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 13 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 110,464,597 3.77% 473,799 0.02%
securities
(2) Derivatives 2,135,370 0.07% 944,114 0.03%
(other than
options)
(3) Options and 2,235,020 0.08% 2,105,900 0.07%
agreements to
purchase/sell
Total 114,834,987 3.92% 3,523,813 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 4,781 9.7615
Purchase 12,110 9.7615
Purchase 10,856 9.5750
Purchase 10,254 9.7615
Purchase 10,138 9.7120
Purchase 8,718 9.7615
Purchase 8,094 9.7615
Purchase 7,000 9.5739
Purchase 6,882 9.7615
Purchase 12,183 9.7615
Purchase 5,117 9.7615
Purchase 11,187 9.5750
Purchase 4,456 9.7615
Purchase 3,894 9.6410
Purchase 3,408 9.7615
Purchase 3,354 9.7021
Purchase 2,266 9.6281
Purchase 2,100 9.7554
Purchase 1,578 9.6750
Purchase 705 9.5750
Purchase 5,595 9.7615
Purchase 31,854 9.6867
Purchase 102,804 9.6861
Purchase 87,966 9.7636
Purchase 47,209 9.6293
Purchase 40,844 9.6750
Purchase 10,398 9.7615
Purchase 38,215 9.5883
Purchase 30,811 9.6066
Purchase 29,263 9.7615
Purchase 17,025 9.6867
Purchase 28,417 9.6376
Purchase 25,376 9.7615
Purchase 18,799 9.6552
Purchase 14,635 9.7615
Purchase 29,251 9.5979
Purchase 15,480 9.6867
Sale 105,674 9.7050
Sale 1,000 9.6059
Sale 1,300 9.8372
Sale 98,054 9.6882
Sale 87,797 9.6865
Sale 49,104 9.6363
Sale 5,827 9.7317
Sale 4,000 9.6000
Sale 39,686 9.6215
Sale 155 9.7100
Sale 14,200 9.6270
Sale 5,900 9.6793
Sale 7,160 9.6277
Sale 150,096 9.5910
(b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per
(e.g. CFD) (Note 6) Securities unit (GBP)
CFD Long 45087 9.586
CFD Long 150096 9.5909
CFD Long 37944 9.5912
CFD Long 1000 9.6059
CFD Long 3057 9.6165
CFD Long 7160 9.6276
CFD Long 49104 9.6362
CFD Long 1202 9.6479
CFD Long 87797 9.6865
CFD Long 45194 9.7016
CFD Long 89192 9.7057
CFD Long 5737 9.7146
CFD Long 33376 9.7202
CFD Long 1300 9.8372
CFD Short 7000 9.5738
CFD Short 38215 9.5883
CFD Short 29251 9.5978
CFD Short 40844 9.675
CFD Short 3354 9.7021
CFD Short 2100 9.7554
CFD Short 87966 9.7636
(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 150000 9.6 American 18/12/2009 0.98
Call Optio Selling 75900 9.6 American 18/12/2009 0.15290182
Call Optio Selling 150000 8.13254 European 12/10/2010 0.98
(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 14 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 Purchased 150,000 9.6000 AMER 18/12/2009
Option Sold -150,000 9.6000 AMER 18/12/2009
Option Sold -75,900 8.1325 EURO 12/10/2010
Option Purchased 525,000 720.0000 EURO 19/03/2010
Option Purchased 500,000 720.0000 EURO 18/12/2009
Option Purchased 100,000 920.0000 EURO 19/03/2010
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