GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - Glencore International
GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - Glencore International
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 GLENCORE INTL PLC
whose
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: 24 January 2013
(e) Has the EPT previously disclosed, or is YES:
it
today disclosing, under the Code in
respect
of any other party to this offer? XSTRATA 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 2,480,052 0.03% 44,397,082 0.63%
controlled:
(2) Derivatives
(other than
options): 42,679,388 0.60% 970,391 0.01%
(3) Options and
agreements to
purchase/sell: 0 0.00% 0 0.00%
(4) TOTAL:
45,159,440 0.64% 45,367,473 0.64%
Class of Convertible
relevant Bond
security: XS0475310396
Interests Short
Positions
Number (%) Number (%)
(1) Relevant
securities owned
and/or 1,600,000 0.08% 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:
1,600,000 0.08% 0 0.00%
Class of
relevant ADR
security:
Interests Short
Positions
Number (%) Number (%)
(1) Relevant
securities owned
and/or 0 0.00% 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:
0 0.00% 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
Convertible Bond Purchase 800,000 126.6000 USD
ORD Purchase 1,294 3.8625 GBP
ORD Purchase 1,900 3.8609 GBP
ORD Purchase 4,016 3.8669 GBP
ORD Purchase 5,832 3.8308 GBP
ORD Purchase 7,000 47.2500 HKD
ORD Purchase 7,199 3.8249 GBP
ORD Purchase 15,019 3.8213 GBP
ORD Purchase 18,380 3.8870 GBP
ORD Purchase 20,000 47.2000 HKD
ORD Purchase 24,208 3.8623 GBP
ORD Purchase 26,545 3.8834 GBP
ORD Purchase 29,347 3.8434 GBP
ORD Purchase 30,784 3.8794 GBP
ORD Purchase 53,424 3.8348 GBP
ORD Purchase 57,709 3.8631 GBP
ORD Purchase 96,954 3.8752 GBP
ORD Purchase 164,787 3.8705 GBP
ORD Purchase 188,766 3.8676 GBP
ORD Purchase 200,470 3.8865 GBP
ORD Purchase 721,807 3.8773 GBP
ORD Purchase 1,717,837 3.8775 GBP
ORD Sale 200 47.2000 HKD
ORD Sale 749 3.8617 GBP
ORD Sale 1,000 47.3000 HKD
ORD Sale 1,818 3.8554 GBP
ORD Sale 1,889 3.8846 GBP
ORD Sale 1,945 3.8709 GBP
ORD Sale 4,002 3.8912 GBP
ORD Sale 5,252 3.8570 GBP
ORD Sale 5,317 3.8870 GBP
ORD Sale 5,379 3.8685 GBP
ORD Sale 16,919 3.8259 GBP
ORD Sale 20,387 3.8597 GBP
ORD Sale 22,543 3.8822 GBP
ORD Sale 24,537 3.8767 GBP
ORD Sale 27,000 47.2129 HKD
ORD Sale 27,918 3.8710 GBP
ORD Sale 76,000 3.8690 GBP
ORD Sale 117,671 3.8777 GBP
ORD Sale 123,878 3.8734 GBP
ORD Sale 179,106 3.8639 GBP
ORD Sale 596,563 3.8785 GBP
ORD Sale 2,800,000 3.8771 GBP
ORD (traded as ADR) Purchase 600 12.2700 USD
ORD (traded as ADR) Purchase 2,418 12.1781 USD
ORD (traded as ADR) Sale 600 12.2700 USD
ORD (traded as ADR) Sale 2,418 12.1781 USD
(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 600 3.9053 GBP
ORD CFD Long 1,200 47.2233 HKD
ORD CFD Long 26,214 3.8491 GBP
ORD CFD Long 31,000 3.8627 GBP
ORD CFD Long 87,568 3.8860 GBP
ORD SWAP Long 596,563 3.8785 GBP
ORD CFD Short 400 3.8943 GBP
ORD SWAP Short 8,334 3.8913 GBP
ORD CFD Short 17,444 3.8012 GBP
ORD CFD Short 22,538 3.8515 GBP
ORD SWAP Short 57,709 3.8631 GBP
ORD CFD Short 55,420 3.8418 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? NO
Date of disclosure: 25 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
monitoring@disclosure.org.uk. 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
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