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: 1 March 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: 3,886,444 0.05% 49,163,355 0.69%
           
(2) Derivatives (other than
options): 44,505,150 0.63% 2,055,455 0.03%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
48,391,594 0.68% 51,218,810 0.72%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 6,900,000 0.30% 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:
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:  
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 100 45.0500 HKD
ORD Purchase 679 3.7633 GBP
ORD Purchase 815 3.7882 GBP
ORD Purchase 3,536 3.7889 GBP
ORD Purchase 3,789 3.7478 GBP
ORD Purchase 4,930 3.7627 GBP
ORD Purchase 5,229 3.7199 GBP
ORD Purchase 8,465 3.7704 GBP
ORD Purchase 15,250 3.7167 GBP
ORD Purchase 15,916 3.7504 GBP
ORD Purchase 17,368 3.7575 GBP
ORD Purchase 39,663 3.7402 GBP
ORD Purchase 46,445 3.7213 GBP
ORD Purchase 63,418 3.7451 GBP
ORD Purchase 80,171 3.7555 GBP
ORD Purchase 88,538 3.7135 GBP
ORD Purchase 199,606 3.7407 GBP
ORD Purchase 354,250 3.7397 GBP
ORD Purchase 422,958 3.7569 GBP
ORD Sale 100 45.0500 HKD
ORD Sale 206 3.7640 GBP
ORD Sale 2,950 3.7633 GBP
ORD Sale 3,161 3.7969 GBP
ORD Sale 5,022 3.7375 GBP
ORD Sale 5,745 3.7663 GBP
ORD Sale 7,689 3.7342 GBP
ORD Sale 10,223 3.7303 GBP
ORD Sale 11,904 3.7378 GBP
ORD Sale 13,179 3.6988 GBP
ORD Sale 25,966 3.7369 GBP
ORD Sale 26,450 3.7799 GBP
ORD Sale 30,100 3.7138 GBP
ORD Sale 34,479 3.7481 GBP
ORD Sale 41,791 3.8616 GBP
ORD Sale 46,808 3.7508 GBP
ORD Sale 50,600 3.7376 GBP
ORD Sale 54,921 3.7173 GBP
ORD Sale 63,883 3.7459 GBP
ORD Sale 68,561 3.7695 GBP
ORD Sale 85,585 3.7466 GBP
ORD Sale 89,297 3.7340 GBP
ORD Sale 90,287 3.7344 GBP
ORD Sale 150,000 3.7242 GBP
ORD Sale 159,315 3.7366 GBP
ORD Sale 244,393 3.7329 GBP
ORD Sale 247,184 3.7769 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 20,746 3.7272 GBP
ORD SWAP Long 21,448 3.7443 GBP
ORD SWAP Long 40,462 3.7545 GBP
ORD CFD Long 51,332 3.7498 GBP
ORD CFD Long 63,883 3.7459 GBP
ORD SWAP Long 120,064 3.7470 GBP
ORD CFD Long 84,846 3.7274 GBP
ORD SWAP Short 753 3.7671 GBP
ORD CFD Short 46,672 3.7544 GBP
ORD CFD Short 331,885 3.7393 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:  

4 Mar 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)
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