Market Snapshot
  • U.S.
  • Europe
  • Asia
Ticker Volume Price Price Delta
DJIA 16,408.54 -16.31 -0.10%
S&P 500 1,864.85 2.54 0.14%
NASDAQ 4,095.52 9.29 0.23%
Ticker Volume Price Price Delta
STOXX 50 3,155.81 16.55 0.53%
FTSE 100 6,625.25 41.08 0.62%
DAX 9,409.71 91.89 0.99%
Ticker Volume Price Price Delta
NIKKEI 14,504.47 86.94 0.60%
TOPIX 1,170.04 3.45 0.30%
HANG SENG 22,760.24 64.23 0.28%

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   XSTRATA PLC
    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:         15 February 2013
(e) Has the EPT previously disclosed, or is it     YES:
    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 security:       ORD
                                  Interests            Short Positions
                                  Number       (%)     Number       (%)
(1)   Relevant securities owned
      and/or controlled:          12,309,397   0.41%   1,008,933    0.03%
                                                                     
(2)   Derivatives (other than
      options):                   545,357      0.02%   32,011,870   1.07%
                                                                     
(3)   Options and agreements to
      purchase/sell:              22,260,583   0.74%   1,475,416    0.05%
                                                                     
(4)   TOTAL:
                                  35,115,337   1.17%   34,496,219   1.15%

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        601          11.8973 GBP
ORD                 Purchase        717          11.8500 GBP
ORD                 Purchase        2,327        11.8476 GBP
ORD                 Purchase        3,010        11.8596 GBP
ORD                 Purchase        7,028        11.8442 GBP
ORD                 Purchase        7,640        11.8943 GBP
ORD                 Purchase        11,968       11.8427 GBP
ORD                 Purchase        21,000       11.8588 GBP
ORD                 Purchase        27,799       11.8753 GBP
ORD                 Purchase        32,940       11.8486 GBP
ORD                 Purchase        41,212       11.8451 GBP
ORD                 Purchase        41,292       11.8434 GBP
ORD                 Purchase        44,862       11.8100 GBP
ORD                 Purchase        45,530       11.8714 GBP
ORD                 Purchase        68,860       11.8882 GBP
ORD                 Purchase        95,000       11.8723 GBP
ORD                 Purchase        559,233      11.8849 GBP
ORD                 Sale            103          11.8861 GBP
ORD                 Sale            190          11.8150 GBP
ORD                 Sale            567          11.8800 GBP
ORD                 Sale            601          11.8973 GBP
ORD                 Sale            673          11.8100 GBP
ORD                 Sale            1,716        11.8397 GBP
ORD                 Sale            2,157        11.8795 GBP
ORD                 Sale            2,282        11.8252 GBP
ORD                 Sale            2,330        11.8300 GBP
ORD                 Sale            3,163        11.8431 GBP
ORD                 Sale            5,501        11.8877 GBP
ORD                 Sale            17,072       11.8849 GBP
ORD                 Sale            22,923       11.8773 GBP
ORD                 Sale            31,296       11.8784 GBP
ORD                 Sale            107,782      11.8596 GBP
ORD                 Sale            140,666      11.8846 GBP
ORD                 Sale            143,220      11.8839 GBP
ORD                 Sale            175,608      11.8799 GBP
ORD                 Sale            203,648      11.8803 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                3,634        11.8694 GBP
ORD        CFD           Long                3,788        11.8220 GBP
ORD        CFD           Long                3,563        11.8484 GBP
ORD        SWAP          Short               4,398        11.8736 GBP
ORD        CFD           Short               20,000       11.8311 GBP
ORD        SWAP          Short               68,860       11.8881 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:                                   18 Feb 2013
Contact name:                                         Geoff Smith
Telephone number:                                     0203 555 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.

                     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 the person whose                     BARCLAYS CAPITAL SECURITIES
positions/dealings                               LTD
are being disclosed:                              
Name of offeror/offeree in relation to whose     XSTRATA PLC
relevant securities this from 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   17 Feb
                                                                          2013
ORD        Put Options   Written       -600,000     8.2000     American   17 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.

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
Sponsored Links
Advertisement
Advertisements
Sponsored Links
Advertisement