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:		11 October 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:		9,915,598		0.14%		31,197,474		0.44%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		28,233,672		0.40%		7,860,775		0.11%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		1,727,600		0.02%		250,000		0.00%
Â		Â		Â		Â		Â		Â
(4)		TOTAL:
				39,876,870		0.56%		39,308,249		0.55%
											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:		1,700,000		0.07%		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:
				1,700,000		0.07%		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		41.6000 HKD
ORD		Purchase		1,054		3.3288 GBP
ORD		Purchase		1,384		3.3594 GBP
ORD		Purchase		1,500		3.3561 GBP
ORD		Purchase		2,049		3.3627 GBP
ORD		Purchase		4,545		3.3745 GBP
ORD		Purchase		5,200		41.5500 HKD
ORD		Purchase		5,246		3.3471 GBP
ORD		Purchase		7,378		3.3878 GBP
ORD		Purchase		8,000		3.3653 GBP
ORD		Purchase		9,307		3.3741 GBP
ORD		Purchase		10,313		3.3825 GBP
ORD		Purchase		14,888		3.3602 GBP
ORD		Purchase		23,372		3.3673 GBP
ORD		Purchase		23,619		3.3806 GBP
ORD		Purchase		24,225		3.3639 GBP
ORD		Purchase		27,230		3.3536 GBP
ORD		Purchase		28,500		41.3877 HKD
ORD		Purchase		32,428		3.3768 GBP
ORD		Purchase		32,996		3.3508 GBP
ORD		Purchase		40,289		3.3716 GBP
ORD		Purchase		79,370		3.3772 GBP
ORD		Purchase		139,362		3.3590 GBP
ORD		Purchase		139,362		3.3955 GBP
ORD		Purchase		206,484		3.3774 GBP
ORD		Purchase		278,725		3.3700 GBP
ORD		Sale		100		3.3430 GBP
ORD		Sale		124		3.3572 GBP
ORD		Sale		200		41.9500 HKD
ORD		Sale		300		41.4500 HKD
ORD		Sale		500		41.6000 HKD
ORD		Sale		500		41.7500 HKD
ORD		Sale		738		3.3846 GBP
ORD		Sale		1,447		3.3584 GBP
ORD		Sale		2,500		3.3664 GBP
ORD		Sale		2,500		41.3500 HKD
ORD		Sale		2,578		3.3580 GBP
ORD		Sale		2,686		3.3437 GBP
ORD		Sale		2,800		41.5000 HKD
ORD		Sale		2,886		3.3697 GBP
ORD		Sale		6,400		41.5500 HKD
ORD		Sale		8,432		3.3805 GBP
ORD		Sale		10,300		41.3000 HKD
ORD		Sale		10,682		3.3825 GBP
ORD		Sale		11,000		41.4000 HKD
ORD		Sale		17,074		3.3896 GBP
ORD		Sale		18,341		3.3795 GBP
ORD		Sale		20,894		3.3686 GBP
ORD		Sale		31,774		3.3740 GBP
ORD		Sale		32,530		3.3763 GBP
ORD		Sale		33,792		3.3884 GBP
ORD		Sale		70,629		3.3711 GBP
ORD		Sale		76,300		3.3845 GBP
ORD		Sale		80,457		3.3834 GBP
ORD		Sale		80,650		3.3760 GBP
ORD		Sale		97,705		3.3666 GBP
ORD		Sale		209,394		3.3692 GBP
ORD		Sale		278,725		3.3710 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		SWAP		Long		1,800		3.3885 GBP
ORD		CFD		Long		2,500		3.3664 GBP
ORD		CFD		Long		21,578		3.3718 GBP
ORD		SWAP		Long		27,189		3.3715 GBP
ORD		CFD		Long		86,589		3.3697 GBP
ORD		SWAP		Long		102,403		3.3720 GBP
ORD		SWAP		Short		6,100		3.3668 GBP
ORD		SWAP		Short		9,307		3.3741 GBP
ORD		CFD		Short		11,768		3.3381 GBP
ORD		CFD		Short		19,842		3.3492 GBP
ORD		CFD		Short		27,230		3.3536 GBP
ORD		SWAP		Short		64,514		3.3687 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.

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	15 Oct 2012
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 [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

363,800

3.8500

European

13 Nov 2012

ORD

Call Options

Purchased

363,800

4.1000

European

16 Oct 2012

ORD

Put Options

Purchased

1,000,000

3.2000

American

13 Oct 2012

ORD

Call Options

Written

-250,000

3.6000

American

13 Oct 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.