GLEN: BARCLAYS PLC: Form 8.5 (EPT/NON-RI)- GLENCORE INTL PLC
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: 7 February 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 2,454,540 0.03% 45,262,363 0.64%
controlled:
(2) Derivatives
(other than
options): 43,309,896 0.61% 1,079,129 0.02%
(3) Options and
agreements to
purchase/sell: 0 0.00% 0 0.00%
(4) TOTAL:
45,764,436 0.64% 46,341,492 0.65%
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%
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
ORD Purchase 100 47.2500 HKD
ORD Purchase 191 3.8630 GBP
ORD Purchase 200 46.9500 HKD
ORD Purchase 300 3.8335 GBP
ORD Purchase 400 47.0000 HKD
ORD Purchase 401 3.8738 GBP
ORD Purchase 594 3.8732 GBP
ORD Purchase 1,000 46.8500 HKD
ORD Purchase 1,400 46.9000 HKD
ORD Purchase 1,407 3.8837 GBP
ORD Purchase 1,923 3.8521 GBP
ORD Purchase 2,051 3.8598 GBP
ORD Purchase 2,434 3.8620 GBP
ORD Purchase 2,823 3.8405 GBP
ORD Purchase 4,000 3.8857 GBP
ORD Purchase 4,304 3.8323 GBP
ORD Purchase 9,883 3.8690 GBP
ORD Purchase 12,200 3.8616 GBP
ORD Purchase 12,500 3.8699 GBP
ORD Purchase 15,577 3.8448 GBP
ORD Purchase 18,284 3.8689 GBP
ORD Purchase 19,717 3.8342 GBP
ORD Purchase 31,478 3.8280 GBP
ORD Purchase 34,000 3.8753 GBP
ORD Purchase 44,436 3.8644 GBP
ORD Purchase 71,451 3.8411 GBP
ORD Purchase 82,702 3.8756 GBP
ORD Purchase 142,903 3.8785 GBP
ORD Purchase 500,000 3.8371 GBP
ORD Sale 100 47.2500 HKD
ORD Sale 539 3.8171 GBP
ORD Sale 687 3.8815 GBP
ORD Sale 1,107 3.8720 GBP
ORD Sale 2,000 3.8885 GBP
ORD Sale 2,088 3.8580 GBP
ORD Sale 2,200 46.8818 HKD
ORD Sale 2,823 3.8405 GBP
ORD Sale 4,662 3.8842 GBP
ORD Sale 11,571 3.8916 GBP
ORD Sale 12,500 3.8699 GBP
ORD Sale 21,304 3.8323 GBP
ORD Sale 25,016 3.8354 GBP
ORD Sale 25,211 3.8750 GBP
ORD Sale 37,214 3.8712 GBP
ORD Sale 49,754 3.8562 GBP
ORD Sale 80,240 3.8327 GBP
ORD Sale 80,426 3.8658 GBP
ORD Sale 94,459 3.8588 GBP
ORD Sale 187,157 3.8322 GBP
ORD Sale 229,992 3.8527 GBP
ORD Sale 251,741 3.8586 GBP
ORD Sale 416,599 3.8431 GBP
ORD (traded as ADR) Purchase 214 11.9900 USD
ORD (traded as ADR) Sale 214 11.9900 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 7,533 3.8741 GBP
ORD CFD Long 197,767 3.8562 GBP
ORD CFD Short 800 47.0068 HKD
ORD CFD Short 7,416 3.8623 GBP
ORD CFD Short 41,862 3.8299 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: 8 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
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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