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: 1 May 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 (%) Relevant (1) securities owned and/or 13,333,586 0.19% 44,723,548 0.63% controlled: (2) Derivatives (other than options): 40,384,283 0.57% 8,338,651 0.12% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 53,717,869 0.76% 53,062,199 0.75% Class of Convertible Bond relevant XS0475310396 security: Interests Short Positions Number (%) Number (%) Relevant (1) 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% (4) TOTAL: 3,400,000 0.15% 0 0.00% Class of relevant ADR security: Interests Short Positions Number (%) Number (%) Relevant (1) securities owned and/or 0 0.00% 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: 0 0.00% 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 ORD Purchase 7,036 3.1728 GBP ORD Purchase 11,422 3.1283 GBP ORD Purchase 12,300 3.2053 GBP ORD Purchase 18,090 3.1962 GBP ORD Purchase 18,469 3.2010 GBP ORD Purchase 20,377 3.2025 GBP ORD Purchase 54,345 3.1852 GBP ORD Purchase 72,435 3.1879 GBP ORD Purchase 128,632 3.1970 GBP ORD Purchase 129,301 3.1940 GBP ORD Purchase 162,968 3.1430 GBP ORD Purchase 246,700 3.1982 GBP ORD Purchase 663,222 3.1385 GBP ORD Purchase 3,114,460 TRANSFER ORD Sale 1,481 3.2174 GBP ORD Sale 2,395 3.1485 GBP ORD Sale 7,125 3.1469 GBP ORD Sale 8,295 3.1525 GBP ORD Sale 8,480 3.2006 GBP ORD Sale 9,521 3.2008 GBP ORD Sale 12,501 3.2010 GBP ORD Sale 16,190 3.1421 GBP ORD Sale 18,350 3.1468 GBP ORD Sale 29,870 3.2021 GBP ORD Sale 30,749 3.1337 GBP ORD Sale 37,743 3.1753 GBP ORD Sale 69,164 3.1531 GBP ORD Sale 73,641 3.1430 GBP ORD Sale 120,204 3.1393 GBP ORD Sale 144,112 TRANSFER ORD Sale 165,523 3.1589 GBP ORD Sale 181,982 3.1674 GBP ORD Sale 251,885 3.1465 GBP ORD Sale 508,305 3.1462 GBP ORD (traded as ADR) Purchase 532 10.2500 USD ORD (traded as ADR) Purchase 600 9.7500 USD ORD (traded as ADR) Sale 532 10.2500 USD ORD (traded as ADR) Sale 600 9.7500 USD (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 4,841 3.2124 GBP ORD SWAP Long 21,083 3.2035 GBP ORD CFD Long 28,679 3.2091 GBP ORD SWAP Long 32,706 3.1637 GBP ORD CFD Long 43,434 3.2042 GBP ORD CFD Short 4,840 3.1253 GBP ORD CFD Short 19,292 3.1533 GBP ORD SWAP Short 20,183 3.2035 GBP ORD SWAP Short 205,400 3.1975 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: 2 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
Press spacebar to pause and continue. Press esc to stop.