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: 7 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: 17,798,376 0.59% 1,075,949 0.04%
           
(2) Derivatives (other than
options): 612,461 0.02% 38,337,940 1.28%
           
(3) Options and agreements to
purchase/sell: 24,831,446 0.83% 1,975,416 0.07%
           
(4) TOTAL:
43,242,283 1.44% 41,389,305 1.38%

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 505 11.3674 GBP
ORD Purchase 908 11.3950 GBP
ORD Purchase 1,040 11.3800 GBP
ORD Purchase 2,158 11.3739 GBP
ORD Purchase 3,106 11.3814 GBP
ORD Purchase 5,568 11.3549 GBP
ORD Purchase 8,861 11.3752 GBP
ORD Purchase 11,718 11.3834 GBP
ORD Purchase 28,138 11.4450 GBP
ORD Purchase 31,946 11.3908 GBP
ORD Purchase 95,976 11.3900 GBP
ORD Sale 160 11.3850 GBP
ORD Sale 205 11.3745 GBP
ORD Sale 300 11.3633 GBP
ORD Sale 500 11.4100 GBP
ORD Sale 978 11.4198 GBP
ORD Sale 1,240 16.9500 CHF
ORD Sale 2,454 11.4450 GBP
ORD Sale 3,218 16.9000 CHF
ORD Sale 3,276 11.3839 GBP
ORD Sale 3,378 11.4450 GBP
ORD Sale 3,659 11.3631 GBP
ORD Sale 5,175 11.4009 GBP
ORD Sale 7,382 11.4021 GBP
ORD Sale 8,477 11.4054 GBP
ORD Sale 16,925 11.4379 GBP
ORD Sale 29,626 11.4033 GBP
ORD Sale 36,016 11.4408 GBP
ORD Sale 56,350 11.3787 GBP
ORD Sale 930,000 11.3802 GBP

(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 500 11.4088 GBP
ORD SWAP Long 2,976 11.3534 GBP
ORD SWAP Long 3,276 11.3839 GBP
ORD CFD Long 4,458 16.9113 CHF
ORD SWAP Long 27,367 11.4319 GBP
ORD CFD Short 1,408 11.3315 GBP
ORD CFD Short 2,212 11.3975 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:  

9 Jan 2013

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.

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 9 Jan 2013
ORD Put Options Written -500,000 8.0000 American 9 Jan 2013
ORD Put Options Written -600,000 8.2000 American 9 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: 358560
Time of Receipt (offset from UTC): 20130109T100027+0000

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BARCLAYS PLC

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BARCLAYS PLC