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Company BARCLAYS PLC
TIDM XTA
Headline

Form 8.5 (EPT/NON-RI) XSTRATA PLC

Released 11:16 21-Feb-2013
Number 0221005680

Form 8.5 (EPT/NON-RI) XSTRATA PLC

LONDON--(BUSINESS WIRE)--

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

 

XSTRATA 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:  

20 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:

 

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: 12,700,264 0.42% 982,757 0.03%
           
(2) Derivatives (other than
options): 545,520 0.02% 32,017,456 1.07%
           
(3) Options and agreements to
purchase/sell: 22,260,583 0.74% 1,475,416 0.05%
           
(4) TOTAL:
35,506,367 1.18% 34,475,629 1.15%

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 300 11.8133 GBP
ORD Purchase 398 11.7300 GBP
ORD Purchase 1,299 11.7524 GBP
ORD Purchase 1,592 11.5331 GBP
ORD Purchase 1,653 11.6320 GBP
ORD Purchase 1,827 11.6950 GBP
ORD Purchase 2,456 11.8380 GBP
ORD Purchase 4,574 11.8330 GBP
ORD Purchase 6,544 11.6465 GBP
ORD Purchase 7,100 11.6108 GBP
ORD Purchase 7,270 11.8138 GBP
ORD Purchase 25,767 11.6166 GBP
ORD Purchase 29,089 11.5549 GBP
ORD Purchase 51,360 11.5690 GBP
ORD Purchase 56,688 11.4850 GBP
ORD Purchase 98,861 11.6878 GBP
ORD Purchase 103,688 11.5921 GBP
ORD Purchase 126,314 11.6247 GBP
ORD Purchase 300,000 11.5800 GBP
ORD Sale 70 11.7300 GBP
ORD Sale 195 11.5600 GBP
ORD Sale 536 11.7740 GBP
ORD Sale 623 11.5750 GBP
ORD Sale 763 11.7373 GBP
ORD Sale 780 11.4400 GBP
ORD Sale 960 11.8100 GBP
ORD Sale 975 11.8437 GBP
ORD Sale 1,310 11.5188 GBP
ORD Sale 1,500 11.6242 GBP
ORD Sale 3,414 11.8414 GBP
ORD Sale 3,450 11.4845 GBP
ORD Sale 3,726 11.4850 GBP
ORD Sale 4,452 11.4331 GBP
ORD Sale 6,814 11.6486 GBP
ORD Sale 8,390 11.8166 GBP
ORD Sale 9,106 11.6146 GBP
ORD Sale 12,499 11.8432 GBP
ORD Sale 18,030 11.4818 GBP
ORD Sale 23,137 11.6692 GBP
ORD Sale 47,053 11.4411 GBP
ORD Sale 104,191 11.5887 GBP
ORD Sale 127,991 11.5800 GBP
ORD Sale 163,573 11.4971 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 780 11.4389 GBP
ORD SWAP Long 1,500 11.6241 GBP
ORD CFD Long 1,633 11.8518 GBP
ORD CFD Long 9,045 11.8457 GBP
ORD CFD Short 5,305 11.5613 GBP
ORD SWAP Short 7,100 11.6109 GBP
ORD CFD Short 7,612 11.6265 GBP
ORD CFD Short 20,000 11.4850 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:  

21 Feb 2013

Contact name:   Geoff Smith
Telephone number:   020 3555 4632

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 person whose open positions are being disclosed:  

BARCLAYS CAPITAL SECURITIES LTD

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

XSTRATA PLC

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 22 Feb 2013
ORD Put Options Written -600,000 8.2000 American 22 Feb 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.

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.

BARCLAYS PLC

Source: BARCLAYS PLC


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