XTA: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - XSTRATA 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 XSTRATA 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? 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% 1,002,265 0.03% controlled: (2) Derivatives (other than options): 611,060 0.02% 23,325,207 0.78% (3) Options and agreements to purchase/sell: 25,745,546 0.86% 3,350,416 0.11% (4) TOTAL: 29,410,516 0.98% 27,677,888 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 339 10.2400 GBP ORD Purchase 900 10.4166 GBP ORD Purchase 1,620 10.2890 GBP ORD Purchase 1,862 10.3107 GBP ORD Purchase 2,102 10.3850 GBP ORD Purchase 2,340 10.3853 GBP ORD Purchase 6,614 10.4150 GBP ORD Purchase 8,789 10.3574 GBP ORD Purchase 12,383 10.3647 GBP ORD Purchase 16,700 10.3766 GBP ORD Purchase 17,929 10.3687 GBP ORD Purchase 102,761 10.3628 GBP ORD Purchase 135,185 10.3701 GBP ORD Sale 267 10.3350 GBP ORD Sale 339 10.2400 GBP ORD Sale 423 10.3536 GBP ORD Sale 429 10.4200 GBP ORD Sale 500 15.5000 CHF ORD Sale 532 10.4270 GBP ORD Sale 1,540 10.3975 GBP ORD Sale 2,052 10.3743 GBP ORD Sale 3,800 15.5500 CHF ORD Sale 4,866 10.3312 GBP ORD Sale 5,723 10.4143 GBP ORD Sale 6,984 10.4150 GBP ORD Sale 7,346 10.3903 GBP ORD Sale 8,323 10.3911 GBP ORD Sale 8,486 10.3582 GBP ORD Sale 8,521 10.4004 GBP ORD Sale 9,502 10.3870 GBP ORD Sale 11,100 15.3500 CHF ORD Sale 11,900 15.4500 CHF ORD Sale 12,646 10.3803 GBP ORD Sale 14,969 10.4234 GBP ORD Sale 24,577 10.3627 GBP ORD Sale 112,034 10.3486 GBP ORD Sale 127,989 10.3150 GBP ORD Sale 245,015 10.3810 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 10.3760 GBP ORD SWAP Long 1,420 10.3627 GBP ORD SWAP Long 1,540 10.3976 GBP ORD CFD Long 3,492 10.3276 GBP ORD CFD Long 11,738 10.3957 GBP ORD CFD Long 15,000 10.3648 GBP ORD CFD Long 15,000 10.4191 GBP ORD CFD Long 15,000 10.4241 GBP ORD CFD Long 20,000 10.3252 GBP ORD CFD Long 20,000 10.3341 GBP ORD CFD Long 20,000 10.3541 GBP ORD CFD Long 27,300 15.4218 CHF ORD CFD Long 30,000 10.3241 GBP ORD CFD Long 30,000 10.3997 GBP ORD CFD Long 70,000 10.3841 GBP ORD CFD Short 2,165 10.3154 GBP ORD SWAP Short 2,340 10.3853 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 BARCLAYS CAPITAL SECURITIES positions/dealings LTD are being disclosed: Name of offeror/offeree in relation to whose XSTRATA 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 2,570,863 7.9303 European 18 Jun 2013 ORD Put Options Purchased 500,000 8.0000 American 8 Dec 2012 ORD Put Options Purchased 250,000 9.6000 American 8 Dec 2012 ORD Put Options Written -250,000 7.2000 American 8 Dec 2012 ORD Put Options Written -500,000 8.0000 American 8 Dec 2012 ORD Put Options Written -600,000 8.2000 American 8 Dec 2012 ORD Put Options Written -375,000 9.2000 American 8 Dec 2012 ORD Call Purchased 500,000 11.0000 American 8 Dec Options 2012 ORD Call Written -1,000,000 12.0000 American 8 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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XTA: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - XSTRATA PLC
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