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 February 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 Â

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				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		4,545,774		0.06%		46,926,809		0.66%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		42,849,200		0.60%		3,151,641		0.04%
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:
				47,394,974		0.67%		50,078,450		0.71%
Â		Â		Â		Â		Â		Â
Class of relevant security:		Â		Convertible Bond XS0475310396		Â		Â		Â
				Interests				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		6,900,000		0.30%		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:
				6,900,000		0.30%		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		121.0000 USD
ORD		Purchase		100		46.1500 HKD
ORD		Purchase		1,000		3.6985 GBP
ORD		Purchase		2,919		3.6989 GBP
ORD		Purchase		14,127		3.7477 GBP
ORD		Purchase		40,996		3.7051 GBP
ORD		Purchase		52,745		3.7089 GBP
ORD		Purchase		82,655		3.7274 GBP
ORD		Purchase		94,934		3.7025 GBP
ORD		Purchase		100,903		3.7134 GBP
ORD		Purchase		109,100		45.0524 HKD
ORD		Purchase		159,203		3.7077 GBP
ORD		Purchase		168,864		3.7047 GBP
ORD		Purchase		203,642		3.7024 GBP
ORD		Purchase		247,884		3.7049 GBP
ORD		Purchase		272,349		3.7070 GBP
ORD		Purchase		300,828		3.6996 GBP
ORD		Purchase		373,166		3.6990 GBP
ORD		Purchase		400,000		3.7016 GBP
ORD		Purchase		459,254		3.7133 GBP
ORD		Purchase		466,616		3.7011 GBP
ORD		Purchase		977,378		3.7022 GBP
ORD		Sale		320		3.7010 GBP
ORD		Sale		587		3.7160 GBP
ORD		Sale		879		3.6950 GBP
ORD		Sale		1,000		3.6985 GBP
ORD		Sale		1,600		45.4000 HKD
ORD		Sale		3,362		3.7023 GBP
ORD		Sale		4,200		44.9500 HKD
ORD		Sale		4,829		3.7100 GBP
ORD		Sale		5,100		45.1500 HKD
ORD		Sale		5,747		3.7146 GBP
ORD		Sale		6,600		44.9000 HKD
ORD		Sale		8,200		44.7500 HKD
ORD		Sale		8,400		44.8500 HKD
ORD		Sale		9,000		45.0500 HKD
ORD		Sale		9,217		3.7003 GBP
ORD		Sale		12,649		3.7019 GBP
ORD		Sale		15,378		3.7130 GBP
ORD		Sale		18,700		45.0000 HKD
ORD		Sale		19,200		44.8000 HKD
ORD		Sale		22,554		3.7087 GBP
ORD		Sale		28,475		3.6913 GBP
ORD		Sale		39,320		3.7126 GBP
ORD		Sale		39,555		3.7131 GBP
ORD		Sale		55,449		3.7025 GBP
ORD		Sale		60,732		3.7016 GBP
ORD		Sale		73,000		45.1000 HKD
ORD		Sale		101,554		3.7022 GBP
ORD		Sale		142,522		3.7012 GBP
ORD		Sale		168,153		3.7033 GBP
ORD		Sale		249,600		3.7122 GBP
ORD		Sale		356,905		3.7110 GBP
ORD		Sale		357,653		3.7070 GBP
ORD		Sale		523,532		3.7040 GBP
ORD		Sale		850,000		3.7035 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		864		3.6912 GBP
ORD		CFD		Long		1,000		44.9920 HKD
ORD		CFD		Long		3,070		3.6995 GBP
ORD		CFD		Long		43,900		44.8404 HKD
ORD		CFD		Long		850,000		3.7035 GBP
ORD		CFD		Short		100		46.2092 HKD
ORD		CFD		Short		18,209		3.7393 GBP
ORD		CFD		Short		43,900		3.7948 GBP
ORD		SWAP		Short		82,655		3.7273 GBP
ORD		CFD		Short		98,868		3.7030 GBP
ORD		CFD		Short		209,507		3.7061 GBP
ORD		CFD		Short		400,000		3.7016 GBP
ORD		CFD		Short		424,638		3.7051 GBP
ORD		CFD		Short		1,207,988		3.6996 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 Feb 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.