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	9 January 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		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		4,437,274		0.06%		40,563,934		0.57%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		39,943,110		0.56%		2,582,303		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:
				44,380,384		0.63%		43,146,237		0.61%
											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:		1,200,000		0.05%		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:
				1,200,000		0.05%		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		400		46.9500 HKD
ORD		Purchase		400		47.0500 HKD
ORD		Purchase		800		3.7695 GBP
ORD		Purchase		2,600		46.9000 HKD
ORD		Purchase		3,065		3.8114 GBP
ORD		Purchase		3,391		3.8367 GBP
ORD		Purchase		4,060		3.8595 GBP
ORD		Purchase		4,200		47.0000 HKD
ORD		Purchase		4,700		46.7500 HKD
ORD		Purchase		5,700		46.8000 HKD
ORD		Purchase		7,786		3.7948 GBP
ORD		Purchase		10,531		3.7671 GBP
ORD		Purchase		10,553		3.8443 GBP
ORD		Purchase		12,139		3.8515 GBP
ORD		Purchase		13,152		3.7843 GBP
ORD		Purchase		15,770		3.8032 GBP
ORD		Purchase		20,490		3.8076 GBP
ORD		Purchase		33,523		3.7973 GBP
ORD		Purchase		70,763		3.8079 GBP
ORD		Purchase		142,877		3.8090 GBP
ORD		Purchase		161,939		3.8105 GBP
ORD		Purchase		260,000		3.8177 GBP
ORD		Sale		486		3.8595 GBP
ORD		Sale		3,552		3.7793 GBP
ORD		Sale		4,565		3.8416 GBP
ORD		Sale		7,494		3.8546 GBP
ORD		Sale		7,786		3.7950 GBP
ORD		Sale		9,391		3.8117 GBP
ORD		Sale		11,944		3.8392 GBP
ORD		Sale		13,300		46.8725 HKD
ORD		Sale		18,239		3.8290 GBP
ORD		Sale		27,802		3.8312 GBP
ORD		Sale		50,009		3.8352 GBP
ORD		Sale		59,091		3.8297 GBP
ORD		Sale		65,900		3.7763 GBP
ORD		Sale		92,815		3.8135 GBP
ORD		Sale		95,966		3.8115 GBP
ORD		Sale		126,048		3.8207 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		2,100		3.7975 GBP
ORD		CFD		Long		2,126		3.7705 GBP
ORD		CFD		Long		4,000		3.7772 GBP
ORD		CFD		Long		4,700		3.7881 GBP
ORD		CFD		Long		37,872		3.8123 GBP
ORD		CFD		Long		143,866		3.8318 GBP
ORD		CFD		Short		2,100		3.8578 GBP
ORD		CFD		Short		2,800		3.7748 GBP
ORD		CFD		Short		4,700		46.8691 HKD
ORD		CFD		Short		5,061		3.7650 GBP
ORD		CFD		Short		5,199		3.7647 GBP
ORD		CFD		Short		11,956		3.7990 GBP
ORD		CFD		Short		260,000		3.8177 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	10 Jan 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.