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: 18 January 2013 YES: (e) Has the EPT previously disclosed, or is it 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 12,610,038 0.42% 1,144,214 0.04% controlled: (2) Derivatives (other than options): 709,770 0.02% 32,626,689 1.09% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 1,475,416 0.05% (4) TOTAL: 35,580,391 1.18% 35,246,319 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 195 11.4650 GBP ORD Purchase 1,077 11.4550 GBP ORD Purchase 1,104 11.3750 GBP ORD Purchase 1,246 11.3475 GBP ORD Purchase 1,421 11.3080 GBP ORD Purchase 2,295 11.3677 GBP ORD Purchase 2,600 11.4464 GBP ORD Purchase 3,401 11.3947 GBP ORD Purchase 3,743 11.3730 GBP ORD Purchase 3,943 11.4001 GBP ORD Purchase 4,874 11.4800 GBP ORD Purchase 4,987 11.3788 GBP ORD Purchase 11,043 11.3992 GBP ORD Purchase 23,032 11.3710 GBP ORD Purchase 33,200 11.3509 GBP ORD Purchase 40,000 11.4139 GBP ORD Purchase 61,767 11.3675 GBP ORD Purchase 81,078 11.3939 GBP ORD Sale 88 11.3650 GBP ORD Sale 200 11.4812 GBP ORD Sale 390 11.4748 GBP ORD Sale 467 11.4750 GBP ORD Sale 469 11.4800 GBP ORD Sale 530 11.3093 GBP ORD Sale 613 11.4400 GBP ORD Sale 891 11.3079 GBP ORD Sale 1,103 11.3211 GBP ORD Sale 1,104 11.4572 GBP ORD Sale 1,649 11.4658 GBP ORD Sale 2,000 11.3812 GBP ORD Sale 2,781 11.4302 GBP ORD Sale 3,462 11.4791 GBP ORD Sale 3,500 11.4332 GBP ORD Sale 4,090 11.4536 GBP ORD Sale 5,952 11.4026 GBP ORD Sale 7,771 11.4759 GBP ORD Sale 11,220 11.3276 GBP ORD Sale 27,319 11.3750 GBP ORD Sale 29,934 11.4049 GBP ORD Sale 31,383 11.3949 GBP ORD Sale 38,283 11.4534 GBP ORD Sale 59,344 11.4020 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 484 11.4586 GBP ORD SWAP Long 1,451 11.4000 GBP ORD SWAP Long 3,500 11.4332 GBP ORD CFD Long 8,517 11.4126 GBP ORD CFD Long 32,888 11.4632 GBP ORD SWAP Short 2,600 11.4464 GBP ORD CFD Short 3,275 11.3167 GBP ORD CFD Short 3,203 11.3947 GBP ORD CFD Short 33,200 11.3509 GBP ORD CFD Short 40,000 11.4139 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: 21 Jan 2013 Contact name: Geoff Smith Telephone number: 020 3555 4632 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 Written -250,000 7.2000 American 20 Jan 2013 ORD Put Options Written -600,000 8.2000 American 20 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. 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. Contact: BARCLAYS PLC
XTA: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) XSTRATA PLC
Press spacebar to pause and continue. Press esc to stop.