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 relevant securities this form relates:

Use a separate form for each offeror/offeree

 

GLENCORE INTL PLC

(c) Name of the party to the offer with which exempt principal trader is connected:  

Advisor to Offeree

(d) Date position held/dealing undertaken:  

26 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?  

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:       ORD            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 11,516,879 0.16% 44,956,290 0.63%
           
(2) Derivatives (other than
options): 40,782,291 0.57% 9,206,749 0.13%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
52,299,170 0.74% 54,163,039 0.76%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,400,000 0.19% 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:
4,400,000 0.19% 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 1,900,000 115.9000 USD
ORD Purchase 9 3.2425 GBP
ORD Purchase 100 39.2500 HKD
ORD Purchase 185 3.2080 GBP
ORD Purchase 537 3.2006 GBP
ORD Purchase 900 39.4000 HKD
ORD Purchase 1,100 39.3500 HKD
ORD Purchase 1,506 3.1931 GBP
ORD Purchase 4,000 39.3000 HKD
ORD Purchase 7,682 3.2061 GBP
ORD Purchase 9,100 39.1000 HKD
ORD Purchase 10,300 39.2014 HKD
ORD Purchase 12,200 3.1993 GBP
ORD Purchase 14,900 39.0000 HKD
ORD Purchase 44,598 3.1939 GBP
ORD Purchase 60,016 3.2203 GBP
ORD Purchase 61,378 3.2092 GBP
ORD Purchase 67,655 3.2075 GBP
ORD Purchase 94,433 3.2158 GBP
ORD Purchase 138,520 3.2192 GBP
ORD Purchase 177,861 3.2050 GBP
ORD Purchase 236,128 3.2119 GBP
ORD Sale 9 3.2428 GBP
ORD Sale 100 39.3500 HKD
ORD Sale 400 38.8000 HKD
ORD Sale 500 39.0000 HKD
ORD Sale 1,400 39.4000 HKD
ORD Sale 1,895 3.1932 GBP
ORD Sale 2,000 39.0500 HKD
ORD Sale 2,000 39.2000 HKD
ORD Sale 2,000 39.3000 HKD
ORD Sale 2,300 39.1000 HKD
ORD Sale 4,171 3.1935 GBP
ORD Sale 6,800 39.2500 HKD
ORD Sale 7,719 3.2092 GBP
ORD Sale 8,368 3.1977 GBP
ORD Sale 10,474 3.2287 GBP
ORD Sale 12,589 3.1973 GBP
ORD Sale 16,200 39.1061 HKD
ORD Sale 17,561 3.2063 GBP
ORD Sale 20,000 3.1927 GBP
ORD Sale 27,756 3.2094 GBP
ORD Sale 58,068 3.2099 GBP
ORD Sale 76,099 3.2069 GBP
ORD Sale 81,045 3.2037 GBP
ORD Sale 122,444 3.2004 GBP
ORD Sale 152,578 3.2108 GBP
ORD Sale 391,347 3.2067 GBP
 
(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 400 39.2396 HKD
ORD CFD Long 1,900 39.0553 HKD
ORD SWAP Long 3,200 3.1975 GBP
ORD SWAP Long 5,200 3.1995 GBP
ORD CFD Long 9,000 3.2693 GBP
ORD SWAP Long 9,615 3.1985 GBP
ORD CFD Long 16,807 3.1999 GBP
ORD CFD Long 19,924 3.2541 GBP
ORD CFD Long 43,243 3.1943 GBP
ORD SWAP Long 66,483 3.2027 GBP
ORD CFD Long 419,566 3.1998 GBP
ORD CFD Short 600 3.2933 GBP
ORD CFD Short 3,040 3.1937 GBP
ORD CFD Short 5,047 3.2267 GBP
ORD CFD Short 6,298 3.2539 GBP
ORD CFD Short 9,000 39.0468 HKD
ORD SWAP Short 44,598 3.1939 GBP
ORD SWAP Short 67,934 3.2098 GBP
ORD SWAP Short 72,027 3.2196 GBP
ORD SWAP Short 76,216 3.2164 GBP
ORD SWAP Short 171,317 3.2185 GBP
ORD CFD Short 96,411 3.2031 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:  

29 April 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.

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