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: 21 February 2013 (e) Has the EPT previously disclosed, or is it today YES: XSTRATA PLC disclosing, under the Code in respect of any other party to this offer? 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 4,545,774 0.06% 46,926,809 0.66% controlled: (2) Derivatives (other than options): 42,849,200 0.60% 3,151,641 0.04% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 47,394,974 0.67% 50,078,450 0.71% Class of Convertible Bond relevant XS0475310396 security: Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or 6,900,000 0.30% 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: 6,900,000 0.30% 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 Convertible Bond Purchase 2,500,000 121.0000 USD ORD Purchase 100 46.1500 HKD ORD Purchase 1,000 3.6985 GBP ORD Purchase 2,919 3.6989 GBP ORD Purchase 14,127 3.7477 GBP ORD Purchase 40,996 3.7051 GBP ORD Purchase 52,745 3.7089 GBP ORD Purchase 82,655 3.7274 GBP ORD Purchase 94,934 3.7025 GBP ORD Purchase 100,903 3.7134 GBP ORD Purchase 109,100 45.0524 HKD ORD Purchase 159,203 3.7077 GBP ORD Purchase 168,864 3.7047 GBP ORD Purchase 203,642 3.7024 GBP ORD Purchase 247,884 3.7049 GBP ORD Purchase 272,349 3.7070 GBP ORD Purchase 300,828 3.6996 GBP ORD Purchase 373,166 3.6990 GBP ORD Purchase 400,000 3.7016 GBP ORD Purchase 459,254 3.7133 GBP ORD Purchase 466,616 3.7011 GBP ORD Purchase 977,378 3.7022 GBP ORD Sale 320 3.7010 GBP ORD Sale 587 3.7160 GBP ORD Sale 879 3.6950 GBP ORD Sale 1,000 3.6985 GBP ORD Sale 1,600 45.4000 HKD ORD Sale 3,362 3.7023 GBP ORD Sale 4,200 44.9500 HKD ORD Sale 4,829 3.7100 GBP ORD Sale 5,100 45.1500 HKD ORD Sale 5,747 3.7146 GBP ORD Sale 6,600 44.9000 HKD ORD Sale 8,200 44.7500 HKD ORD Sale 8,400 44.8500 HKD ORD Sale 9,000 45.0500 HKD ORD Sale 9,217 3.7003 GBP ORD Sale 12,649 3.7019 GBP ORD Sale 15,378 3.7130 GBP ORD Sale 18,700 45.0000 HKD ORD Sale 19,200 44.8000 HKD ORD Sale 22,554 3.7087 GBP ORD Sale 28,475 3.6913 GBP ORD Sale 39,320 3.7126 GBP ORD Sale 39,555 3.7131 GBP ORD Sale 55,449 3.7025 GBP ORD Sale 60,732 3.7016 GBP ORD Sale 73,000 45.1000 HKD ORD Sale 101,554 3.7022 GBP ORD Sale 142,522 3.7012 GBP ORD Sale 168,153 3.7033 GBP ORD Sale 249,600 3.7122 GBP ORD Sale 356,905 3.7110 GBP ORD Sale 357,653 3.7070 GBP ORD Sale 523,532 3.7040 GBP ORD Sale 850,000 3.7035 GBP (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 864 3.6912 GBP ORD CFD Long 1,000 44.9920 HKD ORD CFD Long 3,070 3.6995 GBP ORD CFD Long 43,900 44.8404 HKD ORD CFD Long 850,000 3.7035 GBP ORD CFD Short 100 46.2092 HKD ORD CFD Short 18,209 3.7393 GBP ORD CFD Short 43,900 3.7948 GBP ORD SWAP Short 82,655 3.7273 GBP ORD CFD Short 98,868 3.7030 GBP ORD CFD Short 209,507 3.7061 GBP ORD CFD Short 400,000 3.7016 GBP ORD CFD Short 424,638 3.7051 GBP ORD CFD Short 1,207,988 3.6996 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: 22 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 firstname.lastname@example.org. 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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