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)   Name of exempt principal trader:   BARCLAYS CAPITAL SECURITIES LTD
(b) Name of offeror/offeree in relation to whose

GLENCORE INTL PLC

  relevant securities this form relates:  
(c) Name of the party to the offer with which exempt Advisor to Offeree
  principal trader is connected  
(d) Date position held/dealing undertaken: 15 April 2013
(e) Has the EPT previously disclosed, or is it YES:
today disclosing, under the Code in respect
  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:       ORD            
Interests   Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 5,890,261 0.08% 41,801,874 0.59%
           
(2) Derivatives (other than
options): 37,730,992 0.53% 3,279,114 0.05%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
43,621,253 0.61% 45,080,988 0.63%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 0 0.00% 100,000 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:
0 0.00% 100,000 0.00%
 
Class of relevant security:   ADR      
Interests   Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 0 0.00% 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:
0 0.00% 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   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Long 61,830 3.2337 GBP
ORD SWAP Short 1,400 3.2705 GBP

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   Purchase/sale   Number of   Price per unit
security   securities  
Convertible Bond Sale 3,200,000 114.3750 USD
ORD Purchase 100 40.6000 HKD
ORD Purchase 605 3.2825 GBP
ORD Purchase 916 3.2010 GBP
ORD Purchase 1,000 40.4000 HKD
ORD Purchase 1,071 3.2150 GBP
ORD Purchase 1,700 40.6500 HKD
ORD Purchase 2,758 3.2656 GBP
ORD Purchase 3,306 3.2566 GBP
ORD Purchase 3,633 3.2718 GBP
ORD Purchase 4,300 40.0000 HKD
ORD Purchase 4,900 40.5469 HKD
ORD Purchase 4,984 3.2957 GBP
ORD Purchase 6,300 40.3000 HKD
ORD Purchase 9,589 3.3742 GBP
ORD Purchase 11,683 3.2110 GBP
ORD Purchase 14,500 40.5500 HKD
ORD Purchase 16,390 3.2624 GBP
ORD Purchase 29,275 3.2812 GBP
ORD Purchase 32,682 3.2707 GBP
ORD Purchase 43,346 3.1977 GBP
ORD Purchase 50,000 3.2794 GBP
ORD Purchase 114,953 3.2764 GBP
ORD Purchase 150,000 3.3154 GBP
ORD Purchase 162,387 3.2694 GBP
ORD Purchase 171,728 3.2790 GBP
ORD Purchase 173,191 3.2679 GBP
ORD Purchase 208,621 3.2794 GBP
ORD Purchase 214,973 3.2738 GBP
ORD Purchase 283,650 3.2732 GBP
ORD Purchase 311,115 3.2592 GBP
ORD Purchase 389,298 3.2752 GBP
ORD Purchase 631,624 3.2822 GBP
ORD Purchase 2,800,000 3.2394 GBP
ORD Sale 100 40.6000 HKD
ORD Sale 900 40.9500 HKD
ORD Sale 1,000 40.3000 HKD
ORD Sale 1,000 40.3500 HKD
ORD Sale 1,000 40.6500 HKD
ORD Sale 1,273 3.3294 GBP
ORD Sale 2,500 40.5500 HKD
ORD Sale 2,600 40.2000 HKD
ORD Sale 3,000 40.5000 HKD
ORD Sale 3,410 3.2845 GBP
ORD Sale 4,300 40.0000 HKD
ORD Sale 4,800 40.1500 HKD
ORD Sale 5,000 40.4500 HKD
ORD Sale 5,000 40.7000 HKD
ORD Sale 5,122 3.2869 GBP
ORD Sale 7,456 3.2754 GBP
ORD Sale 8,000 3.3350 GBP
ORD Sale 8,490 3.1960 GBP
ORD Sale 9,000 40.4000 HKD
ORD Sale 10,000 3.2021 GBP
ORD Sale 13,838 3.2110 GBP
ORD Sale 18,515 3.2569 GBP
ORD Sale 19,932 3.2857 GBP
ORD Sale 20,308 3.2011 GBP
ORD Sale 20,624 3.3798 GBP
ORD Sale 33,476 3.2875 GBP
ORD Sale 34,711 3.2947 GBP
ORD Sale 44,026 3.2884 GBP
ORD Sale 45,777 3.2708 GBP
ORD Sale 46,292 3.3137 GBP
ORD Sale 48,330 3.2079 GBP
ORD Sale 50,200 40.2500 HKD
ORD Sale 62,461 3.2941 GBP
ORD Sale 62,649 3.2162 GBP
ORD Sale 106,344 3.2539 GBP
ORD Sale 120,462 3.2242 GBP
ORD Sale 135,410 3.2786 GBP
ORD Sale 151,986 3.2651 GBP
ORD Sale 244,928 3.2732 GBP
ORD Sale 281,857 3.3022 GBP
ORD Sale 313,298 3.2528 GBP
ORD Sale 2,310,469 3.2432 GBP
ORD (traded as ADR) Purchase 1,400 9.8571 USD
ORD (traded as ADR) Sale 1,400 9.8571 USD

(b) Derivatives transactions (other than options)

Class of relevant security   Product description

e.g. CFD

  Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

  Number of reference securities   Price per unit

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(ii) Exercising

Class of relevant security   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   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?   NO
Date of disclosure:  

17 Apr 2013

Contact name:   Geoff Smith
Telephone number:   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.

Companies

Glencore (GLEN)
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