Form 8.5 (EPT/NON-RI) - GLENCORE INTL PLC - AME...

Form 8.5 (EPT/NON-RI) - GLENCORE INTL 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)	Â	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:		12 July 2012
(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	Â	ORD	Â	Â	Â	Â	Â	Â
				Interests		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		4,447,160		0.07%		15,778,792		0.23%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		13,624,823		0.20%		1,844,349		0.03%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		1,590,000		0.02%		2,000,000		0.03%
Â		Â		Â		Â		Â		Â
(4)		TOTAL:
				19,661,983		0.29%		19,623,141		0.28%
											Â
Class of relevant security:		Â		Convertible Bond XS0475310396		Â		Â		Â
				Interests		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		2,000,000		0.09%		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:
				2,000,000		0.09%		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		20		3.0940 GBP
ORD		Purchase		100		37.3500 HKD
ORD		Purchase		413		3.0937 GBP
ORD		Purchase		839		3.0950 GBP
ORD		Purchase		1,745		3.0965 GBP
ORD		Purchase		3,932		3.0917 GBP
ORD		Purchase		4,357		3.0794 GBP
ORD		Purchase		6,260		3.0907 GBP
ORD		Purchase		9,720		3.0820 GBP
ORD		Purchase		15,000		3.0685 GBP
ORD		Purchase		16,773		3.0948 GBP
ORD		Purchase		20,100		37.2000 HKD
ORD		Purchase		20,531		3.1033 GBP
ORD		Purchase		34,537		3.1001 GBP
ORD		Purchase		43,300		37.6777 HKD
ORD		Purchase		87,739		3.1039 GBP
ORD		Purchase		236,354		3.0975 GBP
ORD		Sale		100		37.5500 HKD
ORD		Sale		200		37.4500 HKD
ORD		Sale		300		37.2500 HKD
ORD		Sale		1,090		3.0769 GBP
ORD		Sale		1,100		37.5000 HKD
ORD		Sale		1,428		3.1057 GBP
ORD		Sale		1,800		37.3500 HKD
ORD		Sale		3,838		3.0901 GBP
ORD		Sale		420,000		3.1193 GBP
ORD		Sale		11,184		3.1141 GBP
ORD		Sale		5,710		3.1068 GBP
ORD		Sale		6,200		37.7500 HKD
ORD		Sale		6,500		37.8000 HKD
ORD		Sale		6,300		37.6500 HKD
ORD		Sale		8,800		37.7000 HKD
ORD		Sale		8,998		3.0909 GBP
ORD		Sale		9,000		37.2102 HKD
ORD		Sale		9,547		3.1051 GBP
ORD		Sale		14,632		3.0868 GBP
ORD		Sale		15,216		3.0870 GBP
ORD		Sale		15,874		3.0977 GBP
ORD		Sale		16,900		37.6000 HKD
ORD		Sale		17,135		3.1014 GBP
ORD		Sale		18,245		3.1070 GBP
ORD		Sale		25,667		3.0889 GBP
ORD		Sale		34,558		3.0929 GBP
ORD		Sale		50,545		3.0838 GBP
ORD		Sale		57,241		3.1016 GBP
ORD		Sale		67,818		3.1238 GBP
ORD		Sale		70,326		3.1201 GBP
ORD		Sale		86,076		3.0985 GBP
ORD		Sale		101,621		3.0905 GBP
ORD		Sale		54,841		3.1185 GBP
ORD		Sale		139,242		3.0890 GBP

(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		CFD		Long		200		37.7022 HKD
ORD		CFD		Long		2,000		37.2902 HKD
ORD		SWAP		Long		11,184		3.1141 GBP
ORD		SWAP		Long		15,874		3.0977 GBP
ORD		CFD		Long		20,100		3.1096 GBP
ORD		CFD		Long		21,035		3.1052 GBP
ORD		SWAP		Long		23,506		3.0956 GBP
ORD		SWAP		Long		66,788		3.1021 GBP
ORD		SWAP		Long		67,818		3.1238 GBP
ORD		CFD		Long		109,682		3.1185 GBP
ORD		SWAP		Long		115,100		3.0882 GBP
ORD		SWAP		Long		420,000		3.1193 GBP
ORD		CFD		Short		2,000		3.1022 GBP
ORD		SWAP		Short		4,237		3.0807 GBP
ORD		CFD		Short		9,160		3.0944 GBP
ORD		SWAP		Short		14,077		3.0812 GBP
ORD		CFD		Short		20,100		37.2446 HKD

(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.

Â

Expiry date

Â

Option money paid/ received per unit

(ii) Exercising

Class of relevant security

Â

Product description e.g. call option

Â

Number of securities

Â

Exercise price per unit

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

Class of relevant security

Â

Nature of dealing e.g. subscription, conversion

Â

Details

Â

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

Yes

Date of disclosure:	Â	16 Jul 2012
Contact name:	Â	Geoff Smith
Telephone number:	Â	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 [e-mail]. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on [phone].

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

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	Â	BARCLAYS CAPITAL SECURITIES LTD
are being disclosed:		Â
Name of offeror/offeree in relation to whose		GLENCORE INTL PLC
relevant securities this from relates:		Â

2. OPTIONS AND DERIVATIVES

Class

Â

Product

Â

Writing,

Â

Number

Â

Exercise

Â

Type

Â

Expiry

of

description

purchasing,

of

price

date

relevant

selling,

securities

per unit

security

varying etc

to which

option

Â

Â

Â

relates

Â

Â

Â

ORD

Call Options

Purchased

380,000

4.0000

European

25 Jul 2012

ORD

Put Options

Purchased

1,000,000

3.2000

American

14 Jul 2012

ORD

Put Options

Written

-1,000,000

4.8000

American

14 Jul 2012

ORD

Call Options

Purchased

210,000

3.1000

American

14 Jul 2012

ORD

Call Options

Written

-1,000,000

4.8000

American

14 Jul 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 [phone].

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.