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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