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

Released 11:26 11-Apr-2013
Number 0411005541

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 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:  

9 April 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: 8,443,403 0.28% 1,056,329 0.04%
           
(2) Derivatives (other than
options): 691,695 0.02% 27,291,365 0.91%
           
(3) Options and agreements to
purchase/sell: 22,260,583 0.74% 850,000 0.03%
           
(4) TOTAL:
31,395,681 1.04% 29,197,694 0.97%

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 203 10.7044 GBP
ORD Purchase 315 10.6774 GBP
ORD Purchase 1,218 10.7600 GBP
ORD Purchase 1,800 10.7150 GBP
ORD Purchase 3,407 10.7261 GBP
ORD Purchase 4,421 10.7173 GBP
ORD Purchase 5,257 10.6722 GBP
ORD Purchase 5,909 10.6921 GBP
ORD Purchase 13,333 10.7081 GBP
ORD Purchase 14,736 10.7650 GBP
ORD Purchase 20,000 10.7639 GBP
ORD Purchase 23,340 10.6842 GBP
ORD Purchase 35,243 10.6647 GBP
ORD Purchase 38,456 10.6939 GBP
ORD Purchase 47,698 10.7806 GBP
ORD Purchase 53,265 10.7595 GBP
ORD Purchase 174,293 10.6822 GBP
ORD Sale 67 10.6525 GBP
ORD Sale 315 10.6776 GBP
ORD Sale 461 10.6732 GBP
ORD Sale 1,365 10.7758 GBP
ORD Sale 1,615 10.6191 GBP
ORD Sale 2,420 10.6155 GBP
ORD Sale 3,316 10.6433 GBP
ORD Sale 4,325 10.6259 GBP
ORD Sale 4,910 10.7650 GBP
ORD Sale 5,223 10.6639 GBP
ORD Sale 6,421 10.6702 GBP
ORD Sale 6,906 10.7802 GBP
ORD Sale 8,170 10.6546 GBP
ORD Sale 9,689 10.6802 GBP
ORD Sale 12,466 10.7887 GBP
ORD Sale 17,637 10.7034 GBP
ORD Sale 20,124 10.7731 GBP
ORD Sale 39,662 10.6896 GBP
ORD Sale 49,634 10.6975 GBP
ORD Sale 50,235 10.6956 GBP
ORD Sale 60,159 10.7446 GBP
ORD Sale 90,754 10.6948 GBP
ORD Sale 116,232 10.7041 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 461 10.6732 GBP
ORD SWAP Long 1,000 10.5935 GBP
ORD CFD Long 4,348 10.5948 GBP
ORD SWAP Long 6,421 10.6702 GBP
ORD CFD Long 10,173 10.6660 GBP
ORD CFD Long 19,000 10.6240 GBP
ORD SWAP Short 1,017 10.7748 GBP
ORD SWAP Short 1,099 10.6754 GBP
ORD CFD Short 3,384 10.7084 GBP
ORD SWAP Short 3,404 10.7002 GBP
ORD SWAP Short 50,000 10.7661 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:  

11 Apr 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.

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 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 11.8862 European 24 Sep 2013
ORD Put Options Written -250,000 7.2000 American 11 Apr 2013
ORD Put Options Written -600,000 8.2000 American 11 Apr 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