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

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	2 November 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 Â

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:		4,424,580		0.06%		30,898,906		0.44%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		30,071,839		0.42%		2,243,941		0.03%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		2,363,800		0.03%		250,000		0.00%
Â		Â		Â		Â		Â		Â
(4)		TOTAL:
				36,860,219		0.52%		33,392,847		0.48%
Â		Â		Â		Â		Â		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:		2,700,000		0.12%		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:
				2,700,000		0.12%		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		43.0500 HKD
ORD		Purchase		133		3.4870 GBP
ORD		Purchase		4,745		3.4969 GBP
ORD		Purchase		5,031		3.4716 GBP
ORD		Purchase		6,000		42.9000 HKD
ORD		Purchase		6,674		3.4660 GBP
ORD		Purchase		17,026		3.4809 GBP
ORD		Purchase		19,614		3.4854 GBP
ORD		Purchase		23,198		3.4767 GBP
ORD		Purchase		42,000		42.8500 HKD
ORD		Purchase		52,506		3.4587 GBP
ORD		Purchase		57,793		3.4823 GBP
ORD		Purchase		63,662		3.4619 GBP
ORD		Purchase		121,792		3.4700 GBP
ORD		Purchase		190,429		3.4677 GBP
ORD		Purchase		281,169		3.4861 GBP
ORD		Sale		17		3.4405 GBP
ORD		Sale		53		3.4470 GBP
ORD		Sale		133		3.4870 GBP
ORD		Sale		629		3.4764 GBP
ORD		Sale		2,301		3.4755 GBP
ORD		Sale		11,000		42.8772 HKD
ORD		Sale		18,368		3.4680 GBP
ORD		Sale		37,000		42.8500 HKD
ORD		Sale		51,883		3.4772 GBP
ORD		Sale		54,037		3.4727 GBP
ORD		Sale		77,147		3.4736 GBP
ORD		Sale		84,675		3.4696 GBP
ORD		Sale		84,842		3.4784 GBP
ORD		Sale		95,420		3.4849 GBP
ORD		Sale		147,332		3.4853 GBP
ORD		Sale		191,327		3.4745 GBP
ORD		Sale		199,489		3.4797 GBP
ORD		Sale		330,509		3.4741 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		7,740		3.4751 GBP
ORD		SWAP		Long		58,949		3.4861 GBP
ORD		CFD		Long		199,489		3.4796 GBP
ORD		SWAP		Long		242,752		3.4852 GBP
ORD		CFD		Long		266,750		3.4712 GBP
ORD		CFD		Short		100		43.1017 HKD
ORD		CFD		Short		8,212		3.4526 GBP
ORD		CFD		Short		12,245		3.4713 GBP
ORD		SWAP		Short		48,929		3.4610 GBP
ORD		CFD		Short		57,674		3.4612 GBP
ORD		CFD		Short		98,272		3.4785 GBP
ORD		SWAP		Short		116,168		3.4605 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 Â

Date of disclosure:	Â	6 Nov 2012
Contact name:	Â	Geoff Smith
Telephone number:	Â	020 3555 4632

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 person whose open positions are being disclosed:	Â	BARCLAYS CAPITAL SECURITIES LTD
Name of offeror/offeree in relation to whose relevant securities the disclosure relates:		GLENCORE INTL PLC

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

Put Options

Purchased

1,000,000

3.2000

American

4 Nov 2012

ORD

Put Options

Purchased

1,000,000

3.2000

European

13 Nov 2012

ORD

Call Options

Written

-250,000

3.6000

American

4 Nov 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.

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.