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: 18 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 4,634,019 0.07% 37,297,153 0.53% controlled: (2) Derivatives (other than options): 36,978,109 0.52% 2,584,114 0.04% (3) Options and agreements to purchase/sell: 1,000,000 0.01% 250,000 0.00% (4) TOTAL: 42,612,128 0.60% 40,131,267 0.57% Class of Convertible Bond relevant XS0475310396 security: Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or 600,000 0.03% 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: 600,000 0.03% 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 Convertible Bond Sale 1,400,000 123.3750 USD ORD Purchase 300 44.5000 HKD ORD Purchase 400 44.0000 HKD ORD Purchase 600 44.3000 HKD ORD Purchase 600 44.3500 HKD ORD Purchase 657 3.5221 GBP ORD Purchase 2,000 44.1000 HKD ORD Purchase 3,050 3.5170 GBP ORD Purchase 5,214 3.5273 GBP ORD Purchase 5,795 3.5288 GBP ORD Purchase 8,800 44.4500 HKD ORD Purchase 10,412 3.5333 GBP ORD Purchase 10,600 44.2000 HKD ORD Purchase 13,198 3.5233 GBP ORD Purchase 14,600 44.4000 HKD ORD Purchase 17,802 3.5226 GBP ORD Purchase 32,707 3.5190 GBP ORD Purchase 64,802 3.5231 GBP ORD Purchase 72,956 3.5262 GBP ORD Purchase 131,622 3.5206 GBP ORD Purchase 244,581 3.5252 GBP ORD Purchase 285,548 3.5243 GBP ORD Sale 770 3.5318 GBP ORD Sale 800 3.5175 GBP ORD Sale 2,396 3.5207 GBP ORD Sale 3,230 3.5303 GBP ORD Sale 5,214 3.5273 GBP ORD Sale 9,793 3.5341 GBP ORD Sale 10,761 3.5267 GBP ORD Sale 10,952 3.5275 GBP ORD Sale 12,779 3.5279 GBP ORD Sale 12,976 3.5259 GBP ORD Sale 15,144 3.5252 GBP ORD Sale 22,212 3.5235 GBP ORD Sale 25,854 3.5299 GBP ORD Sale 27,144 3.5211 GBP ORD Sale 33,300 44.3525 HKD ORD Sale 36,085 3.5190 GBP ORD Sale 65,814 3.5231 GBP ORD Sale 83,628 3.5325 GBP ORD Sale 109,897 3.5248 GBP ORD Sale 139,381 3.5265 GBP ORD Sale 139,381 3.5285 GBP ORD Sale 145,549 3.5250 GBP ORD Sale 305,000 3.5319 GBP ORD Sale 381,250 3.5173 GBP ORD Sale 483,555 3.5256 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 3,685 3.5220 GBP ORD CFD Long 4,600 3.5196 GBP ORD CFD Long 11,163 3.5193 GBP ORD SWAP Long 25,854 3.5299 GBP ORD CFD Long 28,950 3.5243 GBP ORD CFD Long 80,823 3.5215 GBP ORD CFD Long 305,000 3.5319 GBP ORD CFD Long 379,683 3.5261 GBP ORD CFD Long 381,250 3.5173 GBP ORD CFD Short 4,600 44.2531 HKD ORD CFD Short 8,003 3.5200 GBP ORD CFD Short 8,852 3.5206 GBP ORD CFD Short 229,976 3.5257 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: 19 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 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. 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 20 Dec 2012 ORD Call Written -250,000 3.6000 American 20 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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