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:   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: 16 January 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: 4,085,376 0.05% 42,621,767 0.60%
           
(2) Derivatives (other than
options): 41,490,739 0.58% 2,308,222 0.03%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
45,576,115 0.63% 44,929,989 0.63%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,100,000 0.05% 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:
1,100,000 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:  
Details, including nature of the rights concerned and relevant percentages:  

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 Purchase 2,000,000 128.6250 USD
Convertible Bond Purchase 3,000,000 127.6250 USD
Convertible Bond Sale 7,000,000 127.7500 USD
ORD Purchase 100 3.8430 GBP
ORD Purchase 200 48.8000 HKD
ORD Purchase 800 49.1000 HKD
ORD Purchase 1,000 3.9300 GBP
ORD Purchase 1,000 49.0500 HKD
ORD Purchase 1,701 3.8092 GBP
ORD Purchase 1,800 48.5500 HKD
ORD Purchase 2,200 3.8118 GBP
ORD Purchase 2,400 3.8010 GBP
ORD Purchase 3,293 3.8439 GBP
ORD Purchase 3,500 48.7000 HKD
ORD Purchase 4,121 3.8147 GBP
ORD Purchase 4,400 49.0340 HKD
ORD Purchase 4,505 3.8365 GBP
ORD Purchase 4,977 3.8119 GBP
ORD Purchase 5,300 48.8500 HKD
ORD Purchase 5,442 3.8079 GBP
ORD Purchase 5,555 3.7953 GBP
ORD Purchase 6,187 3.8373 GBP
ORD Purchase 6,900 49.0000 HKD
ORD Purchase 7,200 48.9000 HKD
ORD Purchase 9,711 3.8399 GBP
ORD Purchase 12,604 3.8252 GBP
ORD Purchase 14,600 3.7958 GBP
ORD Purchase 19,551 3.8394 GBP
ORD Purchase 21,800 48.6500 HKD
ORD Purchase 27,227 3.7984 GBP
ORD Purchase 41,700 48.6000 HKD
ORD Purchase 52,000 3.8521 GBP
ORD Purchase 63,017 3.8197 GBP
ORD Purchase 97,445 3.8335 GBP
ORD Purchase 236,971 3.8417 GBP
ORD Purchase 349,690 3.8202 GBP
ORD Purchase 378,242 3.8623 GBP
ORD Purchase 4,094,206 3.8050 GBP
ORD Sale 1,000 49.0500 HKD
ORD Sale 1,000 49.1000 HKD
ORD Sale 1,368 3.8575 GBP
ORD Sale 2,400 49.0000 HKD
ORD Sale 3,300 48.5500 HKD
ORD Sale 5,671 3.7945 GBP
ORD Sale 7,798 3.8398 GBP
ORD Sale 16,925 3.8023 GBP
ORD Sale 23,161 3.8016 GBP
ORD Sale 25,000 3.8096 GBP
ORD Sale 28,383 3.7914 GBP
ORD Sale 28,633 3.8637 GBP
ORD Sale 28,841 3.8167 GBP
ORD Sale 29,988 3.8101 GBP
ORD Sale 37,772 3.9274 GBP
ORD Sale 55,033 3.8039 GBP
ORD Sale 55,104 3.8425 GBP
ORD Sale 59,058 3.7963 GBP
ORD Sale 65,392 3.8042 GBP
ORD Sale 86,000 48.6976 HKD
ORD Sale 114,334 3.8238 GBP
ORD Sale 134,363 3.8047 GBP
ORD Sale 217,786 3.9279 GBP
ORD Sale 298,630 3.8066 GBP
ORD Sale 327,919 3.8003 GBP
ORD Sale 338,000 3.8397 GBP
ORD Sale 350,000 3.8025 GBP
ORD Sale 415,848 3.7982 GBP
ORD Sale 781,933 3.8085 GBP
ORD Sale 2,558,621 3.8063 GBP
ORD (traded as ADR) Purchase 200 12.2200 USD
ORD (traded as ADR) Sale 200 12.2200 USD

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD CFD Long 3,300 48.4883 HKD
ORD CFD Long 4,200 3.9296 GBP
ORD CFD Long 4,457 3.8563 GBP
ORD CFD Long 4,505 3.8726 GBP
ORD CFD Long 7,185 3.9137 GBP
ORD CFD Long 14,701 3.8081 GBP
ORD CFD Long 21,390 3.8638 GBP
ORD CFD Long 28,633 3.8637 GBP
ORD CFD Long 80,000 3.8293 GBP
ORD CFD Long 338,000 3.8397 GBP
ORD CFD Short 3,000 3.8008 GBP
ORD CFD Short 3,602 3.8072 GBP
ORD SWAP Short 3,900 3.8000 GBP
ORD CFD Short 4,000 3.8403 GBP
ORD CFD Short 4,200 48.6787 HKD
ORD CFD Short 6,400 3.7928 GBP
ORD SWAP Short 6,540 3.7955 GBP
ORD CFD Short 13,382 3.8609 GBP
ORD SWAP Short 41,827 3.7975 GBP
ORD CFD Short 95,110 3.8394 GBP
ORD CFD Short 282,240 3.8158 GBP

(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:  

18 Jan 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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