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: 22 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: 3,541,606 0.05% 41,816,139 0.59%
           
(2) Derivatives (other than
options): 37,270,864 0.52% 1,521,818 0.02%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
40,812,470 0.57% 43,337,957 0.61%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,900,000 0.22% 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:
4,900,000 0.22% 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 Purchase 1,600,000 118.4750 USD
Convertible Bond Sale 100,000 118.5000 USD
Convertible Bond Sale 1,600,000 118.5250 USD
ORD Purchase 100 42.9000 HKD
ORD Purchase 639 3.6150 GBP
ORD Purchase 755 3.6182 GBP
ORD Purchase 1,338 3.6070 GBP
ORD Purchase 1,700 42.8058 HKD
ORD Purchase 2,651 3.6088 GBP
ORD Purchase 2,916 3.6191 GBP
ORD Purchase 4,245 3.6039 GBP
ORD Purchase 4,861 3.6163 GBP
ORD Purchase 5,670 3.6200 GBP
ORD Purchase 15,864 3.6099 GBP
ORD Purchase 19,585 3.6122 GBP
ORD Purchase 23,231 3.6093 GBP
ORD Purchase 30,871 3.6153 GBP
ORD Purchase 33,457 3.6184 GBP
ORD Purchase 33,834 3.6257 GBP
ORD Purchase 139,422 3.6175 GBP
ORD Purchase 142,593 3.6440 GBP
ORD Purchase 309,163 3.6173 GBP
ORD Sale 100 42.9000 HKD
ORD Sale 294 3.6390 GBP
ORD Sale 600 3.6400 GBP
ORD Sale 755 3.6182 GBP
ORD Sale 1,600 42.8000 HKD
ORD Sale 1,895 3.6081 GBP
ORD Sale 3,484 3.6089 GBP
ORD Sale 4,026 3.6178 GBP
ORD Sale 6,400 3.6403 GBP
ORD Sale 11,268 3.6264 GBP
ORD Sale 11,402 3.6401 GBP
ORD Sale 34,093 3.6213 GBP
ORD Sale 57,597 3.6181 GBP
ORD Sale 107,999 3.6204 GBP
ORD Sale 115,551 3.6070 GBP
ORD Sale 120,034 3.6225 GBP
ORD Sale 141,525 3.6170 GBP
ORD Sale 146,386 3.6299 GBP
ORD Sale 500,015 3.6053 GBP
ORD (traded as ADR) Purchase 200 11.0000 USD
ORD (traded as ADR) Sale 200 11.0000 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 3.6416 GBP
ORD CFD Long 1,608 3.6418 GBP
ORD CFD Long 3,004 3.6165 GBP
ORD CFD Long 55,182 3.6172 GBP
ORD CFD Short 100 42.9586 HKD
ORD CFD Short 660 3.6045 GBP
ORD CFD Short 728 3.6219 GBP
ORD SWAP Short 13,200 3.6180 GBP
ORD CFD Short 16,922 3.6139 GBP
ORD SWAP Short 23,231 3.6093 GBP
ORD SWAP Short 35,449 3.6112 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:  

25 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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