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	4 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

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		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		4,165,332		0.06%		44,371,838		0.63%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		39,739,260		0.56%		2,196,485		0.03%
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:
				43,904,592		0.62%		46,568,323		0.66%
Â		Â		Â		Â		Â		Â
Class of relevant security:		Â		Convertible Bond XS0475310396		Â		Â		Â
				Interests		Â		Short Positions		Â
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		8,624		3.5131 GBP
ORD		Purchase		11,148		3.4974 GBP
ORD		Purchase		11,372		3.5054 GBP
ORD		Purchase		15,763		3.5042 GBP
ORD		Purchase		16,578		3.5100 GBP
ORD		Purchase		17,768		3.4966 GBP
ORD		Purchase		69,815		3.5013 GBP
ORD		Purchase		77,991		3.5002 GBP
ORD		Purchase		82,261		3.5070 GBP
ORD		Purchase		94,686		3.5029 GBP
ORD		Purchase		118,667		3.4971 GBP
ORD		Purchase		120,712		3.5055 GBP
ORD		Purchase		127,210		3.5017 GBP
ORD		Purchase		269,721		3.5010 GBP
ORD		Purchase		865,198		3.5027 GBP
ORD		Sale		100		3.5085 GBP
ORD		Sale		565		3.5119 GBP
ORD		Sale		841		3.4870 GBP
ORD		Sale		1,821		3.5108 GBP
ORD		Sale		3,915		3.4566 GBP
ORD		Sale		6,024		3.5082 GBP
ORD		Sale		8,176		3.4923 GBP
ORD		Sale		9,000		3.5000 GBP
ORD		Sale		13,101		3.5028 GBP
ORD		Sale		16,019		3.5078 GBP
ORD		Sale		22,181		3.5017 GBP
ORD		Sale		35,778		3.5030 GBP
ORD		Sale		45,302		3.5042 GBP
ORD		Sale		51,204		3.5038 GBP
ORD		Sale		63,756		3.5013 GBP
ORD		Sale		84,624		3.5049 GBP
ORD		Sale		135,545		3.4906 GBP
ORD		Sale		154,255		3.5044 GBP
ORD		Sale		239,386		3.5064 GBP
ORD		Sale		380,981		3.5034 GBP
ORD (traded as ADR)		Purchase		1,200		10.5100 USD
ORD (traded as ADR)		Sale		1,200		10.5100 USD

(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		13,325		3.5030 GBP
ORD		SWAP		Long		23,888		3.5036 GBP
ORD		SWAP		Long		32,241		3.5033 GBP
ORD		SWAP		Long		73,385		3.5032 GBP
ORD		SWAP		Long		482,950		3.4995 GBP
ORD		CFD		Short		17,444		3.4986 GBP
ORD		SWAP		Short		22,400		3.5048 GBP
ORD		SWAP		Short		22,808		3.4953 GBP
ORD		SWAP		Short		48,360		3.4998 GBP
ORD		CFD		Short		69,815		3.5013 GBP
ORD		CFD		Short		95,465		3.5017 GBP
ORD		CFD		Short		534,435		3.5077 GBP
ORD		CFD		Short		565,770		3.4999 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	5 April 2013
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.