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)

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:	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	Â	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	21 DEC 2012
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer?	Â	YES: 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:		4,363,032		0.06%		37,900,916		0.53%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		37,354,582		0.53%		2,503,527		0.04%
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:
				41,717,614		0.59%		40,404,443		0.57%
											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:		3,400,000		0.14%		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:
				3,400,000		0.14%		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

(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		43.8000 HKD
ORD		Purchase		192		3.4770 GBP
ORD		Purchase		800		43.6375 HKD
ORD		Purchase		1,056		3.4899 GBP
ORD		Purchase		1,200		43.6500 HKD
ORD		Purchase		1,500		43.5000 HKD
ORD		Purchase		1,955		3.4757 GBP
ORD		Purchase		2,000		43.4000 HKD
ORD		Purchase		2,700		43.5500 HKD
ORD		Purchase		3,122		3.4894 GBP
ORD		Purchase		2,500		43.8820 HKD
ORD		Purchase		5,264		3.5172 GBP
ORD		Purchase		8,953		3.4513 GBP
ORD		Purchase		9,163		3.4607 GBP
ORD		Purchase		10,071		3.4606 GBP
ORD		Purchase		25,000		3.5000 GBP
ORD		Purchase		30,558		3.5155 GBP
ORD		Purchase		49,817		3.4814 GBP
ORD		Purchase		111,732		3.4613 GBP
ORD		Purchase		256,926		3.4674 GBP
ORD		Purchase		278,761		3.4785 GBP
ORD		Sale		100		43.6000 HKD
ORD		Sale		100		43.6500 HKD
ORD		Sale		100		43.8000 HKD
ORD		Sale		160		3.4950 GBP
ORD		Sale		200		43.9000 HKD
ORD		Sale		420		3.4764 GBP
ORD		Sale		600		43.5500 HKD
ORD		Sale		705		3.4885 GBP
ORD		Sale		900		43.8500 HKD
ORD		Sale		1,300		43.9500 HKD
ORD		Sale		1,535		3.4757 GBP
ORD		Sale		2,132		3.5155 GBP
ORD		Sale		5,856		3.4811 GBP
ORD		Sale		9,308		3.4673 GBP
ORD		Sale		9,888		3.4604 GBP
ORD		Sale		12,683		3.4708 GBP
ORD		Sale		6,500		43.5176 HKD
ORD		Sale		13,500		3.5010 GBP
ORD		Sale		15,257		3.4890 GBP
ORD		Sale		19,100		3.5016 GBP
ORD		Sale		25,000		3.5000 GBP
ORD		Sale		34,212		3.4789 GBP
ORD		Sale		36,853		3.5075 GBP
ORD		Sale		43,791		3.4731 GBP
ORD		Sale		65,722		3.4913 GBP
ORD		Sale		66,903		3.4660 GBP
ORD		Sale		92,203		3.5145 GBP
ORD		Sale		100,492		3.4893 GBP
ORD		Sale		139,381		3.5135 GBP
ORD		Sale		187,846		3.4498 GBP
ORD		Sale		299,132		3.4633 GBP

(b)	Â	Derivatives transactions (other than options)	Â	Â	Â	Â	Â	Â
Class of		Product		Nature of dealing		Number of		Price per
relevant		description				reference		unit
security		Â		Â		securities		Â
ORD		SWAP		Long		3,460		3.4995 GBP
ORD		CFD		Long		6,985		3.4730 GBP
ORD		CFD		Long		13,495		3.4782 GBP
ORD		SWAP		Long		32,600		3.5013 GBP
ORD		SWAP		Long		85,500		3.5058 GBP
ORD		CFD		Long		89,278		3.4691 GBP
ORD		SWAP		Long		187,846		3.4498 GBP
ORD		CFD		Long		251,696		3.4616 GBP
ORD		CFD		Short		100		43.8588 HKD
ORD		CFD		Short		900		43.5559 HKD
ORD		CFD		Short		20,184		3.4936 GBP
ORD		CFD		Short		30,881		3.4744 GBP

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class

Â

Product

Â

Writing,

Â

Number

Â

Exercise

Â

Type

Â

Expiry

Â

Option

of

description

purchasing,

of

price

date

money

relevant

selling,

securities

per unit

paid/

security

varying etc

to which

received

option

per unit

Â

Â

Â

relates

Â

Â

Â

Â

ORD

Call Options

Purchasing

250,000

360 GBP

American

21 December 2012

TRANSFER

ORD

Put Options

Selling

1,000,000

320 GBP

American

21 December 2012

TRANSFER

(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

NO

Date of disclosure:	Â	28 Dec 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.