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BARCLAYS PLC (XTA)

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Friday 04 May, 2012

BARCLAYS PLC

Form 8.5 (EPT/NON-RI) XSTRATA PLC Amendment

Form 8.5 (EPT/NON-RI) XSTRATA PLC Amendment

BARCLAYS PLC

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

 

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:  

30 April 2012

(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: 2,916,329 0.10% 1,135,083 0.04%
           
(2) Derivatives (other than
options): 428,887 0.01% 886,956 0.03%
           
(3) Options and agreements to
purchase/sell: 250,543 0.01% 2,551,026 0.08%
           
(4) TOTAL:
3,595,759 0.12% 4,573,065 0.15%

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 110 11.9950 GBP
ORD Purchase 760 11.8500 GBP
ORD Purchase 817 11.8600 GBP
ORD Purchase 825 11.9579 GBP
ORD Purchase 1,000 11.8488 GBP
ORD Purchase 1,064 11.9453 GBP
ORD Purchase 1,678 12.0500 GBP
ORD Purchase 3,061 11.7750 GBP
ORD Purchase 4,253 11.9970 GBP
ORD Purchase 7,636 11.8702 GBP
ORD Purchase 8,875 11.8597 GBP
ORD Purchase 9,337 11.9981 GBP
ORD Purchase 11,886 11.7800 GBP
ORD Purchase 13,300 11.8418 GBP
ORD Purchase 19,485 11.7929 GBP
ORD Purchase 29,355 11.8755 GBP
ORD Purchase 48,552 11.8740 GBP
ORD Purchase 50,036 11.8571 GBP
ORD Purchase 82,942 11.8750 GBP
ORD Purchase 95,379 11.7835 GBP
ORD Purchase 132,189 11.8592 GBP
ORD Sale 22 11.9936 GBP
ORD Sale 256 12.0000 GBP
ORD Sale 300 11.7768 GBP
ORD Sale 500 11.9636 GBP
ORD Sale 760 11.8500 GBP
ORD Sale 804 11.8175 GBP
ORD Sale 842 11.7882 GBP
ORD Sale 6,819 11.8833 GBP
ORD Sale 8,544 11.7859 GBP
ORD Sale 13,160 11.7812 GBP
ORD Sale 26,196 11.8767 GBP
ORD Sale 27,111 11.8286 GBP
ORD Sale 41,169 11.8654 GBP
ORD Sale 42,700 11.7798 GBP
ORD Sale 44,600 11.7750 GBP
ORD Sale 49,616 11.8760 GBP
ORD Sale 56,465 11.8393 GBP
ORD Sale 90,701 11.8484 GBP
ORD Sale 110,000 11.8700 GBP
ORD (traded as ADR) Purchase 12,651 3.7764 USD

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Long 109 11.8082 GBP
ORD CFD Long 6,885 11.8449 GBP
ORD CFD Long 12,652 11.8018 GBP
ORD SWAP Short 230 11.8150 GBP
ORD SWAP Short 4,945 11.8844 GBP
ORD CFD Short 6,885 11.8465 GBP
ORD CFD Short 12,652 11.8027 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:  

4 May 2012

Contact name:   Geoff Smith
Telephone number:   020 7116 2913

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 Put Options Purchased 250,000 10.0000 American 2 May 2012
ORD Put Options Written -200,000 8.80000 American 2 May 2012
ORD Put Options Written -300,000 10.0000 American 2 May 2012
ORD Put Options Written -850,000 11.0000 American 2 May 2012
ORD Put Options Written -250,000 14.0000 American 2 May 2012
ORD Call Options Purchased 543 12.1253 European 11 Jan 2013
ORD Call Options Written -505 10.5037 European 2 Aug 2012
ORD Call Options Written -200,000 8.80000 American 2 May 2012
ORD Call Options Written -500,000 10.0000 American 2 May 2012
ORD Call Options Written -521 12.0000 European 27 Feb 2013
ORD Call Options Written -250,000 14.0000 American 2 May 2012

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.

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.