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:	Â	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	Â	GLENCORE INTL PLC
(c) Name of the party to the offer with which exempt principal trader is connected:	Â	Advisor to Offeree
(d) Date position held/dealing undertaken:	Â	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?	Â	YES: XSTRATA PLC Â

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:	Â	Â	Â	ORD	Â	Â	Â	Â	Â	Â
				Interests				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		3,867,043		0.05%		44,464,381		0.63%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		39,951,414		0.56%		1,657,931		0.02%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		0		0.00%		0		0.00%
Â		Â		Â		Â		Â		Â
(4)		TOTAL:
				43,818,457		0.62%		46,122,312		0.65%
Â		Â		Â		Â		Â		Â
Class of relevant security:		Â		Convertible Bond XS0475310396		Â		Â		Â
				Interests				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		3,300,000		0.15%		0		0.00%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		0		0.00%		0		0.00%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		0		0.00%		0		0.00%
Â		Â		Â		Â		Â		Â
(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:	Â
Details, including nature of the rights concerned and relevant percentages:	Â

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	Â	Purchase/sale	Â	Number of	Â	Price per unit
security		Â		securities		Â
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	Â	Product	Â	Nature of dealing	Â	Number of	Â	Price per
relevant		description				reference		unit
security		Â		Â		securities		Â
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

Â

Product description e.g. call option

Â

Writing, purchasing, selling, varying etc.

Â

Number of securities to which option relates

Â

Exercise price per unit

Â

Type e.g. American, European etc.

Â

Expiry date

Â

Option money paid/ received per unit

(ii) Exercising

Class of relevant security

Â

Product description e.g. call option

Â

Number of securities

Â

Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Â

Nature of dealing e.g. subscription, conversion

Â

Details

Â

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?

Â

NO

Date of disclosure:	Â	4 Apr 2013 Â
Contact name:	Â	Geoff Smith
Telephone number:	Â	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 [e-mail]. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on [phone].

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.