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 GLENCORE INTL 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: 17 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? 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 5,008,890 0.07% 36,515,403 0.51% controlled: (2) Derivatives (other than options): 36,235,269 0.51% 2,810,851 0.04% (3) Options and agreements to purchase/sell: 1,000,000 0.01% 250,000 0.00% (4) TOTAL: 42,244,159 0.60% 39,576,254 0.56% Class of Convertible relevant Bond security: XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or 2,000,000 0.09% 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: 2,000,000 0.09% 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 14 3.5077 GBP ORD Purchase 363 3.5006 GBP ORD Purchase 500 43.8500 HKD ORD Purchase 667 3.4830 GBP ORD Purchase 1,200 43.9500 HKD ORD Purchase 1,200 44.0500 HKD ORD Purchase 1,627 3.5210 GBP ORD Purchase 1,700 43.9000 HKD ORD Purchase 1,800 43.8000 HKD ORD Purchase 3,000 44.1000 HKD ORD Purchase 4,000 44.1500 HKD ORD Purchase 4,253 3.5174 GBP ORD Purchase 5,400 44.0000 HKD ORD Purchase 8,083 3.5180 GBP ORD Purchase 8,307 3.5172 GBP ORD Purchase 16,732 3.5194 GBP ORD Purchase 26,270 3.5111 GBP ORD Purchase 38,178 3.5090 GBP ORD Purchase 38,923 3.5142 GBP ORD Purchase 125,213 3.5106 GBP ORD Purchase 147,293 3.4877 GBP ORD Purchase 155,768 3.5026 GBP ORD Purchase 207,490 3.5235 GBP ORD Purchase 373,871 3.5087 GBP ORD Sale 100 43.7000 HKD ORD Sale 663 3.5159 GBP ORD Sale 667 3.4830 GBP ORD Sale 1,400 3.5207 GBP ORD Sale 7,385 3.5050 GBP ORD Sale 8,083 3.5180 GBP ORD Sale 8,207 3.5173 GBP ORD Sale 8,395 3.5141 GBP ORD Sale 9,078 3.5012 GBP ORD Sale 9,873 3.5070 GBP ORD Sale 11,785 3.5061 GBP ORD Sale 15,549 3.5076 GBP ORD Sale 18,800 44.0156 HKD ORD Sale 26,589 3.5081 GBP ORD Sale 37,883 3.5092 GBP ORD Sale 48,780 3.5049 GBP ORD Sale 71,454 3.5018 GBP ORD Sale 147,670 3.4878 GBP ORD Sale 152,500 3.5104 GBP ORD Sale 207,185 3.5084 GBP ORD Sale 278,761 3.5100 GBP ORD Sale 317,607 3.5060 GBP ORD (traded as ADR) Purchase 1,000 11.2800 USD ORD (traded as ADR) Sale 1,000 11.2800 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 43.6413 HKD ORD CFD Long 1,000 3.4947 GBP ORD SWAP Long 1,400 3.5207 GBP ORD SWAP Long 11,785 3.5061 GBP ORD CFD Long 13,228 3.5093 GBP ORD CFD Long 55,626 3.5033 GBP ORD CFD Long 106,004 3.5097 GBP ORD CFD Long 110,000 3.5072 GBP ORD CFD Long 152,500 3.5104 GBP ORD SWAP Short 4,253 3.5174 GBP ORD CFD Short 17,219 3.5250 GBP ORD CFD Short 140,565 3.5014 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: 18 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. 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 GLENCORE INTL 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 1,000,000 3.2000 American 19 Dec 2012 ORD Call Written -250,000 3.6000 American 19 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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