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

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

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	19 April 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	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				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		6,689,779		0.09%		43,063,111		0.61%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		38,532,624		0.54%		4,382,112		0.06%
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:
				45,222,403		0.64%		47,445,223		0.67%
											Â
Class of relevant security:		Â		Convertible Bond XS0475310396		Â		Â		Â
				Interests				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		3,900,000		0.16%		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:
				3,900,000		0.16%		0		0.00%
											Â
Class of relevant security:		Â		ADR		Â		Â		Â
				Interests		Â		Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		0		0.00%		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:
				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 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
Convertible Bond		Purchase		3,000,000		113.7500 USD
Convertible Bond		Purchase		4,500,000		113.6250 USD
Convertible Bond		Sale		5,500,000		113.8000 USD
ORD		Purchase		100		38.0000 HKD
ORD		Purchase		800		3.1660 GBP
ORD		Purchase		915		3.1480 GBP
ORD		Purchase		1,700		37.1000 HKD
ORD		Purchase		2,604		3.1899 GBP
ORD		Purchase		3,913		3.1890 GBP
ORD		Purchase		10,585		3.1730 GBP
ORD		Purchase		13,602		3.1798 GBP
ORD		Purchase		18,104		3.1825 GBP
ORD		Purchase		19,572		3.1748 GBP
ORD		Purchase		26,200		37.7776 HKD
ORD		Purchase		27,686		3.1638 GBP
ORD		Purchase		28,286		3.1694 GBP
ORD		Purchase		118,485		3.1722 GBP
ORD		Purchase		142,574		3.1560 GBP
ORD		Purchase		142,574		3.1785 GBP
ORD		Purchase		168,567		3.1672 GBP
ORD		Purchase		198,388		3.1784 GBP
ORD		Purchase		439,108		3.1712 GBP
ORD		Purchase		724,753		3.1584 GBP
ORD		Sale		300		3.1660 GBP
ORD		Sale		500		3.1705 GBP
ORD		Sale		500		38.0500 HKD
ORD		Sale		808		3.1950 GBP
ORD		Sale		1,000		38.0000 HKD
ORD		Sale		1,500		3.1851 GBP
ORD		Sale		1,595		3.1888 GBP
ORD		Sale		1,700		37.1529 HKD
ORD		Sale		2,100		37.7000 HKD
ORD		Sale		2,304		3.1848 GBP
ORD		Sale		4,800		37.9500 HKD
ORD		Sale		6,474		3.1598 GBP
ORD		Sale		7,100		37.6000 HKD
ORD		Sale		9,049		3.1752 GBP
ORD		Sale		9,448		3.1575 GBP
ORD		Sale		10,585		3.1731 GBP
ORD		Sale		10,700		37.8000 HKD
ORD		Sale		11,918		3.1827 GBP
ORD		Sale		15,272		3.1640 GBP
ORD		Sale		22,000		3.1803 GBP
ORD		Sale		35,134		3.1712 GBP
ORD		Sale		35,601		3.1683 GBP
ORD		Sale		66,964		3.1732 GBP
ORD		Sale		185,662		3.1698 GBP
ORD		Sale		196,419		3.1694 GBP
ORD		Sale		202,813		3.1717 GBP
ORD		Sale		354,128		3.1478 GBP
ORD		Sale		360,405		3.1677 GBP
ORD		Sale		367,600		3.1781 GBP
ORD (traded as ADR)		Purchase		4,800		9.6379 USD
ORD (traded as ADR)		Sale		4,800		9.6379 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		SWAP		Long		629		3.1973 GBP
ORD		SWAP		Long		2,000		3.1815 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

NO

Date of disclosure:	Â	22 Apr 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 [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.