GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - GLENCORE INTL PLC- Amendment
GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - GLENCORE INTL PLC- Amendment
UK Regulatory Announcement
LONDON
FORM 8.5 (EPT/NON-RI) Amendment
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: GLENCORE INTL 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: 28 January 2013
(e) Has the EPT previously disclosed, or is it today YES:
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 2,572,161 0.04% 46,752,705 0.66%
controlled:
(2) Derivatives
(other than
options): 44,274,238 0.62% 723,045 0.01%
(3) Options and
agreements to
purchase/sell: 0 0.00% 0 0.00%
(4) TOTAL:
46,846,399 0.66% 47,475,750 0.67%
Class of Convertible
relevant Bond
security: XS0475310396
Interests Short
Positions
Number (%) Number (%)
(1) Relevant
securities owned
and/or 6,200,000 0.32% 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:
6,200,000 0.32% 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
(a) Purchases and sales
Class of relevant Purchase/sale Number of Price per unit
security securities
Convertible Bond Purchase 2,500,000 127.0000 USD
Convertible Bond Sale 800,000 126.7500 USD
Convertible Bond Sale 1,000,000 127.0500 USD
ORD Purchase 150 3.9225 GBP
ORD Purchase 738 3.9080 GBP
ORD Purchase 800 47.7500 HKD
ORD Purchase 813 3.9300 GBP
ORD Purchase 872 3.9120 GBP
ORD Purchase 1,153 3.9005 GBP
ORD Purchase 3,100 47.8000 HKD
ORD Purchase 3,680 3.9174 GBP
ORD Purchase 5,500 47.7000 HKD
ORD Purchase 6,000 47.6500 HKD
ORD Purchase 9,100 47.6000 HKD
ORD Purchase 10,461 3.9204 GBP
ORD Purchase 36,777 3.9230 GBP
ORD Purchase 44,403 3.9136 GBP
ORD Purchase 45,314 3.9141 GBP
ORD Purchase 96,419 3.9092 GBP
ORD Purchase 108,911 3.9254 GBP
ORD Purchase 126,977 3.9137 GBP
ORD Purchase 128,876 3.9130 GBP
ORD Purchase 142,903 3.9050 GBP
ORD Purchase 142,903 3.9250 GBP
ORD Sale 100 47.6000 HKD
ORD Sale 308 3.9009 GBP
ORD Sale 394 3.9209 GBP
ORD Sale 400 47.7000 HKD
ORD Sale 800 47.7500 HKD
ORD Sale 980 3.9166 GBP
ORD Sale 1,053 3.9005 GBP
ORD Sale 1,403 3.9125 GBP
ORD Sale 1,998 3.9200 GBP
ORD Sale 2,084 3.9118 GBP
ORD Sale 4,093 3.9101 GBP
ORD Sale 4,100 47.6500 HKD
ORD Sale 6,462 3.9035 GBP
ORD Sale 7,236 3.9121 GBP
ORD Sale 9,646 3.9116 GBP
ORD Sale 14,979 3.9054 GBP
ORD Sale 18,995 3.9159 GBP
ORD Sale 20,100 47.6641 HKD
ORD Sale 47,352 3.9080 GBP
ORD Sale 56,552 3.9182 GBP
ORD Sale 82,350 3.9157 GBP
ORD Sale 82,350 3.9174 GBP
ORD Sale 170,076 3.9086 GBP
ORD Sale 204,832 3.9167 GBP
ORD Sale 249,600 3.9234 GBP
ORD Sale 300,551 3.9133 GBP
(b) Derivatives transactions
(other than options)
Class of Product Nature of Number of Price per
dealing
relevant description reference unit
security securities
ORD CFD Long 100 47.6405 HKD
ORD CFD Long 400 47.6029 HKD
ORD CFD Long 4,400 3.9396 GBP
ORD CFD Long 4,900 47.6069 HKD
ORD CFD Long 12,964 3.9097 GBP
ORD CFD Long 45,365 3.9171 GBP
ORD CFD Long 82,350 3.9157 GBP
ORD CFD Long 82,350 3.9174 GBP
ORD CFD Short 4,400 47.7254 HKD
ORD SWAP Short 6,446 3.9102 GBP
ORD CFD Short 24,323 3.9298 GBP
ORD CFD Short 17,416 3.9210 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: 30 January 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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