14th Feb 2012 11:17
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: | (GS) GOLDMAN SACHS INTERNATIONAL |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | GLENCORE INTERNATIONAL PLC |
(c) Name of the party to the offer with which exempt principal trader is connected: | XSTRATA PLC |
(d) Date position held/dealing undertaken: | 13 February 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 - disclosed previously for 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:
| USD 0.01 ordinary | |||
Interests | Short positions | |||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 138,219 | 0.00 | 100,000 | 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 |
TOTAL: | 138,219 | 0.00 | 100,000 | 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 security | Purchase/sale
| Number of securities | Price per unit |
USD 0.01 ordinary | Purchase | 1,107 | 4.2805 GBP |
USD 0.01 ordinary | Purchase | 2,360 | 4.2840 GBP |
USD 0.01 ordinary | Purchase | 920 | 4.2845 GBP |
USD 0.01 ordinary | Purchase | 2,224 | 4.2855 GBP |
USD 0.01 ordinary | Purchase | 2,422 | 4.2880 GBP |
USD 0.01 ordinary | Purchase | 2,334 | 4.2885 GBP |
USD 0.01 ordinary | Purchase | 1,862 | 4.2915 GBP |
USD 0.01 ordinary | Purchase | 1,947 | 4.2925 GBP |
USD 0.01 ordinary | Purchase | 9,937 | 4.2925 GBP |
USD 0.01 ordinary | Purchase | 1 | 4.2925 GBP |
USD 0.01 ordinary | Purchase | 14,566 | 4.2925 GBP |
USD 0.01 ordinary | Purchase | 14,302 | 4.2925 GBP |
USD 0.01 ordinary | Purchase | 264 | 4.2925 GBP |
USD 0.01 ordinary | Purchase | 2,681 | 4.2925 GBP |
USD 0.01 ordinary | Purchase | 2,420 | 4.2975 GBP |
USD 0.01 ordinary | Purchase | 500 | 4.2980 GBP |
USD 0.01 ordinary | Purchase | 58 | 4.2980 GBP |
USD 0.01 ordinary | Purchase | 2,194 | 4.2985 GBP |
USD 0.01 ordinary | Purchase | 1,756 | 4.2985 GBP |
USD 0.01 ordinary | Purchase | 1,715 | 4.3020 GBP |
USD 0.01 ordinary | Purchase | 943 | 4.3070 GBP |
USD 0.01 ordinary | Purchase | 1,931 | 4.3070 GBP |
USD 0.01 ordinary | Purchase | 869 | 4.3075 GBP |
USD 0.01 ordinary | Purchase | 1,879 | 4.3080 GBP |
USD 0.01 ordinary | Purchase | 1,141 | 4.3205 GBP |
USD 0.01 ordinary | Purchase | 2,474 | 4.3205 GBP |
USD 0.01 ordinary | Purchase | 540 | 4.3210 GBP |
USD 0.01 ordinary | Purchase | 1,085 | 4.3218 GBP |
USD 0.01 ordinary | Purchase | 1,239 | 4.3220 GBP |
USD 0.01 ordinary | Purchase | 2,107 | 4.3220 GBP |
USD 0.01 ordinary | Purchase | 2,004 | 4.3225 GBP |
USD 0.01 ordinary | Purchase | 1,755 | 4.3225 GBP |
USD 0.01 ordinary | Purchase | 60 | 4.3225 GBP |
USD 0.01 ordinary | Purchase | 1,915 | 4.3230 GBP |
USD 0.01 ordinary | Purchase | 1,972 | 4.3230 GBP |
USD 0.01 ordinary | Purchase | 419 | 4.3240 GBP |
USD 0.01 ordinary | Purchase | 1,699 | 4.3241 GBP |
USD 0.01 ordinary | Purchase | 349 | 4.3241 GBP |
USD 0.01 ordinary | Purchase | 168 | 4.3245 GBP |
USD 0.01 ordinary | Purchase | 1,454 | 4.3245 GBP |
USD 0.01 ordinary | Purchase | 2,037 | 4.3245 GBP |
