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 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: 7 December 2012 YES: (e) Has the EPT previously disclosed, or is 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 controlled: 5,971,877 0.08% 36,153,342 0.51% (2) Derivatives (other than options): 35,739,532 0.50% 3,377,976 0.05% (3) Options and agreements to purchase/sell: 1,000,000 0.01% 250,000 0.00% (4) TOTAL: 42,711,409 0.60% 39,781,318 0.56% Class of Convertible Bond relevant XS0475310396 security: 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 42.6500 HKD ORD Purchase 500 42.6000 HKD ORD Purchase 881 3.4514 GBP ORD Purchase 1,000 42.8500 HKD ORD Purchase 1,400 42.7500 HKD ORD Purchase 1,595 3.4522 GBP ORD Purchase 1,700 42.8000 HKD ORD Purchase 2,700 42.5000 HKD ORD Purchase 3,324 3.4398 GBP ORD Purchase 17,846 3.4635 GBP ORD Purchase 22,193 3.4655 GBP ORD Purchase 22,600 42.7000 HKD ORD Purchase 26,906 3.4364 GBP ORD Purchase 27,334 3.4539 GBP ORD Purchase 43,892 3.4418 GBP ORD Purchase 50,502 3.4493 GBP ORD Purchase 63,913 3.4459 GBP ORD Purchase 64,830 3.4507 GBP ORD Purchase 74,659 3.4417 GBP ORD Purchase 162,150 3.4511 GBP ORD Purchase 285,102 3.4462 GBP ORD Purchase 432,469 3.4465 GBP ORD Purchase 951,230 3.4451 GBP ORD Sale 100 42.6500 HKD ORD Sale 800 3.4453 GBP ORD Sale 1,450 3.4545 GBP ORD Sale 1,466 3.4588 GBP ORD Sale 2,277 3.4473 GBP ORD Sale 6,000 3.4661 GBP ORD Sale 14,867 3.4505 GBP ORD Sale 16,380 3.4641 GBP ORD Sale 29,600 42.6945 HKD ORD Sale 29,810 3.4539 GBP ORD Sale 46,036 3.4412 GBP ORD Sale 47,964 3.4371 GBP ORD Sale 94,000 3.4673 GBP ORD Sale 139,343 3.4425 GBP ORD Sale 148,467 3.4372 GBP ORD Sale 204,991 3.4406 GBP ORD Sale 209,865 3.4379 GBP ORD Sale 215,169 3.4375 GBP ORD Sale 305,000 3.4767 GBP ORD (traded as ADR) Purchase 400 11.1200 USD ORD (traded as ADR) Sale 400 11.1200 USD (b) Derivatives transactions (other than options) Class of Product Nature of dealing Number of Price per relevant description reference unit security securities ORD CFD Long 100 42.5915 HKD ORD CFD Long 500 3.4646 GBP ORD SWAP Long 1,450 3.4545 GBP ORD CFD Long 14,867 3.4501 GBP ORD CFD Long 209,365 3.4376 GBP ORD CFD Short 400 3.4508 GBP ORD CFD Short 500 42.6525 HKD ORD CFD Short 8,824 3.4575 GBP ORD CFD Short 10,433 3.4358 GBP ORD SWAP Short 29,121 3.4405 GBP ORD CFD Short 45,401 3.4190 GBP ORD SWAP Short 118,551 3.4417 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: 10 Dec 2012 Contact name: Geoff Smith Telephone number: 0203 555 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 firstname.lastname@example.org. 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 9 Dec 2012 ORD Call Written -250,000 3.6000 American 9 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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