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 (“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 relevant securities
this form relates:
Use a separate form for each offeror/offeree |
 |
GLENCORE INTL PLC |
(c) Name of the party to the offer with which exempt principal trader is connected: | Â |
Advisor to Offeree |
(d) Date position held/dealing undertaken: | Â |
13 March 2013 |
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | Â |
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 | ||||||||
 |  | Number | (%) | Number | (%) | ||||||
(1) | Relevant securities owned | ||||||||||
and/or controlled: | 3,301,033 | 0.05% | 45,839,509 | 0.65% | |||||||
 |  |  |  |  |  | ||||||
(2) | Derivatives (other than | ||||||||||
options): | 40,510,505 | 0.57% | 1,272,488 | 0.02% | |||||||
 |  |  |  |  |  | ||||||
(3) | Options and agreements to | ||||||||||
purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
 |  |  |  |  |  | ||||||
(4) | TOTAL: | ||||||||||
43,811,538 | 0.62% | 47,111,997 | 0.66% | ||||||||
 |  |  |  |  |  | ||||||
Class of relevant security: | Â | Convertible Bond XS0475310396 | Â | Â | Â | ||||||
Interests | Â | Short Positions | Â | ||||||||
 |  | Number | (%) | Number | (%) | ||||||
(1) | Relevant securities owned | ||||||||||
and/or controlled: | 3,500,000 | 0.15% | 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: | ||||||||||
3,500,000 | 0.15% | 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) | Â | Purchases and sales | Â | Â | Â | Â | |
Class of relevant | Purchase/sale | Number of | Price per unit | ||||
security | Â | securities | Â | ||||
ORD | Purchase | 100 | 45.1000 HKD | ||||
ORD | Purchase | 518 | 3.8735 GBP | ||||
ORD | Purchase | 600 | 44.7500 HKD | ||||
ORD | Purchase | 2,452 | 3.8522 GBP | ||||
ORD | Purchase | 1,562 | 3.8675 GBP | ||||
ORD | Purchase | 3,848 | 3.8592 GBP | ||||
ORD | Purchase | 10,448 | 3.8665 GBP | ||||
ORD | Purchase | 10,959 | 3.8596 GBP | ||||
ORD | Purchase | 16,574 | 3.8757 GBP | ||||
ORD | Purchase | 16,895 | 3.8586 GBP | ||||
ORD | Purchase | 18,426 | 3.8704 GBP | ||||
ORD | Purchase | 24,060 | 3.8664 GBP | ||||
ORD | Purchase | 29,268 | 3.8628 GBP | ||||
ORD | Purchase | 33,202 | 3.8752 GBP | ||||
ORD | Purchase | 51,187 | 3.8697 GBP | ||||
ORD | Purchase | 160,292 | 3.8650 GBP | ||||
ORD | Purchase | 167,658 | 3.8657 GBP | ||||
ORD | Sale | 518 | 3.8735 GBP | ||||
ORD | Sale | 700 | 45.3500 HKD | ||||
ORD | Sale | 756 | 3.8560 GBP | ||||
ORD | Sale | 888 | 3.8590 GBP | ||||
ORD | Sale | 1,162 | 3.8517 GBP | ||||
ORD | Sale | 1,562 | 3.8675 GBP | ||||
ORD | Sale | 2,232 | 3.8591 GBP | ||||
ORD | Sale | 2,702 | 3.8683 GBP | ||||
ORD | Sale | 3,393 | 3.8553 GBP | ||||
ORD | Sale | 7,105 | 3.8620 GBP | ||||
ORD | Sale | 7,185 | 3.8581 GBP | ||||
ORD | Sale | 8,211 | 3.8724 GBP | ||||
ORD | Sale | 11,961 | 3.8563 GBP | ||||
ORD | Sale | 12,637 | 3.8908 GBP | ||||
ORD | Sale | 16,837 | 3.8637 GBP | ||||
ORD | Sale | 32,519 | 3.8598 GBP | ||||
ORD | Sale | 49,453 | 3.8651 GBP | ||||
ORD | Sale | 93,283 | 3.8689 GBP | ||||
ORD | Sale | 94,176 | 3.8719 GBP | ||||
ORD | Sale | 110,914 | 3.8713 GBP | ||||
ORD | Sale | 124,865 | 3.8644 GBP | ||||
ORD | Sale | 161,921 | 3.8642 GBP | ||||
ORD | Sale | 279,896 | 3.8677 GBP | ||||
ORD (traded as ADR) | Purchase | 140 | 11.4800 USD | ||||
ORD (traded as ADR) | Sale | 140 | 11.4800 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 | CFD | Long | 700 | 45.2952 HKD | |||||
ORD | SWAP | Long | 3,200 | 3.8625 GBP | |||||
ORD | SWAP | Long | 4,328 | 3.8642 GBP | |||||
ORD | CFD | Long | 25,376 | 3.8559 GBP | |||||
ORD | CFD | Long | 54,125 | 3.8542 GBP | |||||
ORD | CFD | Long | 182,241 | 3.8765 GBP | |||||
ORD | CFD | Long | 183,532 | 3.8656 GBP | |||||
ORD | CFD | Short | 700 | 44.8546 HKD | |||||
ORD | CFD | Short | 3,889 | 3.8599 GBP | |||||
ORD | SWAP | Short | 13,862 | 3.8680 GBP | |||||
ORD | SWAP | Short | 15,846 | 3.8719 GBP | |||||
ORD | SWAP | Short | 26,587 | 3.8636 GBP | |||||
ORD | CFD | Short | 16,549 | 3.8577 GBP | |||||
ORD | SWAP | Short | 33,202 | 3.8752 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 |
15 March 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.