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Form 8.5 (EPT/NON-RI) - Xstrata Plc

20th Apr 2012 09:22

RNS Number : 7441B
Nomura International PLC (EPT)
20 April 2012
 



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:

Nomura International Plc

(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:

Xstrata Plc

(d) Date position held/dealing undertaken:

19 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 International 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:

 

 

 

Interests

Short positions

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

2,394,306

0.080

303,871

0.010

(2) Derivatives (other than options):

506,154

0.017

(3) Options and agreements to purchase/sell:

 

TOTAL:

2,394,306

0.080

810,025

0.027

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

Ordinary shares

Purchase

2,046

11.3150

Ordinary shares

Purchase

1,136

11.3200

Ordinary shares

Purchase

1,493

11.3250

Ordinary shares

Purchase

264

11.3350

Ordinary shares

Purchase

2,881

11.3400

Ordinary shares

Purchase

360

11.3450

Ordinary shares

Purchase

105

11.3500

Ordinary shares

Purchase

352

11.3600

Ordinary shares

Purchase

8,146

11.3650

Ordinary shares

Purchase

17,617

11.3700

Ordinary shares

Purchase

5,905

11.3750

Ordinary shares

Purchase

19,211

11.3800

Ordinary shares

Purchase

38,535

11.3850

Ordinary shares

Purchase

16,109

11.3900

Ordinary shares

Purchase

40,000

11.3934

Ordinary shares

Purchase

25,243

11.3950

Ordinary shares

Purchase

84,662

11.4000

Ordinary shares

Purchase

208,650

11.4050

Ordinary shares

Purchase

1,047,175

11.4085

Ordinary shares

Purchase

52,118

11.4100

Ordinary shares

Purchase

19,551

11.4150

Ordinary shares

Purchase

23,122

11.4200

Ordinary shares

Purchase

13,612

11.4250

Ordinary shares

Purchase

6,355

11.4300

Ordinary shares

Purchase

8,599

11.4350

Ordinary shares

Purchase

24,873

11.4400

Ordinary shares

Purchase

700

11.4550

Ordinary shares

Sale

524

11.3000

Ordinary shares

Sale

565

11.3200

Ordinary shares

Sale

6,962

11.3300

Ordinary shares

Sale

240

11.3350

Ordinary shares

Sale

3,076

11.3400

Ordinary shares

Sale

626

11.3450

Ordinary shares

Sale

2,643

11.3475

Ordinary shares

Sale

13,095

11.3500

Ordinary shares

Sale

10,761

11.3550

Ordinary shares

Sale

3,331

11.3600

Ordinary shares

Sale

12,697

11.3650

Ordinary shares

Sale

6,298

11.3700

Ordinary shares

Sale

7,723

11.3750

Ordinary shares

Sale

11,332

11.3800

Ordinary shares

Sale

50,368

11.3850

Ordinary shares

Sale

47,993

11.3900

Ordinary shares

Sale

42,277

11.3950

Ordinary shares

Sale

756,658

11.4000

Ordinary shares

Sale

5,454

11.4015

Ordinary shares

Sale

13,867

11.4027

Ordinary shares

Sale

5,170

11.4030

Ordinary shares

Sale

173,408

11.4050

Ordinary shares

Sale

130,645

11.4100

Ordinary shares

Sale

91,062

11.4150

Ordinary shares

Sale

87,292

11.4200

Ordinary shares

Sale

4,000

11.4250

Ordinary shares

Sale

12,748

11.4300

Ordinary shares

Sale

10,915

11.4350

Ordinary shares

Sale

166,343

11.4400

Ordinary shares

Sale

6,120

11.4450

Ordinary shares

Sale

1,000

11.4500

Ordinary shares

Sale

700

11.4700

 

Total Buy - 1,668,820

Total Sell - 1,685,893

 

 

 

(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

Ordinary Shares

SWAP

Long

2,106

11.3811

Ordinary Shares

SWAP

Long

3,530

11.4000

Ordinary Shares

SWAP

Long

518,353

11.4013

Ordinary Shares

SWAP

Long

1,900

11.4071

Ordinary Shares

SWAP

Short

2,106

11.3992

Ordinary Shares

SWAP

Short

500

11.4020

Ordinary Shares

SWAP

Short

531,534

11.4023

Ordinary Shares

SWAP

Short

5,082

11.4050

 

(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:

20/04/2012

Contact name:

Koji Kitayama

Telephone number:

0207102 3615

 

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.

This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
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