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 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 Advisor to Offeree principal trader is connected: (d) Date position held/dealing undertaken: 9 January 2013 (e) Has the EPT previously disclosed, or is it today YES: GLENCORE INTL 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 controlled: 16,459,154 0.55% 1,205,234 0.04% (2) Derivatives (other than options): 700,545 0.02% 36,788,799 1.23% (3) Options and agreements to purchase/sell: 24,831,446 0.83% 1,975,416 0.07% (4) TOTAL: 41,991,145 1.40% 39,969,449 1.33% 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 580 11.5900 GBP ORD Purchase 963 11.3260 GBP ORD Purchase 1,265 11.3341 GBP ORD Purchase 3,663 11.3954 GBP ORD Purchase 4,850 11.3579 GBP ORD Purchase 4,968 11.4722 GBP ORD Purchase 5,071 11.4805 GBP ORD Purchase 6,997 11.5500 GBP ORD Purchase 8,500 11.6314 GBP ORD Purchase 8,500 17.2000 CHF ORD Purchase 9,000 11.5100 GBP ORD Purchase 16,433 11.4433 GBP ORD Purchase 43,557 11.3613 GBP ORD Purchase 63,984 11.4550 GBP ORD Purchase 81,240 11.4877 GBP ORD Sale 143 11.3155 GBP ORD Sale 245 17.2000 CHF ORD Sale 820 11.3284 GBP ORD Sale 1,408 11.4125 GBP ORD Sale 1,623 11.4600 GBP ORD Sale 1,796 11.3442 GBP ORD Sale 5,204 11.6226 GBP ORD Sale 5,731 11.3246 GBP ORD Sale 6,353 11.4852 GBP ORD Sale 7,540 11.5643 GBP ORD Sale 8,469 11.5433 GBP ORD Sale 11,467 16.9500 CHF ORD Sale 11,959 11.5324 GBP ORD Sale 17,900 11.3715 GBP ORD Sale 18,400 16.8000 CHF ORD Sale 19,854 16.8500 CHF ORD Sale 20,226 11.5230 GBP ORD Sale 25,509 11.5151 GBP ORD Sale 33,048 11.5508 GBP ORD Sale 41,018 11.5500 GBP ORD Sale 42,900 11.3610 GBP ORD Sale 51,332 11.4482 GBP ORD Sale 73,293 11.5509 GBP ORD Sale 380,000 11.5849 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 200 11.3638 GBP ORD CFD Long 939 11.6291 GBP ORD CFD Long 49,966 16.8537 CHF ORD CFD Long 78,950 11.5422 GBP ORD CFD Short 1,237 11.4799 GBP ORD CFD Short 8,500 17.2025 CHF (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: 10 Jan 2013 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. 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 XSTRATA 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 Call Purchased 168,000 11.0346 European 16 May Options 2013 ORD Call Purchased 167,900 11.1902 European 13 Mar Options 2013 ORD Put Options Purchased 2,570,863 7.9303 European 18 Jun 2013 ORD Put Options Written -250,000 7.2000 American 11 Jan 2013 ORD Put Options Written -500,000 8.0000 American 11 Jan 2013 ORD Put Options Written -600,000 8.2000 American 11 Jan 2013 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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