USD 0.01 ordinary | Purchase | 2,000 | 4.3275 GBP |
USD 0.01 ordinary | Purchase | 2,664 | 4.3329 GBP |
USD 0.01 ordinary | Purchase | 1,056 | 4.3339 GBP |
USD 0.01 ordinary | Purchase | 2,027 | 4.3370 GBP |
USD 0.01 ordinary | Purchase | 1,988 | 4.3375 GBP |
USD 0.01 ordinary | Purchase | 1,559 | 4.3379 GBP |
USD 0.01 ordinary | Purchase | 195 | 4.3540 GBP |
USD 0.01 ordinary | Purchase | 408 | 4.3540 GBP |
USD 0.01 ordinary | Purchase | 344 | 4.3540 GBP |
USD 0.01 ordinary | Purchase | 1,472 | 4.3610 GBP |
USD 0.01 ordinary | Purchase | 910 | 4.3640 GBP |
USD 0.01 ordinary | Purchase | 727 | 4.3640 GBP |
USD 0.01 ordinary | Purchase | 230 | 4.3640 GBP |
USD 0.01 ordinary | Purchase | 122 | 4.3640 GBP |
USD 0.01 ordinary | Purchase | 1,386 | 4.3645 GBP |
USD 0.01 ordinary | Purchase | 56 | 4.3645 GBP |
USD 0.01 ordinary | Purchase | 1,109 | 4.3645 GBP |
USD 0.01 ordinary | Purchase | 958 | 4.3645 GBP |
USD 0.01 ordinary | Purchase | 1,042 | 4.3650 GBP |
USD 0.01 ordinary | Purchase | 969 | 4.3650 GBP |
USD 0.01 ordinary | Purchase | 958 | 4.3650 GBP |
USD 0.01 ordinary | Purchase | 789 | 4.3650 GBP |
USD 0.01 ordinary | Purchase | 1,130 | 4.3650 GBP |
USD 0.01 ordinary | Purchase | 197 | 4.3650 GBP |
USD 0.01 ordinary | Purchase | 324 | 4.3650 GBP |
USD 0.01 ordinary | Purchase | 973 | 4.3660 GBP |
USD 0.01 ordinary | Purchase | 26 | 4.3670 GBP |
USD 0.01 ordinary | Purchase | 1,060 | 4.3675 GBP |
USD 0.01 ordinary | Purchase | 1,388 | 4.3695 GBP |
USD 0.01 ordinary | Purchase | 961 | 4.3705 GBP |
USD 0.01 ordinary | Purchase | 222 | 4.3710 GBP |
USD 0.01 ordinary | Purchase | 422 | 4.3710 GBP |
USD 0.01 ordinary | Purchase | 371 | 4.3710 GBP |
USD 0.01 ordinary | Purchase | 1,012 | 4.3715 GBP |
USD 0.01 ordinary | Purchase | 995 | 4.3735 GBP |
USD 0.01 ordinary | Purchase | 326 | 4.3735 GBP |
USD 0.01 ordinary | Purchase | 1,314 | 4.3760 GBP |
USD 0.01 ordinary | Purchase | 926 | 4.3765 GBP |
USD 0.01 ordinary | Purchase | 305 | 4.3775 GBP |
USD 0.01 ordinary | Purchase | 1,304 | 4.3790 GBP |
USD 0.01 ordinary | Purchase | 346 | 4.3790 GBP |
USD 0.01 ordinary | Purchase | 1,166 | 4.3815 GBP |
USD 0.01 ordinary | Purchase | 1,292 | 4.3815 GBP |
USD 0.01 ordinary | Purchase | 364 | 4.3845 GBP |
USD 0.01 ordinary | Purchase | 1,086 | 4.3850 GBP |
USD 0.01 ordinary | Purchase | 216 | 4.3850 GBP |
USD 0.01 ordinary | Purchase | 758 | 4.3855 GBP |
USD 0.01 ordinary | Purchase | 701 | 4.3855 GBP |
USD 0.01 ordinary | Purchase | 541 | 4.3855 GBP |
USD 0.01 ordinary | Purchase | 303 | 4.3855 GBP |
USD 0.01 ordinary | Purchase | 1,244 | 4.3890 GBP |
USD 0.01 ordinary | Purchase | 12 | 4.3890 GBP |
USD 0.01 ordinary | Purchase | 1,027 | 4.3900 GBP |
USD 0.01 ordinary | Purchase | 1,113 | 4.3910 GBP |
USD 0.01 ordinary | Purchase | 876 | 4.3985 GBP |
USD 0.01 ordinary | Purchase | 1,118 | 4.3985 GBP |
USD 0.01 ordinary | Purchase | 34 | 4.4000 GBP |
USD 0.01 ordinary | Purchase | 1,568 | 4.4000 GBP |
