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

LONDON--()--

AMENDMENT

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:  

21 January 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: 3,079,595 0.04% 43,664,720 0.62%
           
(2) Derivatives (other than
options): 42,022,021 0.59% 1,606,883 0.02%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
45,101,616 0.63% 45,271,603 0.64%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,100,000 0.05% 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:
1,100,000 0.05% 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 3.8150 GBP
ORD Purchase 200 46.9000 HKD
ORD Purchase 600 46.6500 HKD
ORD Purchase 735 3.8165 GBP
ORD Purchase 1,073 3.8499 GBP
ORD Purchase 1,100 47.0000 HKD
ORD Purchase 2,000 3.8255 GBP
ORD Purchase 2,136 3.8327 GBP
ORD Purchase 2,200 46.8500 HKD
ORD Purchase 2,381 3.8329 GBP
ORD Purchase 4,428 3.8227 GBP
ORD Purchase 5,800 47.0189 HKD
ORD Purchase 6,602 3.8267 GBP
ORD Purchase 10,531 3.8309 GBP
ORD Purchase 14,785 3.8266 GBP
ORD Purchase 21,873 3.8280 GBP
ORD Purchase 54,036 3.8290 GBP
ORD Purchase 100,213 3.8217 GBP
ORD Sale 100 3.8151 GBP
ORD Sale 120 3.8330 GBP
ORD Sale 735 3.8165 GBP
ORD Sale 1,100 46.9500 HKD
ORD Sale 1,539 3.8333 GBP
ORD Sale 2,092 3.8241 GBP
ORD Sale 2,200 47.0500 HKD
ORD Sale 2,400 46.8541 HKD
ORD Sale 3,500 3.8136 GBP
ORD Sale 3,700 47.0000 HKD
ORD Sale 3,987 3.8274 GBP
ORD Sale 5,160 3.8336 GBP
ORD Sale 5,236 3.8152 GBP
ORD Sale 5,335 3.8318 GBP
ORD Sale 9,647 3.8328 GBP
ORD Sale 11,426 3.8317 GBP
ORD Sale 14,096 3.8364 GBP
ORD Sale 14,188 3.8414 GBP
ORD Sale 49,854 3.8362 GBP
ORD Sale 56,946 3.8354 GBP
ORD Sale 179,747 3.8307 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 46.9406 HKD
ORD SWAP Long 160 3.8366 GBP
ORD CFD Long 1,100 46.8902 HKD
ORD CFD Long 5,160 3.8333 GBP
ORD CFD Long 132,952 3.8317 GBP
ORD CFD Long 68,311 3.8286 GBP
ORD CFD Short 600 46.7090 HKD
ORD CFD Short 1,100 47.0566 HKD
ORD CFD Short 7,637 3.8294 GBP
ORD SWAP Short 100,213 3.8217 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:  

23 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: 360698
Time of Receipt (offset from UTC): 20130123T110511+0000

Contacts

BARCLAYS PLC

Sharing

Contacts

BARCLAYS PLC