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

Form 8.5 (EPT/NON-RI) Glencore International Plc - 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: 16 May 2012
(e) Has the EPT previously disclosed, or is it YES:
today disclosing, under the Code in respect XSTRATA PLC
  of any other party to this offer?  

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: 1,292,095 0.02% 10,037,392 0.15%
           
(2) Derivatives (other than
options): 8,841,302 0.13% 1,054,569 0.02%
           
(3) Options and agreements to
purchase/sell: 250,000 0.00% 2,325,900 0.03%
           
(4) TOTAL:
10,383,397 0.15% 13,417,861 0.20%
Class of relevant security:     Convertible Bond            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,200,000 0.05% 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:
1,200,000 0.05% 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 100 45.2000 HKD
ORD Purchase 100 45.2500 HKD
ORD Purchase 359 3.5175 GBP
ORD Purchase 1,029 3.5298 GBP
ORD Purchase 1,202 3.5155 GBP
ORD Purchase 1,226 3.5345 GBP
ORD Purchase 2,100 43.8500 HKD
ORD Purchase 3,500 43.9000 HKD
ORD Purchase 10,000 3.5228 GBP
ORD Purchase 17,640 3.5829 GBP
ORD Purchase 18,535 3.5899 GBP
ORD Purchase 37,982 3.5963 GBP
ORD Purchase 38,957 3.6315 GBP
ORD Purchase 47,860 3.5868 GBP
ORD Purchase 65,964 3.5740 GBP
ORD Purchase 88,498 3.5815 GBP
ORD Purchase 120,000 3.7067 GBP
ORD Purchase 151,200 45.0794 HKD
ORD Purchase 245,368 3.5512 GBP
ORD Purchase 370,015 3.5888 GBP
ORD Sale 162 3.6457 GBP
ORD Sale 200 45.2250 HKD
ORD Sale 300 44.6000 HKD
ORD Sale 359 3.5175 GBP
ORD Sale 600 44.7500 HKD
ORD Sale 600 45.6000 HKD
ORD Sale 800 43.7000 HKD
ORD Sale 933 3.5239 GBP
ORD Sale 1,100 45.5000 HKD
ORD Sale 1,155 3.5369 GBP
ORD Sale 1,263 3.5581 GBP
ORD Sale 1,306 3.5566 GBP
ORD Sale 1,366 3.6398 GBP
ORD Sale 1,737 3.6315 GBP
ORD Sale 2,000 45.5500 HKD
ORD Sale 2,255 3.5325 GBP
ORD Sale 2,715 3.6309 GBP
ORD Sale 2,838 3.5014 GBP
ORD Sale 3,100 44.0000 HKD
ORD Sale 3,300 45.3000 HKD
ORD Sale 5,070 3.5299 GBP
ORD Sale 9,000 44.6517 HKD
ORD Sale 9,800 45.2500 HKD
ORD Sale 10,000 3.6219 GBP
ORD Sale 10,000 3.6227 GBP
ORD Sale 10,000 44.3000 HKD
ORD Sale 10,000 44.5000 HKD
ORD Sale 10,000 44.6500 HKD
ORD Sale 10,400 44.1000 HKD
ORD Sale 12,000 45.2000 HKD
ORD Sale 23,677 3.5178 GBP
ORD Sale 30,556 3.5329 GBP
ORD Sale 500,000 3.6124 GBP
ORD Sale 26,000 45.4000 HKD
ORD Sale 29,696 3.6256 GBP
ORD Sale 37,609 3.6152 GBP
ORD Sale 45,200 3.5948 GBP
ORD Sale 51,200 45.4500 HKD
ORD Sale 56,000 3.5874 GBP
ORD Sale 115,000 3.6751 GBP
ORD Sale 143,003 3.5965 GBP
ORD Sale 151,200 3.5578 GBP
ORD Sale 264,641 3.5847 GBP
ORD Sale 333,021 3.5957 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 100 3.5705 GBP
ORD SWAP Long 1,263 3.5581 GBP
ORD SWAP Long 3,109 3.6401 GBP
ORD CFD Long 4,999 3.6135 GBP
ORD CFD Long 5,499 3.6126 GBP
ORD CFD Long 7,800 3.4997 GBP
ORD CFD Long 8,268 3.5026 GBP
ORD CFD Long 9,000 44.6517 HKD
ORD CFD Long 30,556 3.5328 GBP
ORD CFD Long 72,297 3.6404 GBP
ORD CFD Long 248,668 3.5834 GBP
ORD CFD Long 500,000 3.6123 GBP
ORD CFD Short 1,202 3.5155 GBP
ORD CFD Short 1,500 43.9054 HKD
ORD CFD Short 1,667 3.4816 GBP
ORD CFD Short 4,100 43.9482 HKD
ORD CFD Short 4,600 3.6108 GBP
ORD CFD Short 4,999 3.6303 GBP
ORD SWAP Short 10,563 3.5714 GBP
ORD CFD Short 25,000 3.6385 GBP
ORD CFD Short 40,000 3.5940 GBP
ORD SWAP Short 47,860 3.5868 GBP
ORD CFD Short 90,336 3.5266 GBP
ORD CFD Short 173,320 3.7353 GBP

(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?  

YES

Date of disclosure:  

21 May 2012

Contact name:   Geoff Smith
Telephone number:   020 7116 2913

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.

143221.01

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 GLENCORE INTL 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 250,000 4.4000 American 18 May 2012
ORD Put Options Written -1,000,000 4.8000 American 18 May 2012
ORD Call Options Written -75,900 4.3890 European 6 Jul 2012
ORD Call Options Written -250,000 4.6000 American 18 May 2012
ORD Call Options Written -1,000,000 4.8000 American 18 May 2012

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.

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