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XTA: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) XSTRATA PLC



  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:                  13 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?                                              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              12,932,728   0.43%   1,033,503     0.03%
                 controlled:
                                                                         
(2)              Derivatives
                 (other than
                 options):           553,584      0.02%   32,631,409    1.09%
                                                                         
(3)              Options and
                 agreements to
                 purchase/sell:      22,260,583   0.74%   1,475,416     0.05%
                                                                         
(4)              TOTAL:
                                     35,746,895   1.19%   35,140,328    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        100          11.8250 GBP
ORD                 Purchase        264          11.7275 GBP
ORD                 Purchase        1,778        11.9650 GBP
ORD                 Purchase        1,827        11.7294 GBP
ORD                 Purchase        3,354        11.8350 GBP
ORD                 Purchase        4,123        11.7152 GBP
ORD                 Purchase        7,600        11.8543 GBP
ORD                 Purchase        15,058       11.8365 GBP
ORD                 Purchase        16,163       11.8887 GBP
ORD                 Purchase        27,633       11.7293 GBP
ORD                 Purchase        27,800       11.5083 GBP
ORD                 Purchase        56,048       11.8682 GBP
ORD                 Purchase        107,158      11.8653 GBP
ORD                 Purchase        120,351      11.7327 GBP
ORD                 Purchase        148,584      11.7150 GBP
ORD                 Sale            169          11.9150 GBP
ORD                 Sale            281          11.5850 GBP
ORD                 Sale            341          11.7250 GBP
ORD                 Sale            384          11.7150 GBP
ORD                 Sale            3,700        11.9204 GBP
ORD                 Sale            4,777        11.8030 GBP
ORD                 Sale            8,011        11.7376 GBP
ORD                 Sale            8,104        11.8071 GBP
ORD                 Sale            10,210       11.8290 GBP
ORD                 Sale            12,242       11.8538 GBP
ORD                 Sale            22,000       11.7223 GBP
ORD                 Sale            32,395       11.8187 GBP
ORD                 Sale            33,953       11.8454 GBP
ORD                 Sale            56,626       11.8162 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                3,700        11.9205 GBP
ORD        CFD           Long                4,717        11.9343 GBP
ORD        CFD           Long                8,581        11.6669 GBP
ORD        CFD           Short               946          11.8851 GBP
ORD        SWAP          Short               1,174        11.8718 GBP
ORD        SWAP          Short               7,600        11.8543 GBP
ORD        CFD           Short               27,800       11.5083 GBP
ORD        CFD           Short               21,992       11.7546 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?   YES

Date of disclosure:   14 Feb 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   15 Feb
                                                                          2013
ORD        Put Options   Written       -600,000     8.2000     American   15 Feb
                                                                          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
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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