GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) GLENCORE INTL 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: 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: 6 February 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? 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 2,929,182 0.04% 45,216,274 0.64% controlled: (2) Derivatives (other than options): 43,153,991 0.61% 1,286,395 0.02% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 46,083,173 0.65% 46,502,669 0.66% Class of Convertible relevant Bond security: XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or 3,700,000 0.19% 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: 3,700,000 0.19% 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 ORD Purchase 100 3.8385 GBP ORD Purchase 100 46.8500 HKD ORD Purchase 100 47.2000 HKD ORD Purchase 462 3.8482 GBP ORD Purchase 514 3.8635 GBP ORD Purchase 801 3.8772 GBP ORD Purchase 872 3.8629 GBP ORD Purchase 1,437 3.8590 GBP ORD Purchase 2,071 3.8805 GBP ORD Purchase 2,864 3.8790 GBP ORD Purchase 10,891 3.8890 GBP ORD Purchase 12,500 3.8644 GBP ORD Purchase 14,604 3.8670 GBP ORD Purchase 16,729 3.8559 GBP ORD Purchase 18,394 3.8643 GBP ORD Purchase 18,397 3.8822 GBP ORD Purchase 21,994 3.8675 GBP ORD Purchase 34,543 3.8448 GBP ORD Purchase 46,812 3.8580 GBP ORD Purchase 49,185 3.8678 GBP ORD Purchase 53,923 3.8686 GBP ORD Purchase 101,600 46.9013 HKD ORD Purchase 159,389 3.8709 GBP ORD Purchase 205,350 3.8548 GBP ORD Sale 79 3.8380 GBP ORD Sale 400 47.0500 HKD ORD Sale 514 3.8635 GBP ORD Sale 577 3.8341 GBP ORD Sale 800 46.8500 HKD ORD Sale 801 3.8772 GBP ORD Sale 951 3.8872 GBP ORD Sale 1,165 3.8935 GBP ORD Sale 1,315 3.8762 GBP ORD Sale 1,478 3.8690 GBP ORD Sale 1,495 3.8590 GBP ORD Sale 2,000 47.1500 HKD ORD Sale 2,600 46.7500 HKD ORD Sale 2,894 3.8819 GBP ORD Sale 2,900 46.5000 HKD ORD Sale 3,664 3.8559 GBP ORD Sale 4,068 3.8798 GBP ORD Sale 4,600 47.1000 HKD ORD Sale 12,500 3.8644 GBP ORD Sale 15,503 3.8823 GBP ORD Sale 16,200 47.0000 HKD ORD Sale 23,200 46.9000 HKD ORD Sale 23,400 46.8000 HKD ORD Sale 30,245 3.8656 GBP ORD Sale 31,900 46.9500 HKD ORD Sale 45,032 3.8664 GBP ORD Sale 54,159 3.8600 GBP ORD Sale 64,103 3.8573 GBP ORD Sale 75,639 3.8655 GBP ORD Sale 133,576 3.8681 GBP ORD Sale 158,669 3.8646 GBP (b) Derivatives transactions (other than options) Class of Product Nature of dealing Number of Price per relevant description reference unit security securities ORD SWAP Long 1,495 3.8590 GBP ORD CFD Long 3,531 3.8846 GBP ORD CFD Long 5,841 3.8466 GBP ORD CFD Long 6,300 46.9434 HKD ORD CFD Long 30,145 3.8653 GBP ORD CFD Short 100 47.2594 HKD ORD CFD Short 300 3.8629 GBP ORD CFD Short 2,225 3.8638 GBP ORD CFD Short 6,300 3.8498 GBP ORD CFD Short 20,282 3.8456 GBP ORD CFD Short 101,700 3.8685 GBP ORD CFD Short 112,013 3.8489 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: 7 Feb 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 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. Contact: BARCLAYS PLC
GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) GLENCORE INTL PLC
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