Form 8.5 (EPT/NON-RI) - Xstrata Plc - Amendment

Form 8.5 (EPT/NON-RI) - Xstrata Plc - Amendment

BARCLAYS PLC

FORM 8.5 (EPT/NON-RI) - AMENDMENT

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 XSTRATA PLC
  relevant securities this form relates:  
(c) Name of the party to the offer with which exempt Advisor to Offeree
  principal trader is connected  
(d) Date position held/dealing undertaken: 5 July 2012
(e) Has the EPT previously disclosed, or is it YES:
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:  

12,746,773

 

0.42%

 

2,542,541

 

0.08%

(2) Derivatives (other than

options):

 

2,170,794

 

0.07%

 

31,694,661

 

1.06%

(3) Options and agreements to purchase/sell:  

25,907,546

 

0.86%

 

2,364,718

 

0.08%

TOTAL:

 

40,825,113

 

1.35%

 

36,601,920

 

1.22%

(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:  
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 1,045 12.3500 CHF
ORD Purchase 1,140 8.3684 GBP
ORD Purchase 353 8.5243 GBP
ORD Purchase 1,627 8.3399 GBP
ORD Purchase 1,222 8.4296 GBP
ORD Purchase 1,270 12.4500 CHF
ORD Purchase 1,585 12.4000 CHF
ORD Purchase 1,803 8.3600 GBP
ORD Purchase 2,085 12.5000 CHF
ORD Purchase 3,670 8.4536 GBP
ORD Purchase 4,001 12.8000 CHF
ORD Purchase 4,653 8.3703 GBP
ORD Purchase 5,403 12.7000 CHF
ORD Purchase 5,500 12.5500 CHF
ORD Purchase 6,000 12.9500 CHF
ORD Purchase 10,140 8.4580 GBP
ORD Purchase 10,339 12.6500 CHF
ORD Purchase 16,220 12.6000 CHF
ORD Purchase 19,602 8.4667 GBP
ORD Purchase 19,794 8.3308 GBP
ORD Purchase 20,300 12.7500 CHF
ORD Purchase 24,600 12.8500 CHF
ORD Purchase 48,397 8.4547 GBP
ORD Purchase 68,698 8.4526 GBP
ORD Purchase 69,742 8.4236 GBP
ORD Purchase 120,774 8.4808 GBP
ORD Purchase 148,351 8.4161 GBP
ORD Purchase 181,315 8.4291 GBP
ORD Purchase 400,000 8.3404 GBP
ORD Purchase 616,566 8.4008 GBP
ORD Purchase 752,447 8.4535 GBP
ORD Sale 900 12.6000 CHF
ORD Sale 1,222 8.4300 GBP
ORD Sale 2,100 12.9000 CHF
ORD Sale 2,257 8.3354 GBP
ORD Sale 3,321 8.6260 GBP
ORD Sale 3,761 8.4011 GBP
ORD Sale 7,471 8.4371 GBP
ORD Sale 8,540 8.4589 GBP
ORD Sale 11,705 12.7500 CHF
ORD Sale 20,409 8.4580 GBP
ORD Sale 21,989 8.5298 GBP
ORD Sale 22,534 8.4398 GBP
ORD Sale 23,135 8.5530 GBP
ORD Sale 23,655 8.4085 GBP
ORD Sale 26,925 12.8500 CHF
ORD Sale 34,031 8.5310 GBP
ORD Sale 46,455 12.8000 CHF
ORD Sale 67,770 8.4045 GBP
ORD Sale 68,698 8.4530 GBP
ORD Sale 75,034 8.4576 GBP
ORD Sale 78,159 8.3380 GBP
ORD Sale 122,271 8.4500 GBP
ORD Sale 126,328 8.4533 GBP
ORD Sale 126,515 8.4165 GBP
ORD Sale 146,500 8.5148 GBP
ORD Sale 311,488 8.4410 GBP
ORD Sale 428,459 8.4518 GBP
ORD Sale 616,566 8.4008 GBP
 

(b) Derivatives transactions (other than options)

 
Class of relevant security

Product description

Nature of dealing

Number of reference securities

Price per unit

 

 

 

   

 

 
ORD CFD Long 1,375 8.3653 GBP
ORD SWAP Long 1,700 8.3917 GBP
ORD CFD Long 1,844 8.4577 GBP
ORD CFD Long 3,761 8.4011 GBP
ORD SWAP Long 8,540 8.4590 GBP
ORD CFD Long 88,085 12.8070 CHF
ORD CFD Long 150,013 8.4105 GBP
ORD SWAP Short 353 8.5243 GBP
ORD SWAP Short 1,627 8.3399 GBP
ORD CFD Short 15,197 8.4476 GBP
ORD CFD Short 50,000 8.4108 GBP
ORD CFD Short 98,348 12.7229 CHF
ORD CFD Short 400,000 8.3404 GBP
 
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying            
Class Product Writing, Number Exercise Type Expiry Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
      relates        
               
 
(ii) Exercising    
Class of relevant Product description Number of Exercise price per
security   securities unit
       
 
(d) Other dealings (including subscribing for new securities)  
Class of relevant Nature of Dealings Details Price per unit (if
security     applicable)

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:  

7/9/2012

Contact name:   Geoff Smith
Telephone number:   020 7116 2913
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 Put Options Purchased 2,570,863 7.9303 European 18 Jun 2013
ORD Put Options Purchased 912,000 8.0000 American 7 Jul 2012
ORD Put Options Written -412,000 7.4000 American 7 Jul 2012
ORD Put Options Written -1,000,000 8.0000 American 7 Jul 2012
ORD Put Options Written -850,000 11.0000 American 7 Jul 2012
ORD Call Options Purchased 500,000 11.0000 American 7 Jul 2012
ORD Call Options Written -50,600 10.5037 European 2 Aug 2012
ORD Call Options Written -52,118 12.0000 European 27 Feb 2013
ORD Equity Forward Purchased 21,924,683 20.5248   17 Jun 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:

 

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 monitoring@disclosure.org.uk. 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.

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