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: 11 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 2,953,987 0.10% 1,011,920 0.03% controlled: (2) Derivatives (other than options): 440,092 0.01% 23,291,215 0.78% (3) Options and agreements to purchase/sell: 25,745,546 0.86% 3,350,416 0.11% (4) TOTAL: 29,139,625 0.97% 27,653,551 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 1,650 10.4300 GBP ORD Purchase 1,754 10.4020 GBP ORD Purchase 1,800 10.3897 GBP ORD Purchase 3,600 10.3961 GBP ORD Purchase 16,133 10.4111 GBP ORD Purchase 23,515 10.4141 GBP ORD Purchase 27,877 10.4130 GBP ORD Purchase 53,371 10.3950 GBP ORD Purchase 53,474 10.4101 GBP ORD Purchase 193,415 10.4000 GBP ORD Sale 16 10.4200 GBP ORD Sale 89 10.3675 GBP ORD Sale 94 10.4275 GBP ORD Sale 500 10.4000 GBP ORD Sale 777 10.4118 GBP ORD Sale 864 10.4250 GBP ORD Sale 1,496 10.3724 GBP ORD Sale 1,710 10.4133 GBP ORD Sale 1,800 10.3897 GBP ORD Sale 2,180 10.4014 GBP ORD Sale 2,739 10.3950 GBP ORD Sale 3,140 15.6000 CHF ORD Sale 5,018 10.4086 GBP ORD Sale 6,000 15.6500 CHF ORD Sale 6,057 10.3992 GBP ORD Sale 6,625 10.4040 GBP ORD Sale 9,013 10.4038 GBP ORD Sale 19,000 10.3902 GBP ORD Sale 20,922 10.3904 GBP ORD Sale 80,601 10.4026 GBP ORD Sale 196,340 10.4193 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 100 10.3973 GBP ORD CFD Long 606 10.4121 GBP ORD SWAP Long 1,710 10.4134 GBP ORD CFD Long 1,785 10.4163 GBP ORD CFD Long 9,140 15.6304 CHF ORD CFD Long 12,417 10.4024 GBP ORD CFD Long 15,000 10.4241 GBP ORD SWAP Short 3,600 10.3960 GBP ORD CFD Short 20,000 10.3809 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: 12 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 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 13 Dec 2012 ORD Put Options Purchased 250,000 9.6000 American 13 Dec 2012 ORD Put Options Written -250,000 7.2000 American 13 Dec 2012 ORD Put Options Written -500,000 8.0000 American 13 Dec 2012 ORD Put Options Written -600,000 8.2000 American 13 Dec 2012 ORD Put Options Written -375,000 9.2000 American 13 Dec 2012 ORD Call Purchased 500,000 11.0000 American 13 Dec Options 2012 ORD Call Written -1,000,000 12.0000 American 13 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
XTA: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - XSTRATA PLC
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