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:  

16 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: 6,412,691 0.09% 41,509,423 0.58%
           
(2) Derivatives (other than
options): 37,299,198 0.53% 4,458,818 0.06%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
43,711,889 0.62% 45,968,241 0.65%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 900,000 0.04% 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:
900,000 0.04% 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 1,000,000 116.0000 USD
ORD Purchase 200 3.2605 GBP
ORD Purchase 600 38.7000 HKD
ORD Purchase 787 3.2845 GBP
ORD Purchase 800 38.8000 HKD
ORD Purchase 1,785 3.3300 GBP
ORD Purchase 3,129 3.3398 GBP
ORD Purchase 5,828 3.3044 GBP
ORD Purchase 6,320 3.2842 GBP
ORD Purchase 38,393 3.2437 GBP
ORD Purchase 54,300 38.3428 HKD
ORD Purchase 57,966 3.2510 GBP
ORD Purchase 58,216 3.3146 GBP
ORD Purchase 61,756 3.3084 GBP
ORD Purchase 63,882 3.3330 GBP
ORD Purchase 66,863 3.3141 GBP
ORD Purchase 79,790 3.2840 GBP
ORD Purchase 96,663 3.3385 GBP
ORD Purchase 104,223 3.3232 GBP
ORD Purchase 136,825 3.2928 GBP
ORD Purchase 183,400 3.2976 GBP
ORD Purchase 193,732 3.2859 GBP
ORD Purchase 205,140 3.3009 GBP
ORD Purchase 250,286 3.2516 GBP
ORD Purchase 539,865 3.2885 GBP
ORD Purchase 1,310,461 3.3000 GBP
ORD Sale 300 38.3500 HKD
ORD Sale 400 39.1500 HKD
ORD Sale 500 3.3725 GBP
ORD Sale 700 38.7000 HKD
ORD Sale 787 3.2846 GBP
ORD Sale 800 37.8500 HKD
ORD Sale 807 3.2655 GBP
ORD Sale 1,000 37.9000 HKD
ORD Sale 1,300 38.4500 HKD
ORD Sale 1,300 38.7538 HKD
ORD Sale 1,600 38.9000 HKD
ORD Sale 1,612 3.3603 GBP
ORD Sale 1,700 38.2500 HKD
ORD Sale 1,900 38.1500 HKD
ORD Sale 2,000 38.0000 HKD
ORD Sale 2,100 38.3000 HKD
ORD Sale 2,100 38.4000 HKD
ORD Sale 2,500 38.2000 HKD
ORD Sale 2,500 38.5000 HKD
ORD Sale 2,600 38.7500 HKD
ORD Sale 2,808 3.2632 GBP
ORD Sale 3,400 37.8000 HKD
ORD Sale 3,600 37.6000 HKD
ORD Sale 3,700 39.2000 HKD
ORD Sale 4,170 3.2695 GBP
ORD Sale 7,082 3.3518 GBP
ORD Sale 7,300 37.7500 HKD
ORD Sale 8,000 38.8500 HKD
ORD Sale 9,800 38.8000 HKD
ORD Sale 10,000 38.6000 HKD
ORD Sale 12,648 3.3671 GBP
ORD Sale 13,651 3.3700 GBP
ORD Sale 14,213 3.2743 GBP
ORD Sale 17,184 3.3176 GBP
ORD Sale 23,828 3.3216 GBP
ORD Sale 25,201 3.3707 GBP
ORD Sale 27,283 3.2900 GBP
ORD Sale 27,551 3.3400 GBP
ORD Sale 29,244 3.3396 GBP
ORD Sale 41,267 3.3056 GBP
ORD Sale 42,629 3.2925 GBP
ORD Sale 48,999 3.3188 GBP
ORD Sale 50,000 3.2616 GBP
ORD Sale 57,966 3.2510 GBP
ORD Sale 59,570 3.3366 GBP
ORD Sale 61,400 3.3344 GBP
ORD Sale 68,106 3.2182 GBP
ORD Sale 90,516 3.2732 GBP
ORD Sale 90,760 3.3958 GBP
ORD Sale 90,947 3.2962 GBP
ORD Sale 103,584 3.3322 GBP
ORD Sale 110,533 3.3505 GBP
ORD Sale 151,652 3.3112 GBP
ORD Sale 178,581 3.3033 GBP
ORD Sale 210,267 3.3183 GBP
ORD Sale 214,409 3.2990 GBP
ORD Sale 294,991 3.3199 GBP
ORD Sale 460,983 3.3000 GBP

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Long 34,088 3.3470 GBP
ORD SWAP Long 39,236 3.3496 GBP
ORD SWAP Long 50,000 3.2683 GBP
ORD SWAP Long 90,644 3.3361 GBP
ORD SWAP Long 218,484 3.3192 GBP
ORD SWAP Short 122,166 3.2819 GBP
ORD SWAP Short 145,362 3.2829 GBP
ORD SWAP Short 273,522 3.2853 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:  

17 April 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
FTSE quotes by TradingView

Latest directors dealings

All directors dealings today