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 XSTRATA PLC 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 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 ORD security: Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 12,531,216 0.42% 1,111,855 0.04% (2) Derivatives (other than options): 678,701 0.02% 32,560,182 1.08% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 1,475,416 0.05% (4) TOTAL: 35,470,500 1.18% 35,147,453 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 776 11.2672 GBP ORD Purchase 1,455 11.3400 GBP ORD Purchase 2,000 11.2900 GBP ORD Purchase 2,841 11.1903 GBP ORD Purchase 3,997 11.2579 GBP ORD Purchase 4,578 11.2783 GBP ORD Purchase 5,000 11.3850 GBP ORD Purchase 5,745 11.2790 GBP ORD Purchase 6,428 11.2908 GBP ORD Purchase 7,101 11.2706 GBP ORD Purchase 7,828 11.3800 GBP ORD Purchase 9,447 11.2418 GBP ORD Purchase 10,000 11.2050 GBP ORD Purchase 12,264 11.2700 GBP ORD Purchase 35,508 11.2662 GBP ORD Purchase 38,718 11.2759 GBP ORD Purchase 71,414 11.3121 GBP ORD Purchase 92,899 11.4655 GBP ORD Purchase 282,170 11.2932 GBP ORD Sale 24 11.3450 GBP ORD Sale 113 11.2809 GBP ORD Sale 221 11.3100 GBP ORD Sale 238 11.3222 GBP ORD Sale 663 11.2654 GBP ORD Sale 900 11.4050 GBP ORD Sale 2,026 11.2899 GBP ORD Sale 2,500 11.2000 GBP ORD Sale 2,626 11.1500 GBP ORD Sale 3,692 11.3806 GBP ORD Sale 8,230 11.3507 GBP ORD Sale 9,613 11.2772 GBP ORD Sale 13,957 11.2859 GBP ORD Sale 16,739 11.2728 GBP ORD Sale 18,189 11.3441 GBP ORD Sale 32,688 11.3800 GBP ORD Sale 41,781 11.2897 GBP ORD Sale 50,000 11.3606 GBP ORD Sale 97,156 11.2867 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 52 11.3340 GBP ORD SWAP Long 1,315 11.3560 GBP ORD SWAP Long 3,692 11.3805 GBP ORD CFD Long 4,008 11.3642 GBP ORD CFD Short 2,841 11.1903 GBP ORD SWAP Short 5,745 11.2789 GBP ORD CFD Short 9,306 11.2143 GBP ORD CFD Short 35,508 11.2662 GBP ORD CFD Short 92,899 11.4655 GBP ORD CFD Short 105,214 11.2429 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 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 the person whose BARCLAYS CAPITAL SECURITIES positions/dealings 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 19 Jan 2013 ORD Put Options Written -600,000 8.2000 American 19 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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