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: 20 December 2012 (e) Has the EPT previously disclosed, or is it today YES: XSTRATA PLC disclosing, under the Code in respect of any other party to this offer? 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 4,508,498 0.07% 37,657,873 0.53% controlled: (2) Derivatives (other than options): 37,133,471 0.52% 2,713,365 0.04% (3) Options and agreements to purchase/sell: 1,000,000 0.01% 250,000 0.00% (4) TOTAL: 42,641,969 0.60% 40,621,238 0.57% Class of Convertible Bond relevant XS0475310396 security: Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or 3,400,000 0.15% 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: 3,400,000 0.15% 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 44.0000 HKD ORD Purchase 800 43.9000 HKD ORD Purchase 1,258 3.4965 GBP ORD Purchase 1,299 3.5200 GBP ORD Purchase 1,631 3.5215 GBP ORD Purchase 4,864 3.5313 GBP ORD Purchase 6,984 3.5245 GBP ORD Purchase 8,100 44.1000 HKD ORD Purchase 10,800 3.4926 GBP ORD Purchase 11,743 3.5109 GBP ORD Purchase 14,500 3.5252 GBP ORD Purchase 15,750 3.5076 GBP ORD Purchase 16,234 3.5306 GBP ORD Purchase 20,740 3.5096 GBP ORD Purchase 37,730 3.4993 GBP ORD Purchase 38,900 3.5215 GBP ORD Purchase 39,894 3.5168 GBP ORD Purchase 41,916 3.5335 GBP ORD Purchase 42,665 3.5338 GBP ORD Purchase 53,658 3.5171 GBP ORD Purchase 58,500 44.0500 HKD ORD Purchase 71,585 3.5042 GBP ORD Purchase 73,945 3.5142 GBP ORD Purchase 215,329 3.5146 GBP ORD Purchase 238,619 3.5122 GBP ORD Purchase 436,507 3.5108 GBP ORD Sale 500 44.2000 HKD ORD Sale 1,000 3.4925 GBP ORD Sale 1,300 44.1500 HKD ORD Sale 3,262 3.5215 GBP ORD Sale 3,854 3.5049 GBP ORD Sale 5,199 3.5305 GBP ORD Sale 6,984 3.5246 GBP ORD Sale 9,268 3.5010 GBP ORD Sale 10,300 44.0883 HKD ORD Sale 13,234 3.5084 GBP ORD Sale 16,993 3.4954 GBP ORD Sale 18,648 3.5291 GBP ORD Sale 23,550 3.5171 GBP ORD Sale 23,679 3.5088 GBP ORD Sale 25,020 3.4984 GBP ORD Sale 25,300 44.1000 HKD ORD Sale 26,905 3.5144 GBP ORD Sale 29,400 44.0000 HKD ORD Sale 32,071 3.4965 GBP ORD Sale 40,165 3.5311 GBP ORD Sale 44,275 3.5327 GBP ORD Sale 88,491 3.5174 GBP ORD Sale 115,864 3.4965 GBP ORD Sale 132,196 3.5150 GBP ORD Sale 159,227 3.5204 GBP ORD Sale 183,000 3.5276 GBP ORD Sale 500,000 3.5200 GBP (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 5,000 3.5196 GBP ORD CFD Long 10,973 3.5208 GBP ORD SWAP Long 13,200 3.5068 GBP ORD SWAP Long 14,800 3.4998 GBP ORD SWAP Long 36,913 3.5086 GBP ORD CFD Long 40,165 3.5311 GBP ORD CFD Long 92,497 3.5159 GBP ORD CFD Long 183,000 3.5276 GBP ORD CFD Short 800 43.9566 HKD ORD SWAP Short 18,891 3.5198 GBP ORD CFD Short 31,666 3.5096 GBP ORD CFD Short 46,231 3.5254 GBP ORD SWAP Short 53,400 3.5225 GBP ORD CFD Short 89,278 3.5187 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 YES Is a Supplemental Form 8 (Open Positions) attached? Date of disclosure: 24 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. 143221.01 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 22 Dec 2012 ORD Call Written -250,000 3.6000 American 22 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
Press spacebar to pause and continue. Press esc to stop.