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

Released 10:31 29-Jan-2013

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

GLENCORE INTL 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: 25 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? 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: 2,191,579 0.03% 46,060,179 0.65%
           
(2) Derivatives (other than
options): 42,919,454 0.60% 712,843 0.01%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
TOTAL:
45,111,033 0.63% 46,773,022 0.66%
 
Class of relevant security:   Convertible Bond XS0475310396      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 5,500,000 0.28% 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:
5,500,000 0.28% 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  
Convertible Bond Purchase 4,000,000 126.7500 USD
Convertible Bond Sale 100,000 126.7000 USD
ORD Purchase 538 3.9105 GBP
ORD Purchase 1,213 3.8935 GBP
ORD Purchase 1,631 3.9115 GBP
ORD Purchase 1,700 47.1500 HKD
ORD Purchase 1,800 47.2500 HKD
ORD Purchase 2,830 3.9144 GBP
ORD Purchase 3,500 47.0000 HKD
ORD Purchase 3,500 47.2000 HKD
ORD Purchase 4,079 3.9000 GBP
ORD Purchase 4,520 3.9260 GBP
ORD Purchase 6,000 47.4500 HKD
ORD Purchase 6,462 3.9156 GBP
ORD Purchase 7,053 3.8946 GBP
ORD Purchase 8,273 3.9142 GBP
ORD Purchase 8,639 3.9169 GBP
ORD Purchase 9,205 3.8890 GBP
ORD Purchase 10,205 3.9107 GBP
ORD Purchase 15,850 3.8939 GBP
ORD Purchase 16,939 3.9118 GBP
ORD Purchase 18,799 3.8817 GBP
ORD Purchase 24,310 3.9181 GBP
ORD Purchase 24,380 3.8783 GBP
ORD Purchase 25,573 3.9246 GBP
ORD Purchase 29,810 3.9090 GBP
ORD Purchase 49,254 3.9029 GBP
ORD Purchase 50,965 3.9089 GBP
ORD Purchase 100,717 3.8998 GBP
ORD Purchase 109,044 3.9115 GBP
ORD Purchase 138,196 3.9097 GBP
ORD Purchase 176,012 3.9036 GBP
ORD Purchase 338,829 3.9008 GBP
ORD Sale 140 3.9200 GBP
ORD Sale 200 47.2000 HKD
ORD Sale 371 3.9214 GBP
ORD Sale 714 3.9005 GBP
ORD Sale 1,076 3.9105 GBP
ORD Sale 1,741 3.9193 GBP
ORD Sale 3,000 47.4000 HKD
ORD Sale 3,262 3.9115 GBP
ORD Sale 3,400 47.5000 HKD
ORD Sale 4,520 3.9260 GBP
ORD Sale 5,469 3.9117 GBP
ORD Sale 6,000 3.8802 GBP
ORD Sale 8,700 47.1097 HKD
ORD Sale 11,726 3.9047 GBP
ORD Sale 12,049 3.9081 GBP
ORD Sale 13,202 3.9097 GBP
ORD Sale 20,166 3.9057 GBP
ORD Sale 25,917 3.8991 GBP
ORD Sale 31,736 3.8996 GBP
ORD Sale 40,154 3.9106 GBP
ORD Sale 43,227 3.9031 GBP
ORD Sale 45,846 3.9062 GBP
ORD Sale 61,000 3.8551 GBP
ORD Sale 78,078 3.9107 GBP
ORD Sale 79,141 3.9089 GBP
ORD Sale 94,000 3.8815 GBP
ORD Sale 117,891 3.8998 GBP
ORD Sale 196,085 3.9123 GBP
ORD Sale 258,748 3.9055 GBP
ORD Sale 262,671 3.9074 GBP
ORD Sale 319,766 3.9063 GBP
ORD Sale 399,400 3.8836 GBP
ORD Sale 1,002,000 3.9075 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 600 47.3391 HKD
ORD CFD Long 5,141 3.9094 GBP
ORD CFD Long 16,400 3.8958 GBP
ORD SWAP Long 40,154 3.9106 GBP
ORD SWAP Long 51,509 3.9121 GBP
ORD CFD Long 61,000 3.8551 GBP
ORD CFD Long 258,748 3.9054 GBP
ORD SWAP Long 274,163 3.9118 GBP
ORD CFD Short 218 3.8843 GBP
ORD SWAP Short 1,600 3.8720 GBP
ORD CFD Short 1,800 47.3072 HKD
ORD SWAP Short 3,701 3.8901 GBP
ORD SWAP Short 5,852 3.9214 GBP
ORD CFD Short 12,549 3.8878 GBP
ORD CFD Short 14,307 3.8814 GBP
ORD CFD Short 25,573 3.9246 GBP
ORD SWAP Short 43,179 3.8798 GBP
ORD CFD Short 101,322 3.9197 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:  

29 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.

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