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	15 Jan 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

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:		4,054,117		0.06%		41,982,592		0.59%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		41,447,632		0.58%		2,307,285		0.03%
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:
				45,501,749		0.64%		44,289,877		0.62%
											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:		3,100,000		0.13%		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:
				3,100,000		0.13%		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		50		3.9340 GBP
ORD		Purchase		132		3.9151 GBP
ORD		Purchase		300		48.6500 HKD
ORD		Purchase		1,253		3.9277 GBP
ORD		Purchase		1,558		3.9280 GBP
ORD		Purchase		2,700		48.5500 HKD
ORD		Purchase		3,126		3.9368 GBP
ORD		Purchase		5,000		3.9439 GBP
ORD		Purchase		5,200		3.9478 GBP
ORD		Purchase		5,697		3.9466 GBP
ORD		Purchase		5,900		48.5000 HKD
ORD		Purchase		6,827		3.9491 GBP
ORD		Purchase		6,866		3.9295 GBP
ORD		Purchase		7,798		3.9329 GBP
ORD		Purchase		7,907		3.9450 GBP
ORD		Purchase		12,051		3.9423 GBP
ORD		Purchase		22,763		3.9387 GBP
ORD		Purchase		22,800		48.6000 HKD
ORD		Purchase		28,086		3.9286 GBP
ORD		Purchase		34,595		3.9420 GBP
ORD		Purchase		52,282		3.9314 GBP
ORD		Purchase		73,610		3.9270 GBP
ORD		Purchase		94,523		3.9406 GBP
ORD		Purchase		142,877		3.9580 GBP
ORD		Purchase		142,877		3.9660 GBP
ORD		Purchase		269,921		3.9309 GBP
ORD		Purchase		285,754		3.9675 GBP
ORD		Sale		100		48.6500 HKD
ORD		Sale		200		48.5000 HKD
ORD		Sale		254		3.9387 GBP
ORD		Sale		400		48.6000 HKD
ORD		Sale		872		3.9698 GBP
ORD		Sale		2,480		3.9274 GBP
ORD		Sale		3,719		3.9331 GBP
ORD		Sale		6,653		3.9465 GBP
ORD		Sale		7,039		3.9376 GBP
ORD		Sale		12,458		3.9636 GBP
ORD		Sale		14,043		3.9600 GBP
ORD		Sale		19,777		3.9414 GBP
ORD		Sale		27,942		3.9411 GBP
ORD		Sale		31,176		3.9639 GBP
ORD		Sale		31,700		48.5776 HKD
ORD		Sale		46,018		3.9461 GBP
ORD		Sale		48,369		3.9379 GBP
ORD		Sale		57,585		3.9466 GBP
ORD		Sale		78,064		3.9673 GBP
ORD		Sale		142,466		3.9556 GBP
ORD		Sale		142,631		3.9477 GBP
ORD		Sale		191,580		3.9476 GBP
ORD		Sale		209,430		3.9270 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		100		48.5403 HKD
ORD		CFD		Long		600		48.5152 HKD
ORD		CFD		Long		8,177		3.9493 GBP
ORD		CFD		Long		50,000		3.9648 GBP
ORD		CFD		Long		78,064		3.9673 GBP
ORD		CFD		Long		227,166		3.9621 GBP
ORD		SWAP		Short		49		3.9287 GBP
ORD		CFD		Short		132		3.9151 GBP
ORD		CFD		Short		3,700		3.9517 GBP
ORD		CFD		Short		4,018		3.9664 GBP
ORD		CFD		Short		4,169		3.9323 GBP
ORD		CFD		Short		12,221		3.9305 GBP
ORD		CFD		Short		40,240		3.9279 GBP

NB: The below transactions which were previously disclosed have been cancelled			Â		Â		Â
Class of	Â	Product		Nature of dealing		Number of		Price per
relevant		description				reference		unit
security		Â		Â		securities		Â
ORD		CFD		Long		113,583		3.9621 GBP
ORD		CFD		Short		20,120		3.9279 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	16 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.