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Company BARCLAYS PLC
TIDM XTA
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Form 8.5 (EPT/NON-RI) XSTRATA PLC - Amendment

Released 11:22 18-Jan-2013
Number 0118005290

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

LONDON--(BUSINESS WIRE)--

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: 16 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: 12,346,784 0.41% 1,226,236 0.04%
           
(2) Derivatives (other than
options): 788,803 0.03% 32,415,454 1.08%
           
(3) Options and agreements to
purchase/sell: 22,260,583 0.74% 1,475,416 0.05%
           
(4) TOTAL:
35,396,170 1.18% 35,117,106 1.17%

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 109 11.4150 GBP
ORD Purchase 343 11.5800 GBP
ORD Purchase 633 11.5860 GBP
ORD Purchase 974 11.5600 GBP
ORD Purchase 3,067 11.3951 GBP
ORD Purchase 6,223 11.4912 GBP
ORD Purchase 6,900 11.3981 GBP
ORD Purchase 7,200 11.3973 GBP
ORD Purchase 12,384 11.7985 GBP
ORD Purchase 13,556 11.4277 GBP
ORD Purchase 18,674 11.5065 GBP
ORD Purchase 26,497 11.5035 GBP
ORD Purchase 35,980 11.4514 GBP
ORD Purchase 37,186 11.4377 GBP
ORD Purchase 76,040 11.4973 GBP
ORD Purchase 136,131 11.4705 GBP
ORD Purchase 293,903 11.4080 GBP
ORD Purchase 1,775,836 11.4354 GBP
ORD Sale 120 11.5383 GBP
ORD Sale 236 11.5700 GBP
ORD Sale 513 11.5977 GBP
ORD Sale 1,584 11.3674 GBP
ORD Sale 2,481 11.4250 GBP
ORD Sale 2,500 11.3555 GBP
ORD Sale 3,237 11.5510 GBP
ORD Sale 3,490 11.4911 GBP
ORD Sale 3,777 11.3625 GBP
ORD Sale 5,992 11.4250 GBP
ORD Sale 7,737 11.4222 GBP
ORD Sale 8,620 11.4775 GBP
ORD Sale 20,000 11.3897 GBP
ORD Sale 24,753 11.4261 GBP
ORD Sale 27,017 11.4480 GBP
ORD Sale 47,004 11.3909 GBP
ORD Sale 55,174 11.7314 GBP
ORD Sale 93,117 11.5251 GBP
ORD Sale 102,919 11.4362 GBP
ORD Sale 140,105 11.4583 GBP
ORD Sale 143,558 11.4055 GBP
ORD Sale 1,440,933 11.4404 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 815 11.3775 GBP
ORD CFD Long 516 11.7684 GBP
ORD CFD Long 1,137 11.4236 GBP
ORD SWAP Long 2,140 11.3904 GBP
ORD SWAP Long 2,500 11.3554 GBP
ORD SWAP Long 93,117 11.5251 GBP
ORD SWAP Short 7,200 11.3973 GBP
ORD CFD Short 7,417 11.5802 GBP
ORD CFD Short 148,910 11.4434 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:  

18 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.

143221.01

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 Written -250,000 7.2000 American 18 Jan 2013
ORD Put Options Written -600,000 8.2000 American 18 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.

BARCLAYS PLC

Source: BARCLAYS PLC


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