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:  

4 March 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: 3,843,106 0.05% 49,629,377 0.70%
           
(2) Derivatives (other than
options): 44,129,732 0.62% 1,787,055 0.03%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
47,972,838 0.68% 51,416,432 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 45.0000 HKD
ORD Purchase 196 3.6640 GBP
ORD Purchase 730 3.6900 GBP
ORD Purchase 1,929 3.6850 GBP
ORD Purchase 2,771 3.7083 GBP
ORD Purchase 3,748 3.6679 GBP
ORD Purchase 4,430 3.6810 GBP
ORD Purchase 5,942 3.6945 GBP
ORD Purchase 7,065 3.6915 GBP
ORD Purchase 9,996 3.6856 GBP
ORD Purchase 13,026 3.6967 GBP
ORD Purchase 13,768 3.6747 GBP
ORD Purchase 20,104 3.6802 GBP
ORD Purchase 24,091 3.6947 GBP
ORD Purchase 28,310 3.6794 GBP
ORD Purchase 67,200 44.0404 HKD
ORD Purchase 72,640 3.6781 GBP
ORD Purchase 95,440 3.6801 GBP
ORD Purchase 100,000 3.7044 GBP
ORD Purchase 105,403 3.6811 GBP
ORD Purchase 401,392 3.6995 GBP
ORD Purchase 450,888 3.7104 GBP
ORD Purchase 464,207 3.6907 GBP
ORD Purchase 724,365 3.6809 GBP
ORD Sale 196 3.6640 GBP
ORD Sale 1,598 3.6790 GBP
ORD Sale 2,937 3.7049 GBP
ORD Sale 3,200 44.0500 HKD
ORD Sale 3,600 44.1500 HKD
ORD Sale 3,775 3.6792 GBP
ORD Sale 4,720 3.7095 GBP
ORD Sale 7,764 3.7064 GBP
ORD Sale 10,336 3.7007 GBP
ORD Sale 11,079 3.7022 GBP
ORD Sale 12,285 3.6840 GBP
ORD Sale 13,754 3.7099 GBP
ORD Sale 16,030 3.6776 GBP
ORD Sale 20,036 3.6995 GBP
ORD Sale 20,200 44.1000 HKD
ORD Sale 24,088 3.6906 GBP
ORD Sale 33,739 3.6864 GBP
ORD Sale 36,747 3.7083 GBP
ORD Sale 40,200 44.0000 HKD
ORD Sale 70,898 3.6817 GBP
ORD Sale 79,268 3.6850 GBP
ORD Sale 133,713 3.6807 GBP
ORD Sale 148,776 3.6924 GBP
ORD Sale 163,992 3.6856 GBP
ORD Sale 179,810 3.6847 GBP
ORD Sale 324,167 3.6788 GBP
ORD Sale 468,768 3.6973 GBP
ORD Sale 581,293 3.7030 GBP
ORD Sale 767,816 3.6814 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 360 3.7102 GBP
ORD SWAP Long 511 3.6903 GBP
ORD CFD Long 15,346 3.6782 GBP
ORD SWAP Long 64,224 3.6847 GBP
ORD SWAP Long 64,598 3.6820 GBP
ORD SWAP Long 259,078 3.6848 GBP
ORD CFD Long 324,167 3.6788 GBP
ORD CFD Short 100 45.0590 HKD
ORD SWAP Short 3,748 3.6679 GBP
ORD CFD Short 7,069 3.6787 GBP
ORD CFD Short 55,086 3.7195 GBP
ORD CFD Short 64,186 3.6711 GBP
ORD CFD Short 605,113 3.6788 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:  

5 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)
UK 100

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