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 XSTRATA PLC whose 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: 26 February 2013 (e) Has the EPT previously disclosed, or is YES: 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 controlled: 12,900,538 0.43% 1,194,257 0.04% (2) Derivatives (other than options): 654,807 0.02% 32,303,720 1.08% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 1,475,416 0.05% (4) TOTAL: 35,815,928 1.19% 34,973,393 1.16% 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 400 11.4500 GBP ORD Purchase 1,101 11.3370 GBP ORD Purchase 1,649 11.3656 GBP ORD Purchase 1,938 11.3460 GBP ORD Purchase 2,324 11.2319 GBP ORD Purchase 2,713 11.3934 GBP ORD Purchase 4,875 11.3909 GBP ORD Purchase 7,140 11.4489 GBP ORD Purchase 7,384 11.4047 GBP ORD Purchase 7,784 11.4043 GBP ORD Purchase 8,063 11.3684 GBP ORD Purchase 19,589 11.3379 GBP ORD Purchase 23,740 11.3725 GBP ORD Purchase 24,034 11.3515 GBP ORD Purchase 33,013 11.4400 GBP ORD Purchase 58,250 11.3561 GBP ORD Purchase 58,250 11.3803 GBP ORD Purchase 65,249 11.3400 GBP ORD Purchase 75,598 11.3320 GBP ORD Sale 835 11.4500 GBP ORD Sale 1,470 11.3898 GBP ORD Sale 2,366 11.4308 GBP ORD Sale 3,282 11.4021 GBP ORD Sale 3,557 11.3802 GBP ORD Sale 3,644 11.4031 GBP ORD Sale 4,278 11.4450 GBP ORD Sale 5,028 11.4400 GBP ORD Sale 6,497 11.3737 GBP ORD Sale 7,384 11.4047 GBP ORD Sale 10,790 11.4309 GBP ORD Sale 11,900 11.3944 GBP ORD Sale 22,122 11.3666 GBP ORD Sale 58,907 11.3863 GBP ORD Sale 69,973 11.3321 GBP ORD Sale 93,000 11.4000 GBP ORD Sale 149,645 11.3637 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 4,000 11.4382 GBP ORD CFD Long 5,960 11.4315 GBP ORD SWAP Long 8,640 11.3797 GBP ORD CFD Long 8,570 11.4434 GBP ORD SWAP Long 69,973 11.3321 GBP ORD SWAP Long 93,000 11.4000 GBP ORD CFD Short 3,536 11.3287 GBP ORD SWAP Short 5,440 11.3653 GBP ORD CFD Short 19,589 11.3379 GBP ORD CFD Short 58,250 11.3561 GBP ORD CFD Short 58,250 11.3803 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: 27 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. 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 28 Feb 2013 ORD Put Options Written -600,000 8.2000 American 28 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
XTA: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) Xstrata Plc
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