XTA: BARCLAYS PLC: Form 8.5 (EPT/NON-RI) - Xstrata Plc - Amendment 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: 6 March 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 security: ORD Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 12,407,022 0.41% 1,271,019 0.04% (2) Derivatives (other than options): 738,126 0.02% 30,775,364 1.02% (3) Options and agreements to purchase/sell: 22,260,583 0.74% 850,000 0.03% (4) TOTAL: 35,405,731 1.18% 32,896,383 1.09% 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 352 11.6375 GBP ORD Purchase 861 11.6150 GBP ORD Purchase 1,000 11.6450 GBP ORD Purchase 1,794 11.7154 GBP ORD Purchase 1,897 11.6917 GBP ORD Purchase 3,820 11.6226 GBP ORD Purchase 4,720 11.6501 GBP ORD Purchase 11,767 11.6439 GBP ORD Purchase 13,586 11.7320 GBP ORD Purchase 17,166 11.6161 GBP ORD Purchase 25,000 11.3447 GBP ORD Purchase 25,000 11.5566 GBP ORD Purchase 25,000 11.6107 GBP ORD Purchase 30,622 11.6353 GBP ORD Purchase 31,822 11.6582 GBP ORD Purchase 33,166 11.6191 GBP ORD Purchase 52,462 11.6387 GBP ORD Purchase 85,566 11.6200 GBP ORD Purchase 130,359 11.6443 GBP ORD Purchase 258,303 11.6500 GBP ORD Sale 49 11.6100 GBP ORD Sale 904 11.7235 GBP ORD Sale 1,897 11.6917 GBP ORD Sale 2,455 11.6537 GBP ORD Sale 5,631 11.6721 GBP ORD Sale 6,937 11.6207 GBP ORD Sale 9,875 11.6206 GBP ORD Sale 17,237 11.6851 GBP ORD Sale 25,190 11.6485 GBP ORD Sale 25,427 11.6277 GBP ORD Sale 29,715 11.6745 GBP ORD Sale 36,976 11.6602 GBP ORD Sale 42,263 11.6356 GBP ORD Sale 91,095 11.6564 GBP ORD Sale 120,000 11.6702 GBP ORD Sale 260,539 11.6119 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 49 11.6091 GBP ORD SWAP Long 904 11.7230 GBP ORD SWAP Long 6,222 11.6517 GBP ORD CFD Long 10,000 11.6390 GBP ORD CFD Long 25,000 11.6240 GBP ORD CFD Long 120,000 11.6702 GBP ORD CFD Long 258,303 11.6500 GBP ORD SWAP Short 1,808 11.6729 GBP ORD CFD Short 2,695 11.7615 GBP ORD SWAP Short 3,793 11.6442 GBP ORD CFD Short 11,738 11.7253 GBP ORD CFD Short 25,000 11.3446 GBP ORD CFD Short 25,000 11.5566 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: 8 Mar 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 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. 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 positions/dealings BARCLAYS CAPITAL SECURITIES 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 8 Mar 2013 ORD Put Options Written -600,000 8.2000 American 8 Mar 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 - Amendment
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