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:  

12 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: 3,271,792 0.05% 45,892,188 0.65%
           
(2) Derivatives (other than
options): 40,612,779 0.57% 1,289,333 0.02%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
43,884,571 0.62% 47,181,521 0.66%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 3,500,000 0.15% 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:
3,500,000 0.15% 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 3.9165 GBP
ORD Purchase 1,100 44.3500 HKD
ORD Purchase 1,112 3.9040 GBP
ORD Purchase 1,306 3.8955 GBP
ORD Purchase 2,200 44.7500 HKD
ORD Purchase 3,099 3.9008 GBP
ORD Purchase 3,400 44.4500 HKD
ORD Purchase 3,493 3.8925 GBP
ORD Purchase 3,600 44.5000 HKD
ORD Purchase 3,700 44.4000 HKD
ORD Purchase 5,494 3.8937 GBP
ORD Purchase 11,424 3.8845 GBP
ORD Purchase 13,642 3.8973 GBP
ORD Purchase 18,600 44.8139 HKD
ORD Purchase 19,459 3.8734 GBP
ORD Purchase 20,871 3.8939 GBP
ORD Purchase 29,272 3.8977 GBP
ORD Purchase 31,300 3.8972 GBP
ORD Purchase 56,069 3.8959 GBP
ORD Purchase 80,298 3.9052 GBP
ORD Purchase 82,578 3.8999 GBP
ORD Purchase 137,958 3.9010 GBP
ORD Purchase 149,551 3.8981 GBP
ORD Purchase 218,356 3.8979 GBP
ORD Purchase 952,195 3.8962 GBP
ORD Sale 100 3.9130 GBP
ORD Sale 100 44.3500 HKD
ORD Sale 400 3.9075 GBP
ORD Sale 400 45.1000 HKD
ORD Sale 500 44.9500 HKD
ORD Sale 596 3.9046 GBP
ORD Sale 949 3.8980 GBP
ORD Sale 1,500 45.0000 HKD
ORD Sale 3,493 3.8925 GBP
ORD Sale 5,400 44.7500 HKD
ORD Sale 7,509 3.8915 GBP
ORD Sale 7,735 3.8937 GBP
ORD Sale 10,908 3.9062 GBP
ORD Sale 11,424 3.8904 GBP
ORD Sale 11,500 44.8000 HKD
ORD Sale 11,800 44.4402 HKD
ORD Sale 18,227 3.8918 GBP
ORD Sale 24,328 3.8955 GBP
ORD Sale 33,235 3.8988 GBP
ORD Sale 55,228 3.8885 GBP
ORD Sale 95,718 3.8950 GBP
ORD Sale 122,322 3.8913 GBP
ORD Sale 176,224 3.8979 GBP
ORD Sale 203,624 3.8973 GBP
ORD Sale 261,238 3.8961 GBP
ORD Sale 685,696 3.8971 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 800 44.6431 HKD
ORD CFD Long 440 3.8909 GBP
ORD CFD Long 1,425 3.9026 GBP
ORD CFD Long 2,200 3.8796 GBP
ORD CFD Long 119,902 3.8912 GBP
ORD CFD Short 440 3.8978 GBP
ORD CFD Short 2,200 44.8039 HKD
ORD SWAP Short 8,799 3.8971 GBP
ORD SWAP Short 13,642 3.8973 GBP
ORD CFD Short 19,532 3.8987 GBP
ORD CFD Short 13,868 3.9005 GBP
ORD SWAP Short 52,171 3.8959 GBP
ORD CFD Short 108,218 3.8981 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:  

13 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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