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:  

5 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: 3,311,317 0.05% 46,740,872 0.66%
           
(2) Derivatives (other than
options): 41,398,304 0.58% 1,627,488 0.02%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
44,709,621 0.63% 48,368,360 0.68%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,800,000 0.21% 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:
4,800,000 0.21% 0 0.00%
 
Class of relevant security:   ADR      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 0 0.00% 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:
0 0.00% 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  
Convertible Bond Sale 100,000 121.5000 USD
Convertible Bond Sale 2,000,000 122.6250 USD
ORD Purchase 400 3.8121 GBP
ORD Purchase 644 3.8172 GBP
ORD Purchase 700 3.8827 GBP
ORD Purchase 1,048 3.8780 GBP
ORD Purchase 1,472 3.9027 GBP
ORD Purchase 5,596 3.8553 GBP
ORD Purchase 10,915 3.8217 GBP
ORD Purchase 14,940 3.8596 GBP
ORD Purchase 16,176 3.9113 GBP
ORD Purchase 18,817 3.8140 GBP
ORD Purchase 19,487 3.8133 GBP
ORD Purchase 19,674 3.8649 GBP
ORD Purchase 37,454 3.8557 GBP
ORD Purchase 41,769 3.9092 GBP
ORD Purchase 44,941 3.7775 GBP
ORD Purchase 50,503 3.8744 GBP
ORD Purchase 66,506 3.8118 GBP
ORD Purchase 111,793 3.8175 GBP
ORD Purchase 146,854 3.8505 GBP
ORD Purchase 155,535 3.8473 GBP
ORD Purchase 250,000 3.8586 GBP
ORD Purchase 493,266 3.8215 GBP
ORD Purchase 1,040,650 3.8510 GBP
ORD Sale 1,485 3.7776 GBP
ORD Sale 1,900 3.9137 GBP
ORD Sale 2,442 3.9170 GBP
ORD Sale 2,559 3.7837 GBP
ORD Sale 5,660 3.8181 GBP
ORD Sale 7,897 3.7840 GBP
ORD Sale 15,036 3.8095 GBP
ORD Sale 19,387 3.8133 GBP
ORD Sale 24,475 3.8542 GBP
ORD Sale 27,295 3.8293 GBP
ORD Sale 38,645 3.8589 GBP
ORD Sale 46,846 3.8426 GBP
ORD Sale 54,648 3.8009 GBP
ORD Sale 55,360 3.9081 GBP
ORD Sale 56,348 3.8399 GBP
ORD Sale 58,414 3.8407 GBP
ORD Sale 65,297 3.8115 GBP
ORD Sale 93,905 3.8027 GBP
ORD Sale 101,950 3.8593 GBP
ORD Sale 123,731 3.8624 GBP
ORD Sale 142,903 3.9140 GBP
ORD Sale 142,903 3.9400 GBP
ORD Sale 178,182 3.8430 GBP
ORD Sale 228,211 3.8039 GBP
ORD Sale 238,942 3.8479 GBP
ORD Sale 273,389 3.8640 GBP
ORD Sale 624,614 3.8536 GBP
ORD (traded as ADR) Purchase 200 11.7600 USD
ORD (traded as ADR) Sale 200 11.7600 USD

(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 200 3.9106 GBP
ORD SWAP Long 242 3.7473 GBP
ORD CFD Long 7,620 3.7949 GBP
ORD CFD Long 9,993 3.8084 GBP
ORD CFD Long 32,956 3.7872 GBP
ORD CFD Long 101,950 3.8593 GBP
ORD CFD Long 102,316 3.8349 GBP
ORD SWAP Short 12,555 3.9076 GBP
ORD SWAP Short 13,946 3.9043 GBP
ORD CFD Short 30,042 3.8106 GBP
ORD SWAP Short 44,941 3.7775 GBP
ORD SWAP Short 57,945 3.9098 GBP
ORD CFD Short 48,649 3.8621 GBP
ORD CFD Short 179,060 3.8301 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:  

6 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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