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:

 

3 April 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: 3,867,043 0.05% 44,464,381 0.63%
           
(2) Derivatives (other than
options): 39,951,414 0.56% 1,657,931 0.02%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
43,818,457 0.62% 46,122,312 0.65%
           
Class of relevant security:   Convertible Bond XS0475310396      
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 3,300,000 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:
3,300,000 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 42.3000 HKD
ORD Purchase 200 41.6500 HKD
ORD Purchase 782 3.5045 GBP
ORD Purchase 800 41.3000 HKD
ORD Purchase 1,000 3.4690 GBP
ORD Purchase 2,500 41.7500 HKD
ORD Purchase 3,100 41.8500 HKD
ORD Purchase 5,026 3.5033 GBP
ORD Purchase 7,300 41.8000 HKD
ORD Purchase 7,551 3.4780 GBP
ORD Purchase 8,500 41.6676 HKD
ORD Purchase 10,796 3.4885 GBP
ORD Purchase 14,814 3.4718 GBP
ORD Purchase 15,515 3.4809 GBP
ORD Purchase 15,952 3.5090 GBP
ORD Purchase 17,669 3.5248 GBP
ORD Purchase 21,776 3.4888 GBP
ORD Purchase 25,193 3.4675 GBP
ORD Purchase 26,559 3.4631 GBP
ORD Purchase 40,473 3.4971 GBP
ORD Purchase 92,200 3.5032 GBP
ORD Purchase 94,639 3.5021 GBP
ORD Purchase 126,223 3.4833 GBP
ORD Purchase 208,919 3.4730 GBP
ORD Purchase 235,320 3.5104 GBP
ORD Purchase 400,000 3.4630 GBP
ORD Purchase 724,532 3.4831 GBP
ORD Sale 100 3.5040 GBP
ORD Sale 200 41.2500 HKD
ORD Sale 202 3.5545 GBP
ORD Sale 296 3.5492 GBP
ORD Sale 429 3.4964 GBP
ORD Sale 654 3.4720 GBP
ORD Sale 1,000 41.3700 HKD
ORD Sale 1,719 3.4608 GBP
ORD Sale 2,000 41.5000 HKD
ORD Sale 3,000 41.7500 HKD
ORD Sale 3,065 3.4596 GBP
ORD Sale 5,000 3.4794 GBP
ORD Sale 5,547 3.5501 GBP
ORD Sale 6,300 3.5498 GBP
ORD Sale 6,800 41.7000 HKD
ORD Sale 11,113 3.4620 GBP
ORD Sale 14,704 3.5663 GBP
ORD Sale 21,114 3.4632 GBP
ORD Sale 27,612 3.4791 GBP
ORD Sale 28,133 3.4802 GBP
ORD Sale 46,484 3.4987 GBP
ORD Sale 64,413 3.4644 GBP
ORD Sale 83,856 3.5109 GBP
ORD Sale 88,314 3.4665 GBP
ORD Sale 158,579 3.4875 GBP
ORD Sale 250,000 3.4699 GBP
ORD Sale 259,349 3.4901 GBP
ORD Sale 307,604 3.4676 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 1,810 3.5541 GBP
ORD SWAP Long 2,100 3.5506 GBP
ORD CFD Long 3,500 41.6313 HKD
ORD SWAP Long 3,939 3.5483 GBP
ORD SWAP Long 6,300 3.5498 GBP
ORD CFD Long 12,900 3.5682 GBP
ORD CFD Short 100 42.3585 HKD
ORD CFD Short 3,500 3.5540 GBP
ORD CFD Short 3,942 3.5258 GBP
ORD CFD Short 12,900 41.8525 HKD
ORD CFD Short 25,193 3.4675 GBP
ORD SWAP Short 36,961 3.4778 GBP
ORD SWAP Short 43,323 3.4803 GBP
ORD CFD Short 59,736 3.5015 GBP
ORD SWAP Short 133,774 3.4830 GBP
ORD CFD Short 171,053 3.5146 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 Apr 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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