4482 GBP NB: The below transactions which were previously disclosed have been cancelled Class of Product Nature of Number of Price per dealing relevant description reference unit security securities ORD CFD Short 250,000 3.4734 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: 4 Dec 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. 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 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 2 Dec 2012 ORD Call Written -250,000 3.6000 American 2 Dec 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
Press spacebar to pause and continue. Press esc to stop.