USD 0.01 ordinary | Purchase | 1,246 | 4.4000 GBP |
USD 0.01 ordinary | Purchase | 732 | 4.4000 GBP |
USD 0.01 ordinary | Purchase | 1,037 | 4.4015 GBP |
USD 0.01 ordinary | Purchase | 620 | 4.4100 GBP |
USD 0.01 ordinary | Purchase | 1,046 | 4.4105 GBP |
USD 0.01 ordinary | Sale | 913 | 4.2925 GBP |
USD 0.01 ordinary | Sale | 2,102 | 4.2940 GBP |
USD 0.01 ordinary | Sale | 293 | 4.2940 GBP |
USD 0.01 ordinary | Sale | 1,500 | 4.2945 GBP |
USD 0.01 ordinary | Sale | 1,799 | 4.2995 GBP |
USD 0.01 ordinary | Sale | 1,664 | 4.3000 GBP |
USD 0.01 ordinary | Sale | 1,973 | 4.3000 GBP |
USD 0.01 ordinary | Sale | 2,312 | 4.3000 GBP |
USD 0.01 ordinary | Sale | 383 | 4.3005 GBP |
USD 0.01 ordinary | Sale | 346 | 4.3088 GBP |
USD 0.01 ordinary | Sale | 1,928 | 4.3090 GBP |
USD 0.01 ordinary | Sale | 2,362 | 4.3090 GBP |
USD 0.01 ordinary | Sale | 1,742 | 4.3090 GBP |
USD 0.01 ordinary | Sale | 1,939 | 4.3090 GBP |
USD 0.01 ordinary | Sale | 195 | 4.3090 GBP |
USD 0.01 ordinary | Sale | 1,919 | 4.3090 GBP |
USD 0.01 ordinary | Sale | 1,843 | 4.3105 GBP |
USD 0.01 ordinary | Sale | 307 | 4.3110 GBP |
USD 0.01 ordinary | Sale | 939 | 4.3110 GBP |
USD 0.01 ordinary | Sale | 38 | 4.3110 GBP |
USD 0.01 ordinary | Sale | 840 | 4.3110 GBP |
USD 0.01 ordinary | Sale | 1,840 | 4.3165 GBP |
USD 0.01 ordinary | Sale | 786 | 4.3230 GBP |
USD 0.01 ordinary | Sale | 701 | 4.3230 GBP |
USD 0.01 ordinary | Sale | 384 | 4.3230 GBP |
USD 0.01 ordinary | Sale | 1,828 | 4.3240 GBP |
USD 0.01 ordinary | Sale | 547 | 4.3240 GBP |
USD 0.01 ordinary | Sale | 2,048 | 4.3250 GBP |
USD 0.01 ordinary | Sale | 2,256 | 4.3250 GBP |
USD 0.01 ordinary | Sale | 1,830 | 4.3350 GBP |
USD 0.01 ordinary | Sale | 1,056 | 4.3355 GBP |
USD 0.01 ordinary | Sale | 780 | 4.3390 GBP |
USD 0.01 ordinary | Sale | 1,000 | 4.3390 GBP |
USD 0.01 ordinary | Sale | 1,559 | 4.3395 GBP |
USD 0.01 ordinary | Sale | 1,000 | 4.3395 GBP |
USD 0.01 ordinary | Sale | 1,705 | 4.3410 GBP |
USD 0.01 ordinary | Sale | 185 | 4.3415 GBP |
USD 0.01 ordinary | Sale | 164 | 4.3415 GBP |
USD 0.01 ordinary | Sale | 1,097 | 4.3415 GBP |
USD 0.01 ordinary | Sale | 500 | 4.3415 GBP |
USD 0.01 ordinary | Sale | 1,032 | 4.3605 GBP |
USD 0.01 ordinary | Sale | 909 | 4.3605 GBP |
USD 0.01 ordinary | Sale | 1,186 | 4.3635 GBP |
USD 0.01 ordinary | Sale | 795 | 4.3640 GBP |
USD 0.01 ordinary | Sale | 453 | 4.3670 GBP |
USD 0.01 ordinary | Sale | 1,108 | 4.3705 GBP |
USD 0.01 ordinary | Sale | 926 | 4.3705 GBP |
USD 0.01 ordinary | Sale | 474 | 4.3710 GBP |
USD 0.01 ordinary | Sale | 606 | 4.3710 GBP |
USD 0.01 ordinary | Sale | 883 | 4.3790 GBP |
USD 0.01 ordinary | Sale | 1,335 | 4.3800 GBP |
USD 0.01 ordinary | Sale | 569 | 4.3800 GBP |
USD 0.01 ordinary | Sale | 300 | 4.3800 GBP |
USD 0.01 ordinary | Sale | 1,091 | 4.3800 GBP |
USD 0.01 ordinary | Sale | 625 | 4.3815 GBP |
USD 0.01 ordinary | Sale | 800 | 4.3815 GBP |
USD 0.01 ordinary | Sale | 243 | 4.3815 GBP |
USD 0.01 ordinary | Sale | 534 | 4.3831 GBP |
