Form 8.5 (EPT/NON-RI) GLENCORE INTL PLC

LONDON--()--

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:  

28 December 2012

(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: 3,929,790 0.06% 39,975,259 0.56%
           
(2) Derivatives (other than
options): 39,364,684 0.55% 2,255,408 0.03%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
43,294,474 0.61% 42,230,667 0.59%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 2,700,000 0.12% 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:
2,700,000 0.12% 0 0.00%
 
Class of relevant security:   ADR      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 0 0.00% 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:
0 0.00% 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  
ORD Purchase 100 3.5500 GBP
ORD Purchase 268 3.5655 GBP
ORD Purchase 500 3.5795 GBP
ORD Purchase 500 44.7500 HKD
ORD Purchase 700 44.7000 HKD
ORD Purchase 2,200 3.5909 GBP
ORD Purchase 2,600 44.8000 HKD
ORD Purchase 2,706 3.5933 GBP
ORD Purchase 3,602 3.5537 GBP
ORD Purchase 3,825 3.5556 GBP
ORD Purchase 4,000 45.0000 HKD
ORD Purchase 4,200 44.9500 HKD
ORD Purchase 8,506 3.5786 GBP
ORD Purchase 9,700 44.9000 HKD
ORD Purchase 47,800 3.5912 GBP
ORD Purchase 75,210 3.5727 GBP
ORD Purchase 115,000 3.5283 GBP
ORD Purchase 116,735 3.5559 GBP
ORD Sale 100 3.5500 GBP
ORD Sale 268 3.5655 GBP
ORD Sale 502 3.5793 GBP
ORD Sale 2,200 3.5909 GBP
ORD Sale 3,825 3.5556 GBP
ORD Sale 15,943 3.5912 GBP
ORD Sale 21,700 44.9062 HKD
ORD Sale 43,348 3.5400 GBP
ORD Sale 128,843 3.5574 GBP
ORD Sale 200,827 3.5679 GBP
ORD Sale 1,428,496 3.5570 GBP
ORD (traded as ADR) Purchase 260 11.2600 USD
ORD (traded as ADR) Purchase 298 11.3900 USD
ORD (traded as ADR) Purchase 1,880 11.3100 USD
ORD (traded as ADR) Sale 298 11.3900 USD
ORD (traded as ADR) Sale 1,880 11.3100 USD
ORD (traded as ADR) Sale 2,140 11.3039 USD

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD CFD Long 298 3.5471 GBP
ORD CFD Long 12,599 3.5545 GBP
ORD CFD Long 156,073 3.5640 GBP
ORD CFD Long 1,428,496 3.5570 GBP
ORD CFD Short 75,210 3.5730 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:  

31 Dec 2012

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.

Short Name: BARCLAYS PLC
Category Code: FEO
Sequence Number: 357588
Time of Receipt (offset from UTC): 20121231T101450+0000

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