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 GLENCORE INTL 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: 30 April 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? XSTRATA 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 10,075,380 0.14% 45,132,533 0.64% controlled: (2) Derivatives (other than options): 40,861,745 0.58% 7,992,226 0.11% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 50,937,125 0.72% 53,124,759 0.75% Class of Convertible relevant Bond security: XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or 3,400,000 0.15% 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% ` TOTAL: 3,400,000 0.15% 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 Sale 1,000,000 115.0000 USD ORD Purchase 100 38.7500 HKD ORD Purchase 100 38.8500 HKD ORD Purchase 800 38.7000 HKD ORD Purchase 819 3.2074 GBP ORD Purchase 873 3.1890 GBP ORD Purchase 1,000 39.3000 HKD ORD Purchase 1,337 3.1949 GBP ORD Purchase 2,100 39.1000 HKD ORD Purchase 2,200 3.1765 GBP ORD Purchase 11,897 3.1971 GBP ORD Purchase 14,598 3.1834 GBP ORD Purchase 34,752 3.2089 GBP ORD Purchase 35,042 3.1963 GBP ORD Purchase 36,829 3.1924 GBP ORD Purchase 54,676 3.1699 GBP ORD Purchase 76,265 3.2280 GBP ORD Purchase 90,355 3.2072 GBP ORD Purchase 100,000 3.1870 GBP ORD Purchase 132,399 3.2248 GBP ORD Purchase 140,544 3.1951 GBP ORD Purchase 156,801 3.1695 GBP ORD Purchase 172,593 3.2478 GBP ORD Purchase 912,127 3.1901 GBP ORD Purchase 2,021,506 3.1729 GBP ORD Sale 796 3.1722 GBP ORD Sale 2,619 3.2000 GBP ORD Sale 3,100 39.1645 HKD ORD Sale 8,080 3.2580 GBP ORD Sale 11,065 3.2639 GBP ORD Sale 11,933 3.2376 GBP ORD Sale 11,941 3.1994 GBP ORD Sale 20,000 3.3144 GBP ORD Sale 40,428 3.1915 GBP ORD Sale 50,000 3.1845 GBP ORD Sale 75,000 3.2390 GBP ORD Sale 80,606 3.2635 GBP ORD Sale 100,000 3.1920 GBP ORD Sale 100,000 3.2170 GBP ORD Sale 109,602 3.2073 GBP ORD Sale 117,397 3.2006 GBP ORD Sale 132,399 3.1657 GBP ORD Sale 157,083 3.2145 GBP ORD Sale 162,566 3.1954 GBP ORD Sale 200,000 3.1664 GBP ORD Sale 304,950 3.2254 GBP ORD Sale 603,433 3.1949 GBP ORD Sale 610,760 3.2314 GBP ORD Sale 2,255,009 3.1695 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 7,877 3.1627 GBP ORD CFD Long 14,058 3.1980 GBP ORD SWAP Long 45,442 3.1924 GBP ORD SWAP Long 102,502 3.2085 GBP ORD CFD Long 57,333 3.2555 GBP ORD CFD Long 145,943 3.2497 GBP ORD CFD Long 304,950 3.2254 GBP ORD CFD Long 343,638 3.2095 GBP ORD CFD Short 1,000 38.7667 HKD ORD CFD Short 4,000 3.1662 GBP ORD CFD Short 4,006 3.1860 GBP ORD CFD Short 11,502 3.2061 GBP ORD CFD Short 23,264 3.1858 GBP ORD SWAP Short 54,676 3.1699 GBP ORD CFD Short 38,048 3.1987 GBP ORD SWAP Short 97,638 3.2039 GBP ORD CFD Short 100,000 3.1870 GBP ORD SWAP Short 103,367 3.2093 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: 1 May 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 email@example.com. 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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