USD 0.01 ordinary | Sale | 391 | 4.3845 GBP |
USD 0.01 ordinary | Sale | 510 | 4.3845 GBP |
USD 0.01 ordinary | Sale | 337 | 4.3885 GBP |
USD 0.01 ordinary | Sale | 678 | 4.3885 GBP |
USD 0.01 ordinary | Sale | 1,140 | 4.3885 GBP |
USD 0.01 ordinary | Sale | 1,081 | 4.3965 GBP |
USD 0.01 ordinary | Sale | 1,109 | 4.3965 GBP |
USD 0.01 ordinary | Sale | 2 | 4.3965 GBP |
USD 0.01 ordinary | Sale | 1,215 | 4.3970 GBP |
USD 0.01 ordinary | Sale | 334 | 4.3985 GBP |
USD 0.01 ordinary | Sale | 752 | 4.3990 GBP |
USD 0.01 ordinary | Sale | 733 | 4.3995 GBP |
USD 0.01 ordinary | Sale | 721 | 4.3995 GBP |
USD 0.01 ordinary | Sale | 894 | 4.3995 GBP |
USD 0.01 ordinary | Sale | 1 | 4.3995 GBP |
USD 0.01 ordinary | Sale | 474 | 4.4000 GBP |
USD 0.01 ordinary | Sale | 625 | 4.4000 GBP |
USD 0.01 ordinary | Sale | 789 | 4.4000 GBP |
USD 0.01 ordinary | Sale | 985 | 4.4005 GBP |
USD 0.01 ordinary | Sale | 774 | 4.4005 GBP |
USD 0.01 ordinary | Sale | 1,005 | 4.4010 GBP |
USD 0.01 ordinary | Sale | 393 | 4.4015 GBP |
USD 0.01 ordinary | Sale | 207 | 4.4015 GBP |
USD 0.01 ordinary | Sale | 60 | 4.4020 GBP |
USD 0.01 ordinary | Sale | 926 | 4.4025 GBP |
USD 0.01 ordinary | Sale | 810 | 4.4033 GBP |
USD 0.01 ordinary | Sale | 899 | 4.4050 GBP |
USD 0.01 ordinary | Sale | 1 | 4.4050 GBP |
USD 0.01 ordinary | Sale | 777 | 4.4050 GBP |
USD 0.01 ordinary | Sale | 23 | 4.4055 GBP |
USD 0.01 ordinary | Sale | 461 | 4.4060 GBP |
USD 0.01 ordinary | Sale | 1,657 | 4.4065 GBP |
USD 0.01 ordinary | Sale | 119 | 4.4070 GBP |
USD 0.01 ordinary | Sale | 967 | 4.4070 GBP |
USD 0.01 ordinary | Sale | 865 | 4.4070 GBP |
USD 0.01 ordinary | Sale | 726 | 4.4075 GBP |
USD 0.01 ordinary | Sale | 519 | 4.4085 GBP |
USD 0.01 ordinary | Sale | 205 | 4.4085 GBP |
USD 0.01 ordinary | Sale | 1,119 | 4.4090 GBP |
USD 0.01 ordinary | Sale | 1,123 | 4.4090 GBP |
USD 0.01 ordinary | Sale | 3 | 4.4095 GBP |
USD 0.01 ordinary | Sale | 967 | 4.4095 GBP |
USD 0.01 ordinary | Sale | 732 | 4.4100 GBP |
USD 0.01 ordinary | Sale | 500 | 4.4100 GBP |
USD 0.01 ordinary | Sale | 1,686 | 4.4100 GBP |
USD 0.01 ordinary | Sale | 852 | 4.4135 GBP |
USD 0.01 ordinary | Sale | 755 | 4.4135 GBP |
USD 0.01 ordinary | Sale | 360 | 4.4145 GBP |
USD 0.01 ordinary | Sale | 416 | 4.4145 GBP |
USD 0.01 ordinary | Sale | 760 | 4.4160 GBP |
USD 0.01 ordinary | Sale | 67 | 4.4160 GBP |
Class of relevant security | Purchases/sales | Total number of securities |
USD 0.01 ordinary | Purchases | 148,281 |
USD 0.01 ordinary | Sales | 95,977 |
(b) Derivatives transactions (other than options)
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
(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: | 14 February 2012 |
| Contact name: | Audrey Malone and Gill Teasdale |
| Telephone number: | +44(20) 7552 3836 / +44(20) 7051 1151 |
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 [email protected]. 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.
Related Shares:
Glencore