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Company BARCLAYS PLC
TIDM GLEN
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Form 8.5 (EPT/NON-RI) GLENCORE INTL PLC

Released 11:16 21-Feb-2013
Number 0221005679

Form 8.5 (EPT/NON-RI) GLENCORE INTL 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

 

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:  

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:

 

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: 2,476,578 0.03% 46,182,304 0.65%
           
(2) Derivatives (other than
options): 42,351,475 0.60% 1,066,885 0.02%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
44,828,053 0.63% 47,249,189 0.67%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,400,000 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:
4,400,000 0.19% 0 0.00%
 
Class of relevant security:   ADR      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 0 0.00% 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:

 

0 0.00% 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 300 46.7500 HKD
ORD Purchase 400 47.0500 HKD
ORD Purchase 447 3.8282 GBP
ORD Purchase 1,000 47.1000 HKD
ORD Purchase 1,570 3.8707 GBP
ORD Purchase 1,832 3.8235 GBP
ORD Purchase 2,357 3.9185 GBP
ORD Purchase 2,400 46.9000 HKD
ORD Purchase 4,200 3.8639 GBP
ORD Purchase 7,630 3.9112 GBP
ORD Purchase 11,560 3.8697 GBP
ORD Purchase 13,283 3.8834 GBP
ORD Purchase 15,656 3.8375 GBP
ORD Purchase 17,473 3.8747 GBP
ORD Purchase 18,774 3.8706 GBP
ORD Purchase 20,407 3.8440 GBP
ORD Purchase 23,240 3.8410 GBP
ORD Purchase 25,422 3.8619 GBP
ORD Purchase 28,243 3.8688 GBP
ORD Purchase 28,470 3.8659 GBP
ORD Purchase 33,583 3.9259 GBP
ORD Purchase 34,109 3.9120 GBP
ORD Purchase 36,385 3.8607 GBP
ORD Purchase 49,932 3.8920 GBP
ORD Purchase 82,705 3.8863 GBP
ORD Purchase 202,206 3.8831 GBP
ORD Purchase 492,943 3.8753 GBP
ORD Purchase 500,000 3.8731 GBP
ORD Purchase 553,779 3.8724 GBP
ORD Sale 118 3.9443 GBP
ORD Sale 147 3.9419 GBP
ORD Sale 1,400 47.0857 HKD
ORD Sale 1,798 3.9185 GBP
ORD Sale 2,400 46.9000 HKD
ORD Sale 2,471 3.8235 GBP
ORD Sale 2,474 3.9070 GBP
ORD Sale 3,315 3.8662 GBP
ORD Sale 4,956 3.8540 GBP
ORD Sale 7,050 3.8637 GBP
ORD Sale 7,630 3.9115 GBP
ORD Sale 11,217 3.8622 GBP
ORD Sale 15,952 3.9324 GBP
ORD Sale 16,303 3.9293 GBP
ORD Sale 17,366 3.9196 GBP
ORD Sale 22,612 3.8961 GBP
ORD Sale 22,716 3.8605 GBP
ORD Sale 25,988 3.8619 GBP
ORD Sale 33,044 3.8742 GBP
ORD Sale 36,297 3.8592 GBP
ORD Sale 37,403 3.8790 GBP
ORD Sale 48,933 3.8377 GBP
ORD Sale 55,035 3.8499 GBP
ORD Sale 99,944 3.8697 GBP
ORD Sale 138,282 3.8780 GBP
ORD Sale 269,795 3.8607 GBP
ORD Sale 285,805 3.8555 GBP
ORD Sale 300,000 3.8717 GBP
ORD Sale 305,000 3.8692 GBP
ORD Sale 398,572 3.8768 GBP
ORD (traded as ADR) Purchase 2,000 11.5800 USD
ORD (traded as ADR) Purchase 2,000 11.6000 USD
ORD (traded as ADR) Sale 2,000 11.5800 USD
ORD (traded as ADR) Sale 2,000 11.6000 USD

(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 300 3.8996 GBP
ORD SWAP Long 700 3.8325 GBP
ORD CFD Long 1,932 3.9378 GBP
ORD CFD Long 14,655 3.9340 GBP
ORD CFD Long 15,598 3.9293 GBP
ORD CFD Long 20,866 3.9235 GBP
ORD CFD Short 300 46.8093 HKD
ORD SWAP Short 8,761 3.8415 GBP
ORD SWAP Short 9,715 3.8393 GBP
ORD CFD Short 25,673 3.8582 GBP
ORD CFD Short 19,899 3.8701 GBP
ORD SWAP Short 43,647 3.8424 GBP
ORD CFD Short 492,943 3.8756 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

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) GLENCORE INTL PLC - RNS