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: 19 February 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: 2,532,222 0.04% 46,274,231 0.65%
           
(2) Derivatives (other than
options): 42,888,197 0.60% 1,056,720 0.01%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
45,420,419 0.64% 47,330,951 0.67%
 
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  
ORD Purchase 900 47.3500 HKD
ORD Purchase 1,116 3.9117 GBP
ORD Purchase 1,265 3.9207 GBP
ORD Purchase 1,318 3.9151 GBP
ORD Purchase 1,501 3.9062 GBP
ORD Purchase 2,000 47.2500 HKD
ORD Purchase 2,998 3.9208 GBP
ORD Purchase 3,641 3.8987 GBP
ORD Purchase 4,085 3.9228 GBP
ORD Purchase 4,286 3.8834 GBP
ORD Purchase 4,337 3.8933 GBP
ORD Purchase 4,682 3.9196 GBP
ORD Purchase 5,674 3.9133 GBP
ORD Purchase 5,800 46.8500 HKD
ORD Purchase 9,336 3.8989 GBP
ORD Purchase 13,670 3.9153 GBP
ORD Purchase 18,765 3.9246 GBP
ORD Purchase 36,782 3.9148 GBP
ORD Purchase 44,678 3.9138 GBP
ORD Purchase 103,803 3.9177 GBP
ORD Purchase 156,471 3.9168 GBP
ORD Sale 91 3.9133 GBP
ORD Sale 100 47.2500 HKD
ORD Sale 394 3.9135 GBP
ORD Sale 880 3.9210 GBP
ORD Sale 900 47.3500 HKD
ORD Sale 1,000 46.8000 HKD
ORD Sale 2,842 3.9206 GBP
ORD Sale 4,508 3.9195 GBP
ORD Sale 7,294 3.9236 GBP
ORD Sale 7,800 46.9525 HKD
ORD Sale 11,985 3.9178 GBP
ORD Sale 16,401 3.8993 GBP
ORD Sale 16,690 3.9240 GBP
ORD Sale 17,658 3.9077 GBP
ORD Sale 23,756 3.9205 GBP
ORD Sale 44,863 3.9143 GBP
ORD Sale 52,350 3.9115 GBP
ORD Sale 78,380 3.9120 GBP
ORD Sale 102,946 3.9156 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 100 47.1905 HKD
ORD CFD Long 1,000 46.7406 HKD
ORD CFD Long 6,927 3.9160 GBP
ORD CFD Long 46,303 3.9107 GBP
ORD CFD Short 733 3.8859 GBP
ORD CFD Short 1,932 3.8991 GBP
ORD CFD Short 5,262 3.8885 GBP
ORD CFD Short 156,471 3.9168 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:  

20 Feb 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)
UK 100

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