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:  

15 Jan 2013

(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: 4,054,117 0.06% 41,982,592 0.59%
           
(2) Derivatives (other than
options): 41,447,632 0.58% 2,307,285 0.03%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
45,501,749 0.64% 44,289,877 0.62%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 3,100,000 0.13% 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:
3,100,000 0.13% 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

(a)   Purchases and sales        
Class of relevant Purchase/sale Number of Price per unit
security   securities  
ORD Purchase 50 3.9340 GBP
ORD Purchase 132 3.9151 GBP
ORD Purchase 300 48.6500 HKD
ORD Purchase 1,253 3.9277 GBP
ORD Purchase 1,558 3.9280 GBP
ORD Purchase 2,700 48.5500 HKD
ORD Purchase 3,126 3.9368 GBP
ORD Purchase 5,000 3.9439 GBP
ORD Purchase 5,200 3.9478 GBP
ORD Purchase 5,697 3.9466 GBP
ORD Purchase 5,900 48.5000 HKD
ORD Purchase 6,827 3.9491 GBP
ORD Purchase 6,866 3.9295 GBP
ORD Purchase 7,798 3.9329 GBP
ORD Purchase 7,907 3.9450 GBP
ORD Purchase 12,051 3.9423 GBP
ORD Purchase 22,763 3.9387 GBP
ORD Purchase 22,800 48.6000 HKD
ORD Purchase 28,086 3.9286 GBP
ORD Purchase 34,595 3.9420 GBP
ORD Purchase 52,282 3.9314 GBP
ORD Purchase 73,610 3.9270 GBP
ORD Purchase 94,523 3.9406 GBP
ORD Purchase 142,877 3.9580 GBP
ORD Purchase 142,877 3.9660 GBP
ORD Purchase 269,921 3.9309 GBP
ORD Purchase 285,754 3.9675 GBP
ORD Sale 100 48.6500 HKD
ORD Sale 200 48.5000 HKD
ORD Sale 254 3.9387 GBP
ORD Sale 400 48.6000 HKD
ORD Sale 872 3.9698 GBP
ORD Sale 2,480 3.9274 GBP
ORD Sale 3,719 3.9331 GBP
ORD Sale 6,653 3.9465 GBP
ORD Sale 7,039 3.9376 GBP
ORD Sale 12,458 3.9636 GBP
ORD Sale 14,043 3.9600 GBP
ORD Sale 19,777 3.9414 GBP
ORD Sale 27,942 3.9411 GBP
ORD Sale 31,176 3.9639 GBP
ORD Sale 31,700 48.5776 HKD
ORD Sale 46,018 3.9461 GBP
ORD Sale 48,369 3.9379 GBP
ORD Sale 57,585 3.9466 GBP
ORD Sale 78,064 3.9673 GBP
ORD Sale 142,466 3.9556 GBP
ORD Sale 142,631 3.9477 GBP
ORD Sale 191,580 3.9476 GBP
ORD Sale 209,430 3.9270 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 100 48.5403 HKD
ORD CFD Long 600 48.5152 HKD
ORD CFD Long 8,177 3.9493 GBP
ORD CFD Long 50,000 3.9648 GBP
ORD CFD Long 78,064 3.9673 GBP
ORD CFD Long 227,166 3.9621 GBP
ORD SWAP Short 49 3.9287 GBP
ORD CFD Short 132 3.9151 GBP
ORD CFD Short 3,700 3.9517 GBP
ORD CFD Short 4,018 3.9664 GBP
ORD CFD Short 4,169 3.9323 GBP
ORD CFD Short 12,221 3.9305 GBP
ORD CFD Short 40,240 3.9279 GBP
NB: The below transactions which were previously disclosed have been cancelled      
Class of   Product Nature of dealing Number of Price per
relevant description reference unit
security     securities  
ORD CFD Long 113,583 3.9621 GBP
ORD CFD Short 20,120 3.9279 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:  

16 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.

Short Name: BARCLAYS PLC
Category Code: FEO
Sequence Number: 359544
Time of Receipt (offset from UTC): 20130116T101824+0000

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