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

Date : 07/02/2012 @ 8:24AM
Source : UK Regulatory (RNS & others)
Stock : Xstrata (XTA)
Quote : 963.5  0.0 (0.00%) @ 1:00AM
Xstrata share price Chart

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

 
TIDMXTA 
 
 

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             XSTRATA PLC 
in relation to whose 
relevant securities 
this form relates: 
Use a separate form for 
each offeror/offeree 
(c) Name of the party to                Advisor to Offeree 
the offer with which 
exempt principal  trader 
is connected: 
(d) Date position held/dealing          29 June 2012 
undertaken: 
(e) Has the EPT previously disclosed,   YES: 
or is it today disclosing,              GLENCORE INTL PLC 
under the Code in respect of any 
other party to this offer? 
 
 

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                    ORD 
relevant 
security: 
                            Interests          Short Positions 
                            Number      (%)    Number           (%) 
(1)         Relevant 
            securities 
            owned 
            and/or          13,513,406  0.45%  3,088,685        0.10% 
            controlled: 
(2)         Derivatives 
            (other 
            than 
            options):       3,565,001   0.12%  33,022,399       1.10% 
(3)         Options and 
            agreements 
            to 
            purchase/sell:  25,907,546  0.86%  2,364,718        0.08% 
(4)         TOTAL: 
                            42,985,953  1.43%  38,475,802       1.28% 
 
 

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       1,652       8.2150 GBP 
ORD                 Purchase       1,766       8.0541 GBP 
ORD                 Purchase       1,944       8.0826 GBP 
ORD                 Purchase       2,777       8.0445 GBP 
ORD                 Purchase       3,050       12.0000 CHF 
ORD                 Purchase       3,424       8.0593 GBP 
ORD                 Purchase       5,103       12.1500 CHF 
ORD                 Purchase       5,500       11.9500 CHF 
ORD                 Purchase       6,700       12.1000 CHF 
ORD                 Purchase       10,000      8.0700 GBP 
ORD                 Purchase       11,700      12.2000 CHF 
ORD                 Purchase       19,305      7.9860 GBP 
ORD                 Purchase       22,105      12.0500 CHF 
ORD                 Purchase       22,500      8.1607 GBP 
ORD                 Purchase       26,637      8.1124 GBP 
ORD                 Purchase       28,000      8.0889 GBP 
ORD                 Purchase       39,466      8.0851 GBP 
ORD                 Purchase       58,019      8.0924 GBP 
ORD                 Purchase       58,180      7.9879 GBP 
ORD                 Purchase       88,516      8.0595 GBP 
ORD                 Purchase       236,986     7.9958 GBP 
ORD                 Purchase       349,443     8.0830 GBP 
ORD                 Sale           50          8.0000 GBP 
ORD                 Sale           350         8.1440 GBP 
ORD                 Sale           500         8.1880 GBP 
ORD                 Sale           870         8.1700 GBP 
ORD                 Sale           1,500       8.1654 GBP 
ORD                 Sale           1,708       8.0422 GBP 
ORD                 Sale           1,944       8.0829 GBP 
ORD                 Sale           2,514       8.1050 GBP 
ORD                 Sale           5,000       12.0500 CHF 
ORD                 Sale           11,803      8.0759 GBP 
ORD                 Sale           12,000      12.1500 CHF 
ORD                 Sale           14,809      8.0901 GBP 
ORD                 Sale           16,200      8.0953 GBP 
ORD                 Sale           18,280      12.1000 CHF 
ORD                 Sale           19,610      8.1141 GBP 
ORD                 Sale           31,364      8.0797 GBP 
ORD                 Sale           32,070      8.1157 GBP 
ORD                 Sale           32,339      8.0711 GBP 
ORD                 Sale           58,180      7.9879 GBP 
ORD                 Sale           69,395      8.0795 GBP 
ORD                 Sale           78,159      8.0130 GBP 
ORD                 Sale           78,159      8.0360 GBP 
ORD                 Sale           78,159      8.0480 GBP 
ORD                 Sale           78,159      8.0980 GBP 
ORD                 Sale           85,416      8.0723 GBP 
ORD                 Sale           163,783     8.0669 GBP 
ORD                 Sale           227,069     8.0659 GBP 
ORD                 Sale           249,367     7.7852 GBP 
ORD                 Sale           250,000     8.0532 GBP 
ORD                 Sale           312,665     7.9860 GBP 
ORD                 Sale           500,000     8.0993 GBP 
ORD                 Sale           596,000     8.0900 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               400         8.0854 GBP 
ORD        SWAP         Long               1,184       8.1319 GBP 
ORD        CFD          Long               2,514       8.1050 GBP 
ORD        CFD          Long               4,219       8.0979 GBP 
ORD        SWAP         Long               4,231       8.1139 GBP 
ORD        CFD          Long               35,280      12.1081 CHF 
ORD        CFD          Long               227,959     8.0725 GBP 
ORD        CFD          Long               249,367     7.7852 GBP 
ORD        CFD          Short              199         7.9866 GBP 
ORD        SWAP         Short              1,635       8.0873 GBP 
ORD        SWAP         Short              1,731       8.1154 GBP 
ORD        CFD          Short              16,531      8.0372 GBP 
ORD        CFD          Short              54,158      12.0868 CHF 
 
 

(c) Options transactions in respect of existing securities

 

(i) Writing, selling, purchasing or varying

 
Class of   Product      Writing,     Number      Exercise  Type       Expiry date  Option 
relevant   description  purchasing,  of          price     e.g.                    money 
security   e.g.         selling,     securities  per unit  American,               paid/ 
           call         varying      to                    European                received 
           option       etc.         which                 etc.                    per 
                                     option                                        unit 
                                     relates 
 
 

(ii) Exercising

 
Class of relevant   Product description  Number         Exercise price 
security            e.g. call option     of securities  per unit 
 
 

(d) Other dealings (including subscribing for new securities)

 
Class of relevant   Nature of dealing   Details  Price per unit (if 
security            e.g. subscription,           applicable) 
                    conversion 
 
 

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:   2 JUL 2012 
Contact name:         Geoff Smith 
Telephone number:     020 7116 2913 
 
 

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.

 

143221.01

 

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   BARCLAYS CAPITAL SECURITIES LTD 
are being disclosed: 
Name of offeror/offeree                   XSTRATA PLC 
in relation to whose 
relevant securities the 
disclosure relates: 
 
 

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          Purchased    2,570,863   7.9303    European  18 Jun 2013 
           Options 
ORD        Put          Purchased    912,000     8.0000    American  1 Jul 2012 
           Options 
ORD        Put          Written      -412,000    7.4000    American  1 Jul 2012 
           Options 
ORD        Put          Written      -1,000,000  8.0000    American  1 Jul 2012 
           Options 
ORD        Put          Written      -850,000    11.0000   American  1 Jul 2012 
           Options 
ORD        Call         Purchased    500,000     11.0000   American  1 Jul 2012 
           Options 
ORD        Call         Written      -50,600     10.5037   European  2 Aug 2012 
           Options 
ORD        Call         Written      -52,118     12.0000   European  27 Feb 2013 
           Options 
ORD        Equity       Purchased    21,924,683  20.5248             17 Jun 2013 
           Forward 
 
 

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.

 

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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