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)	Â	Name of exempt principal trader:	Â	BARCLAYS CAPITAL SECURITIES LTD
(b)		Name of offeror/offeree in relation to whose		GLENCORE INTL PLC
Â		relevant securities this form relates:		Â
(c)		Name of the party to the offer with which exempt		Advisor to Offeree
Â		principal trader is connected		Â
(d)		Date position held/dealing undertaken:		28 January 2013
(e)		Has the EPT previously disclosed, or is it		YES:
		today disclosing, under the Code in respect
Â		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:	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:		2,518,899		0.04%		46,752,705		0.66%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		44,274,238		0.62%		723,045		0.01%
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:
				46,793,137		0.66%		47,475,750		0.67%
											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:		6,200,000		0.32%		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:
				6,200,000		0.32%		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
Convertible Bond		Purchase		2,500,000		127.0000 USD
Convertible Bond		Sale		800,000		126.7500 USD
Convertible Bond		Sale		1,000,000		127.0500 USD
ORD		Purchase		150		3.9225 GBP
ORD		Purchase		738		3.9080 GBP
ORD		Purchase		800		47.7500 HKD
ORD		Purchase		813		3.9300 GBP
ORD		Purchase		872		3.9120 GBP
ORD		Purchase		1,153		3.9005 GBP
ORD		Purchase		3,100		47.8000 HKD
ORD		Purchase		3,680		3.9174 GBP
ORD		Purchase		5,500		47.7000 HKD
ORD		Purchase		6,000		47.6500 HKD
ORD		Purchase		9,100		47.6000 HKD
ORD		Purchase		10,461		3.9204 GBP
ORD		Purchase		36,777		3.9230 GBP
ORD		Purchase		44,403		3.9136 GBP
ORD		Purchase		45,314		3.9141 GBP
ORD		Purchase		96,419		3.9092 GBP
ORD		Purchase		108,911		3.9254 GBP
ORD		Purchase		126,977		3.9137 GBP
ORD		Purchase		128,876		3.9130 GBP
ORD		Purchase		142,903		3.9050 GBP
ORD		Purchase		142,903		3.9250 GBP
ORD		Sale		100		47.6000 HKD
ORD		Sale		308		3.9009 GBP
ORD		Sale		394		3.9209 GBP
ORD		Sale		400		47.7000 HKD
ORD		Sale		800		47.7500 HKD
ORD		Sale		980		3.9166 GBP
ORD		Sale		1,053		3.9005 GBP
ORD		Sale		1,403		3.9125 GBP
ORD		Sale		1,998		3.9200 GBP
ORD		Sale		2,084		3.9118 GBP
ORD		Sale		4,093		3.9101 GBP
ORD		Sale		4,100		47.6500 HKD
ORD		Sale		6,462		3.9035 GBP
ORD		Sale		7,236		3.9121 GBP
ORD		Sale		9,646		3.9116 GBP
ORD		Sale		14,979		3.9054 GBP
ORD		Sale		18,995		3.9159 GBP
ORD		Sale		20,100		47.6641 HKD
ORD		Sale		47,352		3.9080 GBP
ORD		Sale		56,552		3.9182 GBP
ORD		Sale		82,350		3.9157 GBP
ORD		Sale		82,350		3.9174 GBP
ORD		Sale		162,338		3.9086 GBP
ORD		Sale		204,832		3.9167 GBP
ORD		Sale		249,600		3.9234 GBP
ORD		Sale		300,551		3.9133 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		47.6405 HKD
ORD		CFD		Long		400		47.6029 HKD
ORD		CFD		Long		4,400		3.9396 GBP
ORD		CFD		Long		4,900		47.6069 HKD
ORD		CFD		Long		12,964		3.9097 GBP
ORD		CFD		Long		45,365		3.9171 GBP
ORD		CFD		Long		82,350		3.9157 GBP
ORD		CFD		Long		82,350		3.9174 GBP
ORD		CFD		Short		4,400		47.7254 HKD
ORD		SWAP		Short		6,446		3.9102 GBP
ORD		CFD		Short		24,323		3.9298 GBP
ORD		CFD		Short		17,416		3.9210 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	29 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.