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

Released 11:26 11-Apr-2013
Number 0411005539

Form 8.5 (EPT/NON-RI) - GLENCORE INTL 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

 

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:  

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: 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: 4,451,195 0.06% 42,432,866 0.60%
           
(2) Derivatives (other than
options): 37,613,440 0.53% 2,480,462 0.03%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
42,064,635 0.59% 44,913,328 0.63%
           
Class of relevant security:   Convertible Bond XS0475310396      
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,100,000 0.18% 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:
4,100,000 0.18% 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 40.7000 HKD
ORD Purchase 100 41.4500 HKD
ORD Purchase 300 41.5000 HKD
ORD Purchase 1,428 3.5317 GBP
ORD Purchase 2,000 41.3500 HKD
ORD Purchase 2,800 41.1000 HKD
ORD Purchase 2,900 41.2500 HKD
ORD Purchase 3,258 3.5432 GBP
ORD Purchase 4,000 41.2000 HKD
ORD Purchase 4,500 41.3000 HKD
ORD Purchase 5,800 41.1500 HKD
ORD Purchase 6,410 3.5599 GBP
ORD Purchase 6,872 3.5372 GBP
ORD Purchase 9,323 3.5850 GBP
ORD Purchase 10,044 3.5263 GBP
ORD Purchase 11,311 3.5540 GBP
ORD Purchase 21,108 3.5437 GBP
ORD Purchase 25,102 3.5401 GBP
ORD Purchase 71,947 3.5386 GBP
ORD Purchase 74,545 3.5366 GBP
ORD Purchase 124,544 3.5363 GBP
ORD Purchase 185,000 3.5632 GBP
ORD Purchase 264,795 3.5563 GBP
ORD Purchase 506,300 3.4215 GBP
ORD Sale 100 40.7000 HKD
ORD Sale 1,096 3.5370 GBP
ORD Sale 1,111 3.5552 GBP
ORD Sale 1,177 3.5461 GBP
ORD Sale 1,428 3.5318 GBP
ORD Sale 2,176 3.5294 GBP
ORD Sale 2,650 3.5713 GBP
ORD Sale 3,000 3.5215 GBP
ORD Sale 6,370 3.5850 GBP
ORD Sale 10,000 3.5515 GBP
ORD Sale 11,946 3.5481 GBP
ORD Sale 15,304 3.5337 GBP
ORD Sale 15,319 3.5483 GBP
ORD Sale 16,838 3.5440 GBP
ORD Sale 17,308 3.5311 GBP
ORD Sale 18,814 3.5628 GBP
ORD Sale 22,500 41.2173 HKD
ORD Sale 90,310 3.5544 GBP
ORD Sale 91,096 3.5543 GBP
ORD Sale 155,297 3.5507 GBP
ORD Sale 170,000 3.5316 GBP
ORD Sale 238,279 3.5666 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 100 40.6419 HKD
ORD SWAP Long 794 3.5088 GBP
ORD CFD Long 2,320 3.5037 GBP
ORD CFD Long 14,675 3.5402 GBP
ORD CFD Long 19,505 3.5406 GBP
ORD CFD Long 47,000 3.5329 GBP
ORD CFD Long 55,778 3.5331 GBP
ORD SWAP Long 152,500 3.5846 GBP
ORD SWAP Short 600 3.5115 GBP
ORD SWAP Short 3,050 3.5112 GBP
ORD CFD Short 42,745 3.5374 GBP
ORD CFD Short 55,668 3.5437 GBP
ORD CFD Short 64,286 3.5857 GBP
ORD CFD Short 185,000 3.5632 GBP
ORD CFD Short 506,300 3.4215 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:

 

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.

BARCLAYS PLC

Source: BARCLAYS PLC


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