Morgan Stanley Securities Limited Form 8.5 (EPT/RI) XSTRATA PLC REPLACEMENT (8638D)
02 Mayo 2013 - 5:07AM
UK Regulatory
TIDMXTA
RNS Number : 8638D
Morgan Stanley Securities Limited
02 May 2013
AMENDMENT
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH
RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING
CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: Morgan Stanley Securities Limited
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(b) Name of offeror/offeree in relation to whose relevant securities this form XSTRATA PLC
relates:
Use a separate form for each offeror/offeree
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(c) Name of the party to the offer with which exempt principal trader is GLENCORE INTERNATIONAL PLC
connected:
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(d) Date dealing undertaken: 19 APRIL 2013
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(e) Has the EPT previously disclosed, or is it today disclosing, under the Code Yes
in respect
of any other party to this offer?
---------------------------------------------------------------------------------- ----------------------------------
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant Purchases/sales Total number Highest price Lowest price
security of securities per unit paid/received per unit paid/received
------------------ ---------------- --------------- ------------------------ ------------------------
USD 0.5 ordinary PURCHASES 3,051,366 10.0000 GBP 9.5330 GBP
------------------ ---------------- --------------- ------------------------ ------------------------
USD 0.5 ordinary SALES 4,126,033 11.0000 GBP 9.5360 GBP
------------------ ---------------- --------------- ------------------------ ------------------------
(b) Derivatives transactions (other than options)
Class of relevant Product description Nature of dealing Number of reference Price per
security e.g. CFD e.g. opening/closing securities unit
a long/short position,
increasing/reducing
a long/short position
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 1,333 9.5471 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 5,000 9.5581 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 16,068 9.5601 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 250,000 9.5680 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 1,290,628 9.5700 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 25,000 9.5700 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 58,000 9.5700 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 4,404 9.5700 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 390 9.5736 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 50,221 9.6049 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 25 9.6068 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 171,231 9.6235 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 8,213 9.6317 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 6,054 9.6428 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 772 9.6586 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 41,864 9.6586 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 12,727 9.6586 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD LONG 31 9.6687 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 4,066 9.5484 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 13,376 9.5484 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 247 9.5484 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 17,275 9.5543 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 33,000 9.5628 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 17,699 9.5643 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 1,216 9.5643 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 3,348 9.5643 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 8,409 9.5643 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 23,028 9.5643 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 1,505 9.5700 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 5,574 9.5700 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 862 9.5700 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 15,564 9.5700 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 213 9.5700 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 50,000 9.5725 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 30,000 9.5725 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 20,000 9.5725 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 12,745 9.5735 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 36 9.5785 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 1,333 9.5885 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 197,836 9.6104 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 317 9.6104 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 34,000 9.6167 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 116,157 9.6312 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 75,441 9.6326 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 198 9.6403 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 178,050 9.6416 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 113,169 9.6472 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 250,000 9.6664 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 2,841 9.6664 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 11,307 9.6664 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 5,000 9.6700 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 60,000 9.7000 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 100,000 9.7000 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 40,000 9.7000 GBP
------------------ -------------------- ------------------------ -------------------- -----------
USD 0.5 ordinary CFD SHORT 1,428 9.7409 GBP
------------------ -------------------- ------------------------ -------------------- -----------
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type e.g. Expiry Option
of relevant description purchasing, of securities price per American, date money paid/
security e.g. call selling, to which unit European received
option varying option etc. per unit
etc. relates
-------------- -------------- -------------- --------------- ----------- ----------- ----------- -------------
USD 0.5 0.9200
ordinary PUT PURCHASE 200,000 1,050.0000 A 17/05/2013 GBP
-------------- -------------- -------------- --------------- ----------- ----------- ----------- -------------
USD 0.5 0.9200
ordinary PUT PURCHASE 100,000 1,050.0000 A 17/05/2013 GBP
-------------- -------------- -------------- --------------- ----------- ----------- ----------- -------------
USD 0.5 0.0750
ordinary CALL SALE 300,000 1,050.0000 A 17/05/2013 GBP
-------------- -------------- -------------- --------------- ----------- ----------- ----------- -------------
USD 0.5 0.6700
ordinary PUT SALE 500,000 880.0000 A 20/12/2013 GBP
-------------- -------------- -------------- --------------- ----------- ----------- ----------- -------------
USD 0.5 1.8800
ordinary PUT SALE 300,000 1,150.0000 A 19/04/2013 GBP
-------------- -------------- -------------- --------------- ----------- ----------- ----------- -------------
(ii) Exercising
Class of relevant Product description Number of securities Exercise price
security e.g. call option per unit
------------------ -------------------- --------------------- ---------------
N/A N/A N/A N/A
------------------ -------------------- --------------------- ---------------
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of dealing Details Price per unit
security e.g. subscription, (if applicable)
conversion
------------------ -------------------- -------- -----------------
N/A N/A N/A N/A
------------------ -------------------- -------- -----------------
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 2(a), (b), (c) or (d) (as appropriate) for each additional
class of relevant security dealt in.
3. 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
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(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
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Date of disclosure: 02 MAY 2013
--------------------- --------------------
Contact name: Darren Wickert
--------------------- --------------------
Telephone number: +44 (0)20 7425 7514
--------------------- --------------------
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.
This information is provided by RNS
The company news service from the London Stock Exchange
END
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