Form 8.5 (EPT/NON-RI) Glencore International Pl...
Form 8.5 (EPT/NON-RI) Glencore International Plc - Amendment
BARCLAYS PLC
Amendment
FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RIâ€) STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the “Codeâ€)
1. KEY INFORMATION
| (a) | Name of exempt principal trader: | Â | BARCLAYS CAPITAL SECURITIES LTD |
| (b) | Name of offeror/offeree in relation to whose | GLENCORE INTL PLC | |
| Â | relevant securities this form relates: | Â | |
| (c) | Name of the party to the offer with which exempt | Advisor to Offeree | |
| Â | principal trader is connected | Â | |
| (d) | Date position held/dealing undertaken: | 19 March 2013 | |
| (e) | Has the EPT previously disclosed, or is it | YES: | |
| today disclosing, under the Code in respect | |||
| Â | 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: | Â | Â | ORD | Â | Â | Â | Â | Â | Â | |
| Interests | Â | Short Positions | Â | |||||||
| Â | Â | Number | (%) | Number | (%) | |||||
| (1) | Relevant securities owned | |||||||||
| and/or controlled: | 3,500,645 | 0.05% | 45,460,937 | 0.64% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (2) | Derivatives (other than | |||||||||
| options): | 40,354,603 | 0.57% | 1,374,762 | 0.02% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (3) | Options and agreements to | |||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (4) | TOTAL: | |||||||||
| 43,855,248 | 0.62% | 46,835,699 | 0.66% |
| Class of relevant security: | Â | Â | Convertible Bond XS0475310396 | Â | Â | Â | Â | Â | Â | |
| Interests | Â | Short Positions | Â | |||||||
| Â | Â | Number | (%) | Number | (%) | |||||
| (1) | Relevant securities owned | |||||||||
| and/or controlled: | 4,500,000 | 0.20% | 0 | 0.00% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (2) | Derivatives (other than | |||||||||
| options): | 0 | 0.00% | 0 | 0.00% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (3) | Options and agreements to | |||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (4) | TOTAL: | |||||||||
| 4,500,000 | 0.20% | 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: | Â |
| Details, including nature of the rights concerned and relevant percentages: | Â |
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 | Â | Purchase/sale | Â | Number of | Â | Price per unit | |
| security | Â | securities | Â | ||||
| ORD | Purchase | 782 | 3.7100 GBP | ||||
| ORD | Purchase | 1,059 | 3.6819 GBP | ||||
| ORD | Purchase | 2,000 | 44.8000 HKD | ||||
| ORD | Purchase | 2,142 | 3.7330 GBP | ||||
| ORD | Purchase | 2,489 | 3.7165 GBP | ||||
| ORD | Purchase | 2,782 | 3.7035 GBP | ||||
| ORD | Purchase | 3,107 | 3.6985 GBP | ||||
| ORD | Purchase | 3,263 | 3.7221 GBP | ||||
| ORD | Purchase | 5,769 | 3.7170 GBP | ||||
| ORD | Purchase | 9,818 | 3.6997 GBP | ||||
| ORD | Purchase | 10,920 | 3.7178 GBP | ||||
| ORD | Purchase | 11,458 | 3.7040 GBP | ||||
| ORD | Purchase | 15,711 | 3.7240 GBP | ||||
| ORD | Purchase | 35,218 | 3.7131 GBP | ||||
| ORD | Purchase | 35,238 | 3.7123 GBP | ||||
| ORD | Purchase | 46,416 | 3.7149 GBP | ||||
| ORD | Purchase | 47,114 | 3.7017 GBP | ||||
