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:  

6 February 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: 2,929,182 0.04% 45,216,274 0.64%
           
(2) Derivatives (other than
options): 43,153,991 0.61% 1,286,395 0.02%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
46,083,173 0.65% 46,502,669 0.66%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 3,700,000 0.19% 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:
3,700,000 0.19% 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 3.8385 GBP
ORD Purchase 100 46.8500 HKD
ORD Purchase 100 47.2000 HKD
ORD Purchase 462 3.8482 GBP
ORD Purchase 514 3.8635 GBP
ORD Purchase 801 3.8772 GBP
ORD Purchase 872 3.8629 GBP
ORD Purchase 1,437 3.8590 GBP
ORD Purchase 2,071 3.8805 GBP
ORD Purchase 2,864 3.8790 GBP
ORD Purchase 10,891 3.8890 GBP
ORD Purchase 12,500 3.8644 GBP
ORD Purchase 14,604 3.8670 GBP
ORD Purchase 16,729 3.8559 GBP
ORD Purchase 18,394 3.8643 GBP
ORD Purchase 18,397 3.8822 GBP
ORD Purchase 21,994 3.8675 GBP
ORD Purchase 34,543 3.8448 GBP
ORD Purchase 46,812 3.8580 GBP
ORD Purchase 49,185 3.8678 GBP
ORD Purchase 53,923 3.8686 GBP
ORD Purchase 101,600 46.9013 HKD
ORD Purchase 159,389 3.8709 GBP
ORD Purchase 205,350 3.8548 GBP
ORD Sale 79 3.8380 GBP
ORD Sale 400 47.0500 HKD
ORD Sale 514 3.8635 GBP
ORD Sale 577 3.8341 GBP
ORD Sale 800 46.8500 HKD
ORD Sale 801 3.8772 GBP
ORD Sale 951 3.8872 GBP
ORD Sale 1,165 3.8935 GBP
ORD Sale 1,315 3.8762 GBP
ORD Sale 1,478 3.8690 GBP
ORD Sale 1,495 3.8590 GBP
ORD Sale 2,000 47.1500 HKD
ORD Sale 2,600 46.7500 HKD
ORD Sale 2,894 3.8819 GBP
ORD Sale 2,900 46.5000 HKD
ORD Sale 3,664 3.8559 GBP
ORD Sale 4,068 3.8798 GBP
ORD Sale 4,600 47.1000 HKD
ORD Sale 12,500 3.8644 GBP
ORD Sale 15,503 3.8823 GBP
ORD Sale 16,200 47.0000 HKD
ORD Sale 23,200 46.9000 HKD
ORD Sale 23,400 46.8000 HKD
ORD Sale 30,245 3.8656 GBP
ORD Sale 31,900 46.9500 HKD
ORD Sale 45,032 3.8664 GBP
ORD Sale 54,159 3.8600 GBP
ORD Sale 64,103 3.8573 GBP
ORD Sale 75,639 3.8655 GBP
ORD Sale 133,576 3.8681 GBP
ORD Sale 158,669 3.8646 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 1,495 3.8590 GBP
ORD CFD Long 3,531 3.8846 GBP
ORD CFD Long 5,841 3.8466 GBP
ORD CFD Long 6,300 46.9434 HKD
ORD CFD Long 30,145 3.8653 GBP
ORD CFD Short 100 47.2594 HKD
ORD CFD Short 300 3.8629 GBP
ORD CFD Short 2,225 3.8638 GBP
ORD CFD Short 6,300 3.8498 GBP
ORD CFD Short 20,282 3.8456 GBP
ORD CFD Short 101,700 3.8685 GBP
ORD CFD Short 112,013 3.8489 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:  

7 Feb 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: 362519
Time of Receipt (offset from UTC): 20130207T112317+0000

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