Rule 8.3 - XSTRATA PLC
Rule 8.3 disclosures made earlier this month showed an incorrect short position for options. This report shows the
corrected figure.
FORM 8.3
DEALINGS BY PERSONS WITH INTERESTS IN SECURITIES REPRESENTING 1% OR MORE
(Rule 8.3 of the City Code on Takeovers and Mergers)
1. KEY INFORMATION
Name of person dealing BARCLAYS PLC
(Note 1)
Company dealt in XSTRATA PLC
Class of relevant security ORD USD0.50
to which the dealings being
disclosed relate (Note 2)
Date of dealing 17 September 2009
2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE
(a) Interests and short positions (following dealing) in the class of relevant
security dealt in (Note 3)
Long Short
Number (%) Number (%)
(1) Relevant 110,731,678 3.78% 1,404,879 0.05%
securities
(2) Derivatives 2,104,606 0.07% 451,130 0.02%
(other than
options)
(3) Options and 1,500,000 0.05% 1,880,000 0.06%
agreements to
purchase/sell
Total 114,336,284 3.90% 3,736,009 0.13%
(b) Interests and short positions in relevant securities of the company, other
than the class dealt in (Note 3)
Class of Long Short
relevant
security:
Number (%) Number (%)
(1) Relevant
securities
(2) Derivatives
(other than
options)
(3) Options and
agreements to
purchase/sell
Total
(c) Rights to subscribe (Note 3)
Class of relevant security: Details
3. DEALINGS (Note 4)
(a) Purchases and sales
Purchase/sale Number of Securities Price per unit
(GBP)
Purchase 2,972 10.0000
Purchase 12,475 9.8034
Purchase 12,464 9.7800
Purchase 12,225 9.8034
Purchase 7,468 9.7500
Purchase 20 9.7050
Purchase 7,361 9.8034
Purchase 6,162 9.8034
Purchase 5,742 9.7288
Purchase 5,192 9.7376
Purchase 5,048 9.8600
Purchase 5,000 9.8200
Purchase 3,458 9.8034
Purchase 12,500 9.4700
Purchase 3,006 9.8034
Purchase 9,115 9.7510
Purchase 2,956 9.8034
Purchase 2,830 9.8034
Purchase 2,504 9.7410
Purchase 2,455 9.8034
Purchase 2,448 9.6325
Purchase 1,998 9.8034
Purchase 1,933 9.7500
Purchase 1,933 9.7500
Purchase 1,494 9.7500
Purchase 1,000 9.9097
Purchase 450 9.8247
Purchase 100 9.7750
Purchase 3,365 9.7790
Purchase 46,216 9.7627
Purchase 150,000 9.7089
Purchase 111,554 9.8588
Purchase 90,000 9.8760
Purchase 59,803 9.7661
Purchase 57,520 9.7860
Purchase 50,000 9.8177
Purchase 13,060 9.7950
Purchase 32,459 9.8192
Purchase 31,262 9.8034
Purchase 31,194 9.8034
Purchase 22,886 9.7225
Purchase 20,529 9.7421
Purchase 21,766 9.9374
Purchase 13,443 9.8034
Purchase 14,508 9.8034
Purchase 18,190 9.8034
Sale 2,400 9.8450
Sale 2,062 9.7307
Sale 2,000 9.9657
Sale 61,650 9.7253
Sale 1,997 9.7500
Sale 69,234 9.7500
Sale 12,500 9.4700
Sale 1,933 9.7500
Sale 1,500 9.9218
Sale 1,199 9.6812
Sale 12,517 9.7472
Sale 800 9.8635
Sale 120,000 9.9200
Sale 13,060 9.7950
Sale 28 9.9732
Sale 79,979 9.7616
Sale 4,707 9.7700
Sale 23,730 9.7253
Sale 6,759 9.7500
Sale 28,375 9.7500
Sale 254,414 9.7962
Sale 5,500 9.7500
Sale 5,200 9.8656
Sale 2,448 9.7500
Sale 9,315 9.7472
Sale 48,600 9.7937
Sale 4,316 9.7500
Sale 12,464 9.7800
Sale 8,658 9.7500
Sale 50,000 9.7988
Sale 51,944 9.7967
Sale 57,520 9.7860
Sale 57,520 9.7870
Sale 31,262 9.7500
(b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per
(e.g. CFD) (Note 6) Securities unit (GBP)
CFD Long 23730 9.7253
CFD Long 620 9.7425
CFD Long 9315 9.7472
CFD Long 4707 9.77
CFD Long 15587 9.7726
CFD Long 57520 9.7859
CFD Long 693 9.7899
CFD Long 254414 9.7961
CFD Long 51944 9.7966
CFD Long 50000 9.7987
CFD Long 356 9.8198
CFD Long 800 9.8635
CFD Long 1500 9.9218
CFD Long 2000 9.9656
CFD Short 150000 9.7089
CFD Short 22886 9.7224
CFD Short 5742 9.7288
CFD Short 20529 9.7421
CFD Short 9115 9.751
CFD Short 50000 9.8177
CFD Short 111554 9.8588
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Product name, Writing, Number of Exercise Type, e.g. Expiry Option money
e.g. call selling, securities to price American, date paid/received
option purchasing, which the option European etc. per unit (GBP)
varying etc. relates (GBP)
call optio writing 10000 800 EURO 19/03/2010 236
call optio writing 50000 800 EURO 19/03/2010 235.5
put option writing 300000 960 EURO 18/12/2009 95
(ii) Exercising
Product name, e.g. Number of Exercise price per
call option securities unit (Note 5)
(d) Other dealings (including new securities) (Note 4)
Nature of transaction Details Price per unit
(Note 8) (if applicable)
(Note 5)
4. OTHER INFORMATION
None
Agreements, arrangements or understandings relating to options or derivatives
Full details of any agreement, arrangement or understanding between the
person disclosing and any other person relating to the voting rights of
any relevant securities under any option referred to on this form or
relating to the voting rights or future acquisition or disposal of any
relevant securities to which any derivative referred to on this form is
referenced. If none, this should be stated.
Is a Supplemental Form 8 attached? (Note 9) YES
Date of disclosure 18 September 2009
Contact name Geoff Smith
Telephone number 020 7116 2913
If a connected EFM, name of
offeree/offeror with which connected
If a connected EFM, state nature of
connection (Note 10)
Notes
The Notes on Form 8.3 can be viewed on the Takeover Panel's website at
www.thetakeoverpanel.org.uk
SUPPLEMENTAL FORM 8
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 8.1, Form 8.1(b)(ii) or Form 8.3, as appropriate)
OPEN POSITIONS (Note 1)
Product name, Written or Number of securities Exercise price Type, e.g. Expiry date
e.g. call option purchased to which the option (Note 2) American,
or derivative relates European etc.
Option Purchased 525,000 720.0000 EURO 19/03/2010
Option Purchased 500,000 720.0000 EURO 18/12/2009
Option Purchased 475,000 720.0000 EURO 18/09/2009
Option Purchased -300,000 960.0000 EURO 18/12/2009
Option Purchased -500,000 800.0000 EURO 18/12/2009
Option Purchased -1,080,000 800.0000 EURO 19/03/2010
Notes
1. Where there are open option positions or open derivative positions (except for CFDs), full details should be given.
Full details of any existing agreements to purchase or to sell should also be given on this form.
2. For all prices and other monetary amounts, the currency must be stated.
For details of the Code's dealing disclosure requirements, see Rule 8 and its Notes which can be viewed on the Takeover
Panel's website at www.thetakeoverpanel.org.uk