| ORD | Purchase | 95,400 | 3.6990 GBP | ||||
| ORD | Purchase | 139,073 | 3.6905 GBP | ||||
| ORD | Purchase | 158,269 | 3.7130 GBP | ||||
| ORD | Purchase | 225,146 | 3.7117 GBP | ||||
| ORD | Purchase | 233,988 | 3.7104 GBP | ||||
| ORD | Purchase | 414,853 | 3.7078 GBP | ||||
| ORD | Purchase | 625,000 | 3.7047 GBP | ||||
| ORD | Purchase | 860,000 | 3.7074 GBP | ||||
| ORD | Sale | 67 | 3.7040 GBP | ||||
| ORD | Sale | 2,085 | 3.7037 GBP | ||||
| ORD | Sale | 2,100 | 44.8000 HKD | ||||
| ORD | Sale | 2,433 | 3.7220 GBP | ||||
| ORD | Sale | 3,070 | 3.6905 GBP | ||||
| ORD | Sale | 3,075 | 3.6909 GBP | ||||
| ORD | Sale | 3,262 | 3.7221 GBP | ||||
| ORD | Sale | 3,846 | 3.7032 GBP | ||||
| ORD | Sale | 5,000 | 3.7029 GBP | ||||
| ORD | Sale | 8,000 | 3.7005 GBP | ||||
| ORD | Sale | 9,430 | 3.7127 GBP | ||||
| ORD | Sale | 14,941 | 3.7330 GBP | ||||
| ORD | Sale | 20,430 | 3.7114 GBP | ||||
| ORD | Sale | 28,493 | 3.6983 GBP | ||||
| ORD | Sale | 31,342 | 3.7136 GBP | ||||
| ORD | Sale | 46,597 | 3.7334 GBP | ||||
| ORD | Sale | 58,899 | 3.7142 GBP | ||||
| ORD | Sale | 78,931 | 3.7182 GBP | ||||
| ORD | Sale | 80,355 | 3.7295 GBP | ||||
| ORD | Sale | 135,325 | 3.7326 GBP | ||||
| ORD | Sale | 144,184 | 3.7012 GBP | ||||
| ORD | Sale | 229,985 | 3.6990 GBP | ||||
| ORD | Sale | 252,551 | 3.7093 GBP | ||||
| ORD | Sale | 256,475 | 3.7055 GBP | ||||
| ORD | Sale | 375,942 | 3.7007 GBP | ||||
| ORD | Sale | 840,810 | 3.7024 GBP | ||||
| ORD (traded as ADR) | Purchase | 800 | 11.2500 USD | ||||
| ORD (traded as ADR) | Sale | 800 | 11.2500 USD |
(b) Derivatives transactions (other than options)
| Class of | Â | Product | Â | Nature of dealing | Â | Number of | Â | Price per | |
| relevant | description | reference | unit | ||||||
| security | Â | Â | securities | Â | |||||
| ORD | CFD | Long | 100 | 44.7410 HKD | |||||
| ORD | SWAP | Long | 751 | 3.6836 GBP | |||||
| ORD | CFD | Long | 5,022 | 3.7277 GBP | |||||
| ORD | CFD | Long | 229,234 | 3.6988 GBP | |||||
| ORD | CFD | Short | 800 | 3.7313 GBP | |||||
| ORD | SWAP | Short | 13,200 | 3.7065 GBP | |||||
| ORD | SWAP | Short | 17,374 | 3.7076 GBP | |||||
| ORD | SWAP | Short | 32,023 | 3.7071 GBP | |||||
| ORD | CFD | Short | 32,263 | 3.7232 GBP | |||||
| ORD | CFD | Short | 32,803 | 3.6937 GBP | |||||
| ORD | CFD | Short | 68,320 | 3.7231 GBP | |||||
| ORD | CFD | Short | 135,055 | 3.7093 GBP |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
| Class of relevant security | Â | Product description e.g. call option | Â | Writing, purchasing, selling, varying etc. | Â | Number of securities to which option relates | Â | Exercise price per unit | Â |
Type
e.g. American, European etc. |
 | Expiry date |  | Option money paid/ received per unit |
(ii) Exercising
| Class of relevant security | Â |
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 | Â |
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? | Â | NO |
| Date of disclosure: | Â |
21 Mar 2013 |
| Contact name: | Â | Geoff Smith |
| Telephone number: | Â | 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.
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