FORM 8.5 (EPT/NON-RI) Glencore International Plc
FORM 8.5 (EPT/NON-RI) Glencore International Plc
BARCLAYS PLC
FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RIâ€) STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the “Codeâ€)
1. KEY INFORMATION
| (a) | Name of exempt principal trader: | Â | BARCLAYS CAPITAL SECURITIES LTD |
| (b) | Name of offeror/offeree in relation to whose | GLENCORE INTL PLC | |
| Â | relevant securities this form relates: | Â | |
| (c) | Name of the party to the offer with which exempt | Advisor to Offeree | |
| Â | principal trader is connected | Â | |
| (d) | Date position held/dealing undertaken: | 22 April 2013 | |
| (e) | Has the EPT previously disclosed, or is it | YES: | |
| today disclosing, under the Code in respect | |||
| Â | 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: | Â | Â | ORD | Â | Â | Â | Â | Â | Â | |
| Interests | Â | Short Positions | ||||||||
| Â | Â | Number | (%) | Number | (%) | |||||
| (1) | Relevant securities owned | |||||||||
| and/or controlled: | 6,830,091 | 0.10% | 43,077,847 | 0.61% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (2) | Derivatives (other than | |||||||||
| options): | 38,746,888 | 0.55% | 4,451,199 | 0.06% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (3) | Options and agreements to | |||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (4) | TOTAL: | |||||||||
| 45,576,979 | 0.64% | 47,529,046 | 0.67% | |||||||
| Class of relevant security: | Â | Â | Convertible Bond XS0475310396 | Â | Â | Â | Â | Â | Â | |
| Interests | Â | Short Positions | ||||||||
| Â | Â | Number | (%) | Number | (%) | |||||
| (1) | Relevant securities owned | |||||||||
| and/or controlled: | 3,900,000 | 0.16% | 0 | 0.00% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (2) | Derivatives (other than | |||||||||
| options): | 0 | 0.00% | 0 | 0.00% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (3) | Options and agreements to | |||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (4) | TOTAL: | |||||||||
| 3,900,000 | 0.16% | 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: | Â |
| Details, including nature of the rights concerned and relevant percentages: | Â |
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 | Â | Purchase/sale | Â | Number of | Â | Price per unit | |
| security | Â | securities | Â | ||||
| ORD | Purchase | 100 | 37.5000 HKD | ||||
| ORD | Purchase | 1,678 | 3.0806 GBP | ||||
| ORD | Purchase | 1,817 | 3.0837 GBP | ||||
| ORD | Purchase | 1,828 | 3.0678 GBP | ||||
| ORD | Purchase | 2,682 | 3.0704 GBP | ||||
| ORD | Purchase | 3,219 | 3.1181 GBP | ||||
| ORD | Purchase | 8,623 | 3.1279 GBP | ||||
| ORD | Purchase | 22,812 | 3.0879 GBP | ||||
| ORD | Purchase | 22,821 | 3.0941 GBP | ||||
| ORD | Purchase | 30,700 | 37.4114 HKD | ||||
| ORD | Purchase | 35,292 | 3.0917 GBP | ||||
| ORD | Purchase | 36,773 | 3.1049 GBP | ||||
| ORD | Purchase | 47,866 | 3.0972 GBP | ||||
| ORD | Purchase | 142,574 | 3.0575 GBP | ||||
| ORD | Purchase | 142,574 | 3.0790 GBP | ||||
| ORD | Purchase | 229,962 | 3.0942 GBP | ||||
| ORD | Purchase | 287,000 | 3.0746 GBP | ||||
| ORD | Purchase | 302,047 | 3.0984 GBP | ||||
| ORD | Sale | 100 | 37.2500 HKD | ||||
| ORD | Sale | 200 | 37.5500 HKD | ||||
| ORD | Sale | 200 | 37.6000 HKD | ||||
| ORD | Sale | 300 | 37.1500 HKD | ||||
| ORD | Sale | 300 | 37.8000 HKD | ||||
| ORD | Sale | 374 | 3.1400 GBP | ||||
| ORD | Sale | 762 | 3.1455 GBP | ||||
| ORD | Sale | 800 | 37.6500 HKD | ||||
| ORD | Sale | 1,000 | 37.4500 HKD | ||||
| ORD | Sale | 1,100 | 37.1000 HKD | ||||
| ORD | Sale | 1,500 | 37.2000 HKD | ||||
| ORD | Sale | 1,500 | 37.3500 HKD | ||||
| ORD | Sale | 1,500 | 37.8500 HKD | ||||
| ORD | Sale | 1,810 | 3.0760 GBP | ||||
| ORD | Sale | 5,500 | 37.3000 HKD | ||||
| ORD | Sale | 5,800 | 37.5000 HKD | ||||
| ORD | Sale | 8,623 | 3.1280 GBP | ||||
| ORD | Sale | 10,900 | 37.4000 HKD | ||||
| ORD | Sale | 12,440 | 3.1356 GBP | ||||
| ORD | Sale | 16,653 | 3.0963 GBP | ||||
| ORD | Sale | 23,167 | 3.1009 GBP | ||||
| ORD | Sale | 32,000 | 3.1320 GBP | ||||
| ORD | Sale | 33,393 | 3.0679 GBP | ||||
| ORD | Sale | 63,493 | 3.1348 GBP | ||||
| ORD | Sale | 71,265 | 3.0740 GBP | ||||
| ORD | Sale | 141,753 | 3.1192 GBP | ||||
| ORD | Sale | 151,782 | 3.1360 GBP | ||||
| ORD | Sale | 164,647 | 3.1077 GBP | ||||
| ORD | Sale | 176,319 | 3.1297 GBP | ||||
| ORD | Sale | 265,611 | 3.0996 GBP | ||||
| ORD (traded as ADR) | Purchase | 200 | 9.3000 USD | ||||
| ORD (traded as ADR) | Purchase | 3,000 | 9.4106 USD | ||||
| ORD (traded as ADR) | Sale | 200 | 9.3000 USD | ||||
| ORD (traded as ADR) | Sale | 3,000 | 9.4106 USD |
(b) Derivatives transactions (other than options)
| Class of | Â | Product | Â | Nature of dealing | Â | Number of | Â | Price per | |
| relevant | description | reference | unit | ||||||
| security | Â | Â | securities | Â | |||||
| ORD | SWAP | Short | 629 | 3.1737 GBP |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
| Class of relevant security | Â | Product description e.g. call option | Â | Writing, purchasing, selling, varying etc. | Â | Number of securities to which option relates | Â | Exercise price per unit | Â |
Type
e.g. American, European etc. |
 | Expiry date |  | Option money paid/ received per unit |
(ii) Exercising
| Class of relevant security | Â |
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 | Â |
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? | Â | NO |
| Date of disclosure: | Â |
23 Apr 2013 |
| Contact name: | Â | Geoff Smith |
| Telephone number: | Â | 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 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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