Rule 8.3 - XSTRATA PLC
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 21 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 111,664,279 3.81% 1,005,573 0.03%
securities
(2) Derivatives 2,225,230 0.08% 635,810 0.02%
(other than
options)
(3) Options and 1,025,000 0.03% 1,880,000 0.06%
agreements to
purchase/sell
Total 114,914,509 3.92% 3,521,383 0.12%
(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 29,872 9.3000
Purchase 40,141 9.3150
Purchase 8,000 9.6008
Purchase 1,183 9.3817
Purchase 2,450 9.6500
Purchase 33,210 9.6500
Purchase 900 9.2850
Purchase 1,234 9.6500
Purchase 35,000 8.0000
Purchase 1,290 9.2350
Purchase 14,115 9.4451
Purchase 14,095 9.2643
Purchase 1,494 9.3000
Purchase 7,700 9.2564
Purchase 5,200 9.2600
Purchase 33,210 9.6500
Purchase 475,000 7.2000
Purchase 2,000 7.6000
Purchase 97 9.6500
Purchase 2,000 8.6000
Purchase 428 9.2050
Purchase 475,000 7.2000
Purchase 110,619 9.3715
Purchase 200 9.2138
Purchase 50,000 9.2547
Purchase 185,558 9.6500
Sale 2,450 9.6500
Sale 2,360 9.2937
Sale 1,800 9.5800
Sale 832 9.4150
Sale 1,546 9.2680
Sale 1,290 9.3000
Sale 1,349 9.4232
Sale 1,015 9.2451
Sale 834 9.4200
Sale 105 9.3000
Sale 1,234 9.6500
Sale 144 9.6078
Sale 700 9.2685
Sale 33,210 9.6500
Sale 2,000 7.6000
Sale 475,000 7.2000
Sale 234,005 9.3589
Sale 185,558 9.6500
Sale 50,793 9.6500
Sale 47,762 9.3377
Sale 46,357 9.3000
Sale 41,444 9.3427
Sale 36,559 9.4036
Sale 7,786 9.5877
Sale 33,210 9.6500
Sale 2,824 9.4103
Sale 19,458 9.3000
Sale 15,838 9.2885
Sale 2,000 8.6000
Sale 10,000 9.3000
Sale 97 9.6500
Sale 5,172 9.4211
Sale 4,604 9.3000
Sale 4,177 9.4172
Sale 2,842 9.3000
Sale 35,000 8.0000
NB: The below transactions which were previously disclosed have been cancelled
Deal Date Purchase/Sale Number of Securities Price per unit (GBP)
18/09/2009 Purchase 475,000 7.2000
(b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per
(e.g. CFD) (Note 6) Securities unit (GBP)
CFD Long 1015 9.2451
CFD Long 700 9.2685
CFD Long 13609 9.284
CFD Long 15838 9.2885
CFD Long 9908 9.2928
CFD Long 976 9.3191
CFD Long 47762 9.3377
CFD Long 234005 9.3588
CFD Long 8645 9.399
CFD Long 1535 9.4007
CFD Long 2975 9.5224
CFD Long 1964 9.5606
CFD Long 1800 9.58
CFD Long 144 9.6078
CFD Short 200 9.2138
CFD Short 7700 9.2564
CFD Short 14095 9.2642
CFD Short 110619 9.3714
CFD Short 8000 9.6008
(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 Purchasing 33210 10 European 18/12/2009 -0.923
Call Optio Selling 33210 10 European 18/12/2009 -0.923
Put Option Purchasing 33210 10 European 18/12/2009 -1.258
Put Option Selling 33210 10 European 18/12/2009 -1.258
(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 22 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 -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