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	12 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:		4,733,347		0.07%		42,229,694		0.59%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		37,902,174		0.53%		2,730,432		0.04%
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:
				42,635,521		0.60%		44,960,126		0.63%
											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:		3,100,000		0.13%		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:
				3,100,000		0.13%		0		0.00%
											Â
Class of relevant security:		Â		ADR		Â		Â		Â
				Interests		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		0		0.00%		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:
				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:	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		915		3.4472 GBP
ORD		Purchase		1,000		41.8500 HKD
ORD		Purchase		1,036		3.4790 GBP
ORD		Purchase		1,900		42.0000 HKD
ORD		Purchase		2,000		41.5500 HKD
ORD		Purchase		2,645		3.5050 GBP
ORD		Purchase		3,500		41.9000 HKD
ORD		Purchase		3,900		41.8000 HKD
ORD		Purchase		5,460		3.4990 GBP
ORD		Purchase		7,300		42.0500 HKD
ORD		Purchase		8,200		3.5045 GBP
ORD		Purchase		11,400		41.7000 HKD
ORD		Purchase		11,526		3.4930 GBP
ORD		Purchase		13,700		41.6500 HKD
ORD		Purchase		16,656		3.4877 GBP
ORD		Purchase		17,617		3.4420 GBP
ORD		Purchase		23,300		41.7500 HKD
ORD		Purchase		41,282		3.4920 GBP
ORD		Purchase		41,900		41.6000 HKD
ORD		Purchase		58,085		3.5191 GBP
ORD		Purchase		86,140		3.4858 GBP
ORD		Purchase		132,530		3.4882 GBP
ORD		Purchase		137,663		3.4801 GBP
ORD		Purchase		200,962		3.4805 GBP
ORD		Purchase		291,013		3.5107 GBP
ORD		Purchase		353,532		3.4853 GBP
ORD		Sale		469		3.4849 GBP
ORD		Sale		523		3.5025 GBP
ORD		Sale		1,000		41.9500 HKD
ORD		Sale		2,112		3.5005 GBP
ORD		Sale		3,029		3.4826 GBP
ORD		Sale		3,500		41.9000 HKD
ORD		Sale		5,000		3.5099 GBP
ORD		Sale		5,460		3.4991 GBP
ORD		Sale		6,126		3.4420 GBP
ORD		Sale		6,163		3.4505 GBP
ORD		Sale		7,300		42.0500 HKD
ORD		Sale		7,888		3.4820 GBP
ORD		Sale		7,914		3.4767 GBP
ORD		Sale		9,500		42.1500 HKD
ORD		Sale		11,500		42.0000 HKD
ORD		Sale		11,923		3.4723 GBP
ORD		Sale		48,156		3.4702 GBP
ORD		Sale		52,932		3.4737 GBP
ORD		Sale		59,400		41.7614 HKD
ORD		Sale		64,018		3.4968 GBP
ORD		Sale		79,627		3.4693 GBP
ORD		Sale		91,000		3.5191 GBP
ORD		Sale		100,000		3.4498 GBP
ORD		Sale		100,000		3.5245 GBP
ORD		Sale		124,800		3.4700 GBP
ORD		Sale		125,000		3.5221 GBP
ORD		Sale		185,000		3.4527 GBP
ORD (traded as ADR)		Purchase		800		10.6400 USD
ORD (traded as ADR)		Purchase		800		10.6500 USD
ORD (traded as ADR)		Sale		800		10.6400 USD
ORD (traded as ADR)		Sale		800		10.6500 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		SWAP		Long		3,050		3.4482 GBP
ORD		SWAP		Short		3,050		3.4412 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	15 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.