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 02 October 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 109,359,649 3.73% 912,036 0.03%
securities
(2) Derivatives 24,399,361 0.83% 22,997,319 0.78%
(other than
options)
(3) Options and 1,985,020 0.07% 1,955,900 0.07%
agreements to
purchase/sell
Total 135,744,030 4.63% 25,865,255 0.88%
(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 10,560 8.3396
Purchase 10,000 8.3400
Purchase 20,000 8.3923
Purchase 5,000 8.6000
Purchase 17,710 9.0576
Purchase 15,709 8.5359
Purchase 23,504 8.5350
Purchase 3,663 8.5363
Purchase 20,000 8.4786
Purchase 1,970 8.3427
Purchase 4,854 8.5350
Purchase 4,945 8.5350
Purchase 5,500 8.3220
Purchase 5,316 8.5350
Purchase 5,316 8.5350
Purchase 11,733 8.4800
Purchase 186,424 8.4946
Purchase 92,201 8.5350
Purchase 1,559 9.0400
Purchase 88,326 8.4064
Purchase 690 9.0400
Purchase 100,605 8.3800
Purchase 115,000 8.3610
Purchase 1,500 8.4144
Purchase 48,203 8.3802
Purchase 687 9.0350
Purchase 47,942 8.4124
Purchase 175 8.5000
Purchase 203,665 9.2250
Purchase 1,190 9.0400
Sale 4,993 8.5166
Sale 3,431 8.3915
Sale 4,641 8.3915
Sale 4,620 8.3842
Sale 3,906 8.3915
Sale 2,426 8.3915
Sale 3,525 8.4885
Sale 3,294 8.9809
Sale 3,171 8.9134
Sale 3,051 8.3915
Sale 1,400 8.6021
Sale 2,336 8.3915
Sale 2,321 8.4885
Sale 2,169 8.9809
Sale 1,006 8.3915
Sale 17,954 8.5350
Sale 203,665 9.2250
Sale 203,665 9.2250
Sale 101,437 8.3796
Sale 89,510 8.4456
Sale 79,110 8.5437
Sale 65,759 8.5359
Sale 59,855 8.2308
Sale 29,000 8.4800
Sale 26,442 8.5359
Sale 25,000 8.5350
Sale 22,163 8.5350
Sale 8,400 8.5207
Sale 18,758 8.3915
Sale 5,231 8.3915
Sale 15,836 8.5208
Sale 15,190 8.3915
Sale 11,900 9.0043
Sale 11,250 8.4885
Sale 10,515 8.9809
Sale 267,366 8.4734
Sale 9,533 8.3915
Sale 7,344 8.3915
Sale 6,746 8.3915
Sale 6,457 8.3915
Sale 5,240 8.3915
Sale 21,180 8.2978
(b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per
(e.g. CFD) (Note 6) Securities unit (GBP)
CFD Long 59855 8.2307
CFD Long 101437 8.3796
CFD Long 267366 8.4733
CFD Long 6244 8.5199
CFD Long 15836 8.5207
CFD Long 36508 8.535
CFD Long 20622 8.5743
CFD Long 1400 8.602
CFD Short 10560 8.3396
CFD Short 3021 8.3723
CFD Short 100605 8.3799
CFD Short 17091 8.383
CFD Short 20000 8.3923
CFD Short 1500 8.4144
CFD Short 186424 8.4945
CFD Short 838 8.5075
CFD Short 15709 8.5358
CFD Short 3663 8.5362
(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 500000 9.6 American 18/12/2009 -0.37
Call Optio Purchasing 500000 11 American 18/12/2009 -0.12
Call Optio Selling 500000 9.6 American 18/12/2009 -0.37
Call Optio Selling 500000 11 American 18/12/2009 -0.12
(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 05 October 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 500,020 782.0000 EURO 22/03/2010
Option Purchased 460,000 782.0000 EURO 22/03/2010
Option Sold -75,900 760.0000 EURO 29/09/2010
Option Purchased 525,000 720.0000 EURO 19/03/2010
Option Purchased 500,000 720.0000 EURO 18/12/2009
Option Sold -300,000 960.0000 EURO 18/12/2009
Option Sold -500,000 800.0000 EURO 18/12/2009
Option Sold -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