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	21 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

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:		3,069,064		0.04%		43,664,720		0.62%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		42,022,021		0.59%		1,606,883		0.02%
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:
				45,091,085		0.64%		45,271,603		0.64%
											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:		1,100,000		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:
				1,100,000		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:	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)	Â	Purchases and sales	Â	Â	Â	Â
Class of relevant		Purchase/sale		Number of		Price per unit
security		Â		securities		Â
ORD		Purchase		100		3.8150 GBP
ORD		Purchase		200		46.9000 HKD
ORD		Purchase		600		46.6500 HKD
ORD		Purchase		735		3.8165 GBP
ORD		Purchase		1,073		3.8499 GBP
ORD		Purchase		1,100		47.0000 HKD
ORD		Purchase		2,000		3.8255 GBP
ORD		Purchase		2,136		3.8327 GBP
ORD		Purchase		2,200		46.8500 HKD
ORD		Purchase		2,381		3.8329 GBP
ORD		Purchase		4,428		3.8227 GBP
ORD		Purchase		5,800		47.0189 HKD
ORD		Purchase		6,602		3.8267 GBP
ORD		Purchase		14,785		3.8266 GBP
ORD		Purchase		21,873		3.8280 GBP
ORD		Purchase		54,036		3.8290 GBP
ORD		Purchase		100,213		3.8217 GBP
ORD		Sale		100		3.8151 GBP
ORD		Sale		120		3.8330 GBP
ORD		Sale		735		3.8165 GBP
ORD		Sale		1,100		46.9500 HKD
ORD		Sale		1,539		3.8333 GBP
ORD		Sale		2,092		3.8241 GBP
ORD		Sale		2,200		47.0500 HKD
ORD		Sale		2,400		46.8541 HKD
ORD		Sale		3,500		3.8136 GBP
ORD		Sale		3,700		47.0000 HKD
ORD		Sale		3,987		3.8274 GBP
ORD		Sale		5,160		3.8336 GBP
ORD		Sale		5,236		3.8152 GBP
ORD		Sale		5,335		3.8318 GBP
ORD		Sale		9,647		3.8328 GBP
ORD		Sale		11,426		3.8317 GBP
ORD		Sale		14,096		3.8364 GBP
ORD		Sale		14,188		3.8414 GBP
ORD		Sale		49,854		3.8362 GBP
ORD		Sale		56,946		3.8354 GBP
ORD		Sale		179,747		3.8307 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		46.9406 HKD
ORD		SWAP		Long		160		3.8366 GBP
ORD		CFD		Long		1,100		46.8902 HKD
ORD		CFD		Long		5,160		3.8333 GBP
ORD		CFD		Long		132,952		3.8317 GBP
ORD		CFD		Long		68,311		3.8286 GBP
ORD		CFD		Short		600		46.7090 HKD
ORD		CFD		Short		1,100		47.0566 HKD
ORD		CFD		Short		7,637		3.8294 GBP
ORD		SWAP		Short		100,213		3.8217 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 January 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.