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 GLENCORE INTL PLC whose relevant securities this form relates: (c) Name of the party to the offer with which Advisor to Offeree exempt principal trader is connected (d) Date position held/dealing undertaken: 6 December 2012 (e) Has the EPT previously disclosed, or is YES: 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 5,408,201 0.08% 36,335,007 0.51% controlled: (2) Derivatives (other than options): 35,739,288 0.50% 3,032,312 0.04% (3) Options and agreements to purchase/sell: 1,000,000 0.01% 250,000 0.00% (4) TOTAL: 42,147,489 0.59% 39,617,319 0.56% Class of Convertible relevant Bond security: XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or 1,800,000 0.08% 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: 1,800,000 0.08% 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 3.4635 GBP ORD Purchase 533 3.4428 GBP ORD Purchase 1,000 42.1000 HKD ORD Purchase 2,500 42.0500 HKD ORD Purchase 2,700 3.4410 GBP ORD Purchase 3,354 3.4570 GBP ORD Purchase 3,516 3.4452 GBP ORD Purchase 8,061 3.4492 GBP ORD Purchase 8,372 3.4466 GBP ORD Purchase 9,077 3.4306 GBP ORD Purchase 12,482 3.4566 GBP ORD Purchase 15,879 3.4513 GBP ORD Purchase 19,406 3.4517 GBP ORD Purchase 25,739 3.4532 GBP ORD Purchase 39,783 3.4465 GBP ORD Purchase 67,907 3.4476 GBP ORD Purchase 83,472 3.4480 GBP ORD Purchase 107,895 3.4519 GBP ORD Purchase 130,201 3.4463 GBP ORD Purchase 174,457 3.4418 GBP ORD Purchase 275,000 3.4258 GBP ORD Purchase 519,508 3.4490 GBP ORD Sale 78 3.4555 GBP ORD Sale 193 3.4285 GBP ORD Sale 455 3.4408 GBP ORD Sale 815 3.4515 GBP ORD Sale 1,000 42.1000 HKD ORD Sale 1,403 3.4625 GBP ORD Sale 2,500 3.4665 GBP ORD Sale 3,030 3.4281 GBP ORD Sale 4,217 3.4302 GBP ORD Sale 6,000 3.4605 GBP ORD Sale 6,300 3.4651 GBP ORD Sale 6,429 3.4316 GBP ORD Sale 20,232 3.4480 GBP ORD Sale 21,020 3.4570 GBP ORD Sale 44,848 3.4489 GBP ORD Sale 50,051 3.4464 GBP ORD Sale 55,000 3.4599 GBP ORD Sale 94,000 3.4629 GBP ORD Sale 102,662 3.4484 GBP ORD Sale 139,381 3.4468 GBP ORD Sale 194,406 3.4425 GBP ORD Sale 278,685 3.4355 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 600 3.4685 GBP ORD CFD Long 2,500 3.4156 GBP ORD CFD Long 4,254 3.4500 GBP ORD SWAP Long 8,800 3.4655 GBP ORD CFD Long 10,822 3.4272 GBP ORD CFD Long 31,704 3.4555 GBP ORD CFD Short 2,500 42.1008 HKD ORD CFD Short 6,508 3.4521 GBP ORD CFD Short 11,519 3.4404 GBP ORD SWAP Short 25,739 3.4532 GBP ORD SWAP Short 36,858 3.4478 GBP ORD CFD Short 78,216 3.4462 GBP ORD SWAP Short 107,690 3.4472 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: 7 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. 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 the person whose positions/dealings BARCLAYS CAPITAL SECURITIES LTD are being disclosed: Name of offeror/offeree in relation to whose GLENCORE INTL PLC relevant securities this from 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 8 Dec 2012 ORD Call Written -250,000 3.6000 American 8 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
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