Form 8.5 (EPT/NON-RI) Glencore International - ...

Form 8.5 (EPT/NON-RI) Glencore International - Amendment

BARCLAYS PLC

Amendment

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 whose GLENCORE INTL 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: 14 January 2013
(e) Has the EPT previously disclosed, or is it YES:
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 security:   ORD
Interests   Short Positions
  Number   (%) Number   (%)
(1)   Relevant securities owned
and/or controlled: 4,620,706 0.06% 42,716,678 0.60%
           
(2) Derivatives (other than
options): 42,040,533 0.59% 2,296,223 0.03%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
46,661,239 0.65% 45,012,901 0.63%
 
Class of relevant security: Convertible Bond XS0475310396
Interests Short Positions
  Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 3,100,000 0.13% 0 0.00%
           
(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:
3,100,000 0.13% 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 Purchase 2,000,000 128.4500 USD
ORD Purchase 1,278 3.1975 GBP
ORD Purchase 1,319 3.9175 GBP
ORD Purchase 1,391 3.9027 GBP
ORD Purchase 1,708 3.9150 GBP
ORD Purchase 1,822 3.9157 GBP
ORD Purchase 2,200 48.2500 HKD
ORD Purchase 2,218 3.9075 GBP
ORD Purchase 2,291 3.8996 GBP
ORD Purchase 3,714 3.9091 GBP
ORD Purchase 3,992 3.9094 GBP
ORD Purchase 4,782 3.9087 GBP
ORD Purchase 5,128 3.9020 GBP
ORD Purchase 5,700 48.3500 HKD
ORD Purchase 5,808 3.9034 GBP
ORD Purchase 6,000 48.3000 HKD
ORD Purchase 7,530 3.9101 GBP
ORD Purchase 11,000 48.4000 HKD
ORD Purchase 11,538 3.9063 GBP
ORD Purchase 13,038 3.9083 GBP
ORD Purchase 25,700 48.6000 HKD
ORD Purchase 26,500 48.4500 HKD
ORD Purchase 30,500 48.5500 HKD
ORD Purchase 34,500 48.6500 HKD
ORD Purchase 50,250 3.9070 GBP
ORD Purchase 50,900 48.5000 HKD
ORD Purchase 81,440 3.9084 GBP
ORD Purchase 142,876 3.9030 GBP
ORD Purchase 142,877 3.9035 GBP
ORD Purchase 625,000 3.9040 GBP
ORD Purchase 962,578 3.9078 GBP
ORD Sale 100 48.0500 HKD
ORD Sale 100 48.4000 HKD
ORD Sale 300 48.4500 HKD
ORD Sale 300 48.6500 HKD
ORD Sale 600 48.5500 HKD
ORD Sale 900 48.5000 HKD
ORD Sale 1,148 3.9010 GBP
ORD Sale 1,910 3.9098 GBP
ORD Sale 2,000 3.9035 GBP
ORD Sale 2,654 3.9120 GBP
ORD Sale 3,154 3.9175 GBP
ORD Sale 6,173 3.9075 GBP
ORD Sale 10,053 3.9087 GBP
ORD Sale 21,642 3.9084 GBP
ORD Sale 47,385 3.9070 GBP
ORD Sale 48,372 3.9077 GBP
ORD Sale 61,350 3.9061 GBP
ORD Sale 67,243 3.9051 GBP
ORD Sale 78,343 3.9064 GBP
ORD Sale 79,552 3.9037 GBP
ORD Sale 100,000 3.8978 GBP
ORD Sale 107,182 3.9055 GBP
ORD Sale 111,234 3.9076 GBP
ORD Sale 133,609 3.9053 GBP
ORD Sale 174,300 3.9162 GBP
ORD Sale 178,200 48.5195 HKD
ORD Sale 192,757 3.9036 GBP
ORD Sale 454,205 3.9048 GBP

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Long 12 3.9091 GBP
ORD CFD Long 100 48.3372 HKD
ORD CFD Long 2,200 48.4484 HKD
ORD CFD Long 3,662 3.9037 GBP
ORD CFD Long 7,732 3.9074 GBP
ORD CFD Long 8,456 3.9052 GBP
ORD CFD Long 67,243 3.9051 GBP
ORD CFD Long 100,000 3.8978 GBP
ORD CFD Long 161,008 3.9061 GBP
ORD CFD Long 189,095 3.9036 GBP
ORD CFD Short 14,466 3.9063 GBP
ORD CFD Short 14,800 48.6121 HKD

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(ii) Exercising

Class of relevant security   Product description

e.g. call option

  Number of securities   Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security   Nature of dealing

e.g. subscription, conversion

  Details   Price per unit (if applicable)

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: 16 Jan 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 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.

Companies

Glencore (GLEN)
UK 100

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