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Form 8.5 (EPT/NON-RI) Glencore International Plc - Amendment

Released 11:52 06-Feb-2013

Form 8.5 (EPT/NON-RI) Glencore International Plc - Amendment

LONDON--(BUSINESS WIRE)--

Amendment

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 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: 4 February 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: 2,609,419 0.04% 45,661,624 0.64%
           
(2) Derivatives (other than
options): 44,126,597 0.62% 1,297,569 0.02%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4) TOTAL:
46,736,016 0.66% 46,959,193 0.66%
Class of relevant security:     Convertible Bond XS0475310396            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 6,200,000 0.32% 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:
6,200,000 0.32% 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 619 3.9485 GBP
ORD Purchase 538 3.9105 GBP
ORD Purchase 1,483 3.8691 GBP
ORD Purchase 1,989 3.8625 GBP
ORD Purchase 2,003 3.9175 GBP
ORD Purchase 4,100 48.0500 HKD
ORD Purchase 4,100 48.1500 HKD
ORD Purchase 4,700 48.3000 HKD
ORD Purchase 5,493 3.8904 GBP
ORD Purchase 7,300 48.2500 HKD
ORD Purchase 8,900 48.2000 HKD
ORD Purchase 14,256 3.8720 GBP
ORD Purchase 16,986 3.8863 GBP
ORD Purchase 24,900 3.8738 GBP
ORD Purchase 40,911 3.9009 GBP
ORD Purchase 85,089 3.8958 GBP
ORD Purchase 106,674 3.8782 GBP
ORD Purchase 166,300 3.9043 GBP
ORD Sale 451 3.9105 GBP
ORD Sale 686 3.9250 GBP
ORD Sale 3,317 3.9003 GBP
ORD Sale 3,506 3.9368 GBP
ORD Sale 4,927 3.9091 GBP
ORD Sale 4,976 3.8836 GBP
ORD Sale 6,111 3.9268 GBP
ORD Sale 6,400 3.8839 GBP
ORD Sale 12,299 3.8982 GBP
ORD Sale 13,698 3.8819 GBP
ORD Sale 18,450 3.9078 GBP
ORD Sale 29,100 48.2005 HKD
ORD Sale 44,934 3.8817 GBP
ORD Sale 62,525 3.8913 GBP
ORD Sale 77,300 3.8720 GBP
ORD Sale 116,524 3.9530 GBP
ORD Sale 223,044 3.8800 GBP
ORD Sale 660,000 3.8677 GBP
ORD Sale 364,541 3.8867 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 2,698 3.9221 GBP
ORD CFD Long 12,280 3.9322 GBP
ORD CFD Long 29,507 3.8973 GBP
ORD SWAP Long 116,524 3.9530 GBP
ORD CFD Long 660,000 3.8677 GBP
ORD CFD Short 10,387 3.9304 GBP
ORD CFD Short 32,440 3.8519 GBP
ORD CFD Short 80,818 3.8733 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:  

6 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 International Plc - Amendment - RNS