XTA: J.P. Morgan Securities plc.: Form 8.5 (EPT/RI) Xstrata Plc
XTA: J.P. Morgan Securities plc.: Form 8.5 (EPT/RI) Xstrata Plc UK Regulatory Announcement LONDON FORM 8.5 (EPT/RI) PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY Rule 8.5 of the Takeover Code (the “Code”) 1. KEY INFORMATION (a) Name of exempt principal trader: J.P. Morgan Securities plc (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 Xstrata Plc principal trader is connected: (d) Date dealing undertaken: 10 December 2012 (e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other Yes party to this offer? 2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER (a) Purchases and sales Class of Purchases/ Total number Highest price per Lowest price relevant sales of securities unit paid/received per unit security paid/received Purchases 1,487 15.4500 CHF 15.4500 CHF Ordinary 1,235,867 10.3750 GBP 10.3050 GBP Shares Sales 820,312 10.3750 GBP 10.2950 GBP (b) Derivatives transactions (other than options) Nature of dealing Class of Product Number of relevant description e.g. opening/closing a reference Price security long/short position, securities per unit e.g. CFD increasing/reducing a long/short position 10.3440 180,000 GBP Ordinary Equity Swap Short 25,000 10.3686 Shares GBP 1,487 15.4512 GBP (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Type Option Product Writing, Number of Exercise money Class of description purchasing, securities price e.g. Expiry paid/ relevant e.g. call selling, to which per unit American, date received security option varying option European per unit etc. relates (GBP) etc. (GBP) Put Option Purchasing 500,000 10.00 American 21 DEC 0.055 12 Ordinary Shares 21 DEC Put Option Purchasing 500,000 10.00 American 12 0.06 (ii) Exercising Product Class of relevant description Number of Exercise price per unit security securities (GBP) 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 2(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in. 3. 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” (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” Date of disclosure: 11 December 2012 Contact name: Andrew Mhango Telephone number: 0207 134 6114 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. Contact: J.P. Morgan Securities plc.