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: 18 June 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? 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: 3,576,231 0.05% 18,550,117 0.27%
           
(2) Derivatives (other than
options): 15,891,087 0.23% 2,346,786 0.03%
           
(3) Options and agreements to
purchase/sell: 1,760,000 0.03% 2,075,900 0.03%
           
(4) TOTAL:
21,227,318 0.31% 22,972,803 0.33%
Class of relevant security:     Convertible Bond            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,700,000 0.20% 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:
4,700,000 0.20% 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 200 3.3945 GBP
ORD Purchase 318 3.3090 GBP
ORD Purchase 4,541 3.3557 GBP
ORD Purchase 18,485 3.3578 GBP
ORD Purchase 23,845 3.3373 GBP
ORD Purchase 41,528 3.3385 GBP
ORD Purchase 42,300 41.6326 HKD
ORD Purchase 46,806 3.2849 GBP
ORD Purchase 79,406 3.3477 GBP
ORD Purchase 89,101 3.3211 GBP
ORD Purchase 89,337 3.3107 GBP
ORD Purchase 96,345 3.3307 GBP
ORD Purchase 97,956 3.3518 GBP
ORD Purchase 98,711 3.3322 GBP
ORD Purchase 231,222 3.3400 GBP
ORD Purchase 290,458 3.3245 GBP
ORD Purchase 320,000 3.2982 GBP
ORD Purchase 354,879 3.3288 GBP
ORD Purchase 531,767 3.3338 GBP
ORD Purchase 1,003,937 3.3463 GBP
ORD Purchase 1,883 3.3549 GBP
ORD Purchase 33,494 3.4604 GBP
ORD Purchase 100 41.5000 HKD
ORD Purchase 700 41.6500 HKD
ORD Purchase 1,000 41.2500 HKD
ORD Purchase 4,800 41.7000 HKD
ORD Purchase 5,400 41.1500 HKD
ORD Sale 400 41.1500 HKD
ORD Sale 400 41.4500 HKD
ORD Sale 400 42.1000 HKD
ORD Sale 400 42.7500 HKD
ORD Sale 500 42.0500 HKD
ORD Sale 1,000 41.2000 HKD
ORD Sale 1,400 41.5500 HKD
ORD Sale 1,900 41.9000 HKD
ORD Sale 2,000 41.3000 HKD
ORD Sale 2,700 41.1000 HKD
ORD Sale 3,600 41.6000 HKD
ORD Sale 4,600 41.9500 HKD
ORD Sale 5,000 41.0000 HKD
ORD Sale 5,500 41.8500 HKD
ORD Sale 6,000 41.6500 HKD
ORD Sale 6,900 42.0000 HKD
ORD Sale 500 3.3925 GBP
ORD Sale 711 3.3668 GBP
ORD Sale 862 3.4705 GBP
ORD Sale 968 3.4070 GBP
ORD Sale 1,100 41.2727 HKD
ORD Sale 1,383 3.3855 GBP
ORD Sale 1,506 3.3933 GBP
ORD Sale 3,144 3.3476 GBP
ORD Sale 3,426 3.3948 GBP
ORD Sale 4,541 3.3559 GBP
ORD Sale 4,728 3.4515 GBP
ORD Sale 8,662 3.3178 GBP
ORD Sale 13,765 3.3498 GBP
ORD Sale 14,658 3.3119 GBP
ORD Sale 16,990 3.3728 GBP
ORD Sale 22,119 3.3237 GBP
ORD Sale 22,496 3.3791 GBP
ORD Sale 107,900 3.2802 GBP
ORD Sale 636 3.2840 GBP
ORD Sale 25,229 3.3182 GBP
ORD Sale 25,703 3.3587 GBP
ORD Sale 29,823 3.3400 GBP
ORD Sale 74,114 3.3213 GBP
ORD Sale 100,000 3.3393 GBP
ORD Sale 146,762 3.3310 GBP
ORD Sale 205,590 3.3410 GBP
ORD Sale 601,642 3.3220 GBP
ORD Sale 700,000 3.3380 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 400 42.6959 HKD
ORD SWAP Long 500 3.3925 GBP
ORD SWAP Long 2,600 3.3821 GBP
ORD CFD Long 13,969 3.3429 GBP
ORD CFD Long 137,656 3.3393 GBP
ORD SWAP Short 872 3.4386 GBP
ORD CFD Short 876 3.3440 GBP
ORD CFD Short 2,254 3.3994 GBP
ORD CFD Short 3,637 3.4103 GBP
ORD SWAP Short 4,100 3.3099 GBP
ORD CFD Short 5,595 3.3817 GBP
ORD CFD Short 6,775 3.3406 GBP
ORD CFD Short 10,446 3.3399 GBP
ORD CFD Short 10,496 3.3372 GBP
ORD CFD Short 10,900 41.4767 HKD
ORD SWAP Short 18,485 3.3578 GBP
ORD CFD Short 20,271 3.3592 GBP
ORD SWAP Short 46,806 3.2849 GBP
ORD CFD Short 89,337 3.3107 GBP
ORD SWAP Short 101,744 3.3221 GBP
ORD CFD Short 162,972 3.3441 GBP
ORD SWAP Short 379,559 3.3237 GBP
ORD CFD Short 393,207 3.3447 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:  

20 Jun 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 Call Options Purchased 760,000 4.0000 European 25 Jul 2012
ORD Put Options Purchased 1,000,000 3.2000 American 20 Jun 2012
ORD Put Options Written -1,000,000 4.8000 American 20 Jun 2012
ORD Call Options Written -75,900 4.3890 European 6 Jul 2012
ORD Call Options Written -1,000,000 4.8000 American 20 Jun 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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