Form 8.5 (EPT/NON-RI) XSTRATA PLC - Amendment

LONDON--()--

FORM 8.5 (EPT/NON-RI) AMENDMENT

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

XSTRATA PLC

  relevant securities this form relates:  
(c) Name of the party to the offer with which exempt Advisor to Offeree
  principal trader is connected  
(d) Date position held/dealing undertaken: 4 January 2013
(e) Has the EPT previously disclosed, or is it YES:
today disclosing, under the Code in respect
  of any other party to this offer? GLENCORE INTL 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: 18,795,274 0.63% 1,153,452 0.04%
           
(2) Derivatives (other than
options): 609,582 0.02% 39,057,728 1.30%
           
(3) Options and agreements to
purchase/sell: 24,831,446 0.83% 1,975,416 0.07%
           
(4) TOTAL:
44,236,302 1.48% 42,186,596 1.40%

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 139 11.3300 GBP
ORD Purchase 200 11.2545 GBP
ORD Purchase 353 11.4237 GBP
ORD Purchase 414 11.4393 GBP
ORD Purchase 603 11.2500 GBP
ORD Purchase 1,200 11.4333 GBP
ORD Purchase 2,000 11.4387 GBP
ORD Purchase 4,156 11.3734 GBP
ORD Purchase 5,273 11.3045 GBP
ORD Purchase 10,243 11.3368 GBP
ORD Purchase 23,375 11.3972 GBP
ORD Purchase 27,464 11.3525 GBP
ORD Purchase 39,966 11.4369 GBP
ORD Purchase 59,589 11.3918 GBP
ORD Purchase 93,326 11.4700 GBP
ORD Sale 100 11.2500 GBP
ORD Sale 100 11.2600 GBP
ORD Sale 800 11.4325 GBP
ORD Sale 881 11.4040 GBP
ORD Sale 1,200 11.2366 GBP
ORD Sale 1,586 11.3863 GBP
ORD Sale 2,800 11.4387 GBP
ORD Sale 4,100 11.3976 GBP
ORD Sale 4,415 11.3724 GBP
ORD Sale 8,389 11.3748 GBP
ORD Sale 13,840 11.3821 GBP
ORD Sale 16,761 11.3884 GBP
ORD Sale 16,953 11.4700 GBP
ORD Sale 22,700 11.3963 GBP
ORD Sale 22,700 16.9500 CHF
ORD Sale 24,047 11.3677 GBP
ORD Sale 34,683 11.3034 GBP
ORD Sale 38,171 11.4393 GBP
ORD Sale 96,925 11.4469 GBP
ORD Sale 1,925,000 11.2809 GBP

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Long 303 11.2845 GBP
ORD CFD Long 800 11.4439 GBP
ORD SWAP Long 2,570 11.4387 GBP
ORD SWAP Long 4,100 11.3976 GBP
ORD CFD Long 22,700 16.9474 CHF
ORD CFD Long 44,553 11.3782 GBP
ORD CFD Short 1,167 11.4160 GBP
ORD SWAP Short 2,000 11.4388 GBP
ORD SWAP Short 39,966 11.4369 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?  

YES

Date of disclosure:    
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.

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Identity of the person whose positions/dealings   BARCLAYS CAPITAL SECURITIES LTD
are being disclosed:  
Name of offeror/offeree in relation to whose XSTRATA PLC
relevant securities this from relates:  

2. OPTIONS AND DERIVATIVES

Class   Product   Writing,   Number   Exercise   Type   Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
      relates      
ORD Call Options Purchased 168,000 11.0346 European 16 May 2013
ORD Call Options Purchased 167,900 11.1902 European 13 Mar 2013
ORD Put Options Purchased 2,570,863 7.9303 European 18 Jun 2013
ORD Put Options Written -250,000 7.2000 American 6 Jan 2013
ORD Put Options Written -500,000 8.0000 American 6 Jan 2013
ORD Put Options Written -600,000 8.2000 American 6 Jan 2013
ORD Call Options Written -625,416 12.0000 European 27 Feb 2013
ORD Equity Forward Purchased 21,924,683 20.5248   17 Jun 2013

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to contracts for differences (“CFDs”) or spread bets.

The currency of all prices and other monetary amounts should be stated.

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: 358400
Time of Receipt (offset from UTC): 20130108T111309+0000

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