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 Offeror exempt principal trader is connected (d) Date position held/dealing undertaken: 16 January 2013 (e) Has the EPT previously disclosed, or is it YES: 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 security: ORD Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 12,360,392 0.41% 1,226,236 0.04% (2) Derivatives (other than options): 788,803 0.03% 32,415,454 1.08% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 1,475,416 0.05% (4) TOTAL: 35,409,778 1.18% 35,117,106 1.17% 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 109 11.4150 GBP ORD Purchase 343 11.5800 GBP ORD Purchase 633 11.5860 GBP ORD Purchase 974 11.5600 GBP ORD Purchase 3,067 11.3951 GBP ORD Purchase 6,223 11.4912 GBP ORD Purchase 6,900 11.3981 GBP ORD Purchase 7,200 11.3973 GBP ORD Purchase 13,556 11.4277 GBP ORD Purchase 18,674 11.5065 GBP ORD Purchase 26,497 11.5035 GBP ORD Purchase 35,980 11.4514 GBP ORD Purchase 37,186 11.4377 GBP ORD Purchase 76,040 11.4973 GBP ORD Purchase 136,131 11.4705 GBP ORD Purchase 293,903 11.4080 GBP ORD Purchase 1,775,836 11.4354 GBP ORD Sale 120 11.5383 GBP ORD Sale 236 11.5700 GBP ORD Sale 513 11.5977 GBP ORD Sale 1,584 11.3674 GBP ORD Sale 2,481 11.4250 GBP ORD Sale 2,500 11.3555 GBP ORD Sale 3,237 11.5510 GBP ORD Sale 3,490 11.4911 GBP ORD Sale 3,777 11.3625 GBP ORD Sale 7,737 11.4222 GBP ORD Sale 8,620 11.4775 GBP ORD Sale 24,753 11.4261 GBP ORD Sale 27,017 11.4480 GBP ORD Sale 47,004 11.3909 GBP ORD Sale 55,174 11.7314 GBP ORD Sale 93,117 11.5251 GBP ORD Sale 102,919 11.4362 GBP ORD Sale 140,105 11.4583 GBP ORD Sale 143,558 11.4055 GBP ORD Sale 1,440,933 11.4404 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 815 11.3775 GBP ORD CFD Long 516 11.7684 GBP ORD CFD Long 1,137 11.4236 GBP ORD SWAP Long 2,140 11.3904 GBP ORD SWAP Long 2,500 11.3554 GBP ORD SWAP Long 93,117 11.5251 GBP ORD SWAP Short 7,200 11.3973 GBP ORD CFD Short 7,417 11.5802 GBP ORD CFD Short 148,910 11.4434 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: 17 Jan 2013 Contact name: Geoff Smith Telephone number: 0203 555 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 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 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 Written -250,000 7.2000 American 18 Jan 2013 ORD Put Options Written -600,000 8.2000 American 18 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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