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XTA: BARCLAYS PLC: Form 8.5 (EPT/RI) - XSTRATA PLC - Amendment



  XTA: BARCLAYS PLC: Form 8.5 (EPT/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:                  5 Dec 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              3,053,910    0.10%   884,428       0.03%
                 controlled:
                                                                         
(2)              Derivatives
                 (other than
                 options):           459,595      0.02%   23,449,127    0.78%
                                                                         
(3)              Options and
                 agreements to
                 purchase/sell:      25,745,546   0.86%   3,350,416     0.11%
                                                                         
(4)              TOTAL:
                                     29,259,051   0.97%   27,683,971    0.92%

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        176          10.3450 GBP
ORD                 Purchase        200          10.2687 GBP
ORD                 Purchase        301          10.2913 GBP
ORD                 Purchase        917          10.3832 GBP
ORD                 Purchase        1,060        10.3788 GBP
ORD                 Purchase        1,356        10.3932 GBP
ORD                 Purchase        1,600        10.2177 GBP
ORD                 Purchase        1,832        10.2907 GBP
ORD                 Purchase        1,929        10.3930 GBP
ORD                 Purchase        2,289        10.1738 GBP
ORD                 Purchase        2,438        10.3111 GBP
ORD                 Purchase        3,000        10.2150 GBP
ORD                 Purchase        5,000        10.4046 GBP
ORD                 Purchase        5,782        10.2324 GBP
ORD                 Purchase        5,953        10.3870 GBP
ORD                 Purchase        10,000       10.2100 GBP
ORD                 Purchase        12,697       10.2309 GBP
ORD                 Purchase        16,700       10.2844 GBP
ORD                 Purchase        17,183       10.2078 GBP
ORD                 Purchase        17,862       10.3931 GBP
ORD                 Purchase        21,191       10.2585 GBP
ORD                 Purchase        45,069       10.2691 GBP
ORD                 Purchase        46,000       10.2140 GBP
ORD                 Purchase        242,497      10.2512 GBP
ORD                 Sale            200          10.3750 GBP
ORD                 Sale            445          10.2250 GBP
ORD                 Sale            500          10.2100 GBP
ORD                 Sale            538          10.3832 GBP
ORD                 Sale            717          10.3860 GBP
ORD                 Sale            800          10.3259 GBP
ORD                 Sale            850          10.2172 GBP
ORD                 Sale            1,356        10.3932 GBP
ORD                 Sale            1,929        10.3930 GBP
ORD                 Sale            2,415        10.1862 GBP
ORD                 Sale            3,800        10.2305 GBP
ORD                 Sale            3,898        10.2753 GBP
ORD                 Sale            4,665        10.4306 GBP
ORD                 Sale            5,725        10.3223 GBP
ORD                 Sale            7,151        10.2930 GBP
ORD                 Sale            7,246        10.2965 GBP
ORD                 Sale            7,491        10.3517 GBP
ORD                 Sale            8,900        15.2500 CHF
ORD                 Sale            10,200       15.3000 CHF
ORD                 Sale            11,382       15.4500 CHF
ORD                 Sale            19,726       10.2718 GBP
ORD                 Sale            20,884       10.2351 GBP
ORD                 Sale            22,070       15.3500 CHF
ORD                 Sale            33,487       10.3136 GBP
ORD                 Sale            50,000       10.1805 GBP
ORD                 Sale            58,710       10.2966 GBP
ORD                 Sale            216,671      10.3050 GBP
ORD                 Sale            221,198      10.2759 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                200          10.2711 GBP
ORD        SWAP          Long                800          10.3259 GBP
ORD        CFD           Long                1,700        10.1920 GBP
ORD        SWAP          Long                1,966        10.2340 GBP
ORD        CFD           Long                2,371        10.2168 GBP
ORD        CFD           Long                11,126       10.2239 GBP
ORD        CFD           Long                52,552       15.3427 CHF
ORD        SWAP          Short               1,600        10.2178 GBP
ORD        SWAP          Short               1,697        10.2274 GBP
ORD        CFD           Short               2,293        10.2958 GBP
ORD        CFD           Short               45,000       10.2309 GBP
ORD        CFD           Short               50,000       10.2409 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
monitoring@disclosure.org.uk. 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       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   7 Dec
                                                                          2012
ORD        Put Options   Purchased     250,000      9.6000     American   7 Dec
                                                                          2012
ORD        Put Options   Written       -250,000     7.2000     American   7 Dec
                                                                          2012
ORD        Put Options   Written       -500,000     8.0000     American   7 Dec
                                                                          2012
ORD        Put Options   Written       -600,000     8.2000     American   7 Dec
                                                                          2012
ORD        Put Options   Written       -375,000     9.2000     American   7 Dec
                                                                          2012
ORD        Call          Purchased     500,000      11.0000    American   7 Dec
           Options                                                        2012
ORD        Call          Written       -1,000,000   12.0000    American   7 Dec
           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
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