10th Nov 2008 11:02
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
BHP Billiton Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
07/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,391,992 |
GBP 10.50 |
GBP 9.67 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,357,980 |
GBP 10.42 |
GBP 9.72 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
27,080 |
GBP 9.92 |
|
Long Swap |
LONG |
801,280 |
GBP 10.05 |
|
Long Swap |
LONG |
315,147 |
GBP 10.05 |
|
Long Swap |
LONG |
202,813 |
GBP 9.99 |
|
Long Swap |
LONG |
87,430 |
GBP 9.92 |
|
Long Swap |
LONG |
68,259 |
GBP 10.18 |
|
Long Swap |
LONG |
1 |
GBP 9.92 |
|
Long Swap |
LONG |
46,712 |
GBP 10.17 |
|
Long Swap |
LONG |
22,137 |
GBP 10.10 |
|
Long Swap |
LONG |
20,149 |
GBP 10.10 |
|
Long Swap |
LONG |
13,000 |
GBP 10.04 |
|
Long Swap |
LONG |
7,684 |
GBP 10.10 |
|
Long Swap |
LONG |
4,064 |
GBP 9.99 |
|
Long Swap |
LONG |
3,221 |
GBP 9.88 |
|
Long Swap |
LONG |
1,000 |
GBP 10.10 |
|
Long Swap |
LONG |
48,102 |
GBP 9.98 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
132,122 |
GBP 10.06 |
|
Short Swap |
SHORT |
798,658 |
GBP 10.06 |
|
Short Swap |
SHORT |
25,091 |
GBP 10.06 |
|
Short Swap |
SHORT |
728 |
GBP 0.00 |
|
Short Swap |
SHORT |
1,000 |
GBP 10.15 |
|
Short Swap |
SHORT |
7,244 |
GBP 10.05 |
|
Short Swap |
SHORT |
7,566 |
GBP 10.22 |
|
Short Swap |
SHORT |
7,684 |
GBP 10.06 |
|
Short Swap |
SHORT |
8,163 |
GBP 9.98 |
|
Short Swap |
SHORT |
13,000 |
GBP 10.05 |
|
Short Swap |
SHORT |
280,584 |
GBP 10.05 |
|
Short Swap |
SHORT |
20,149 |
GBP 0.00 |
|
Short Swap |
SHORT |
194,650 |
GBP 10.01 |
|
Short Swap |
SHORT |
38,723 |
GBP 9.96 |
|
Short Swap |
SHORT |
44,522 |
GBP 10.05 |
|
Short Swap |
SHORT |
46,712 |
GBP 10.16 |
|
Short Swap |
SHORT |
48,102 |
GBP 9.98 |
|
Short Swap |
SHORT |
68,259 |
GBP 10.19 |
|
Short Swap |
SHORT |
87,430 |
GBP 10.17 |
|
Short Swap |
SHORT |
170 |
GBP 10.24 |
|
Short Swap |
SHORT |
17,800 |
GBP 0.00 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option |
|
selling, |
securities under |
price |
American, |
date |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
10/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Axon Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
07/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
21,790 |
GBP 6.36 |
GBP 6.34 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
20,013 |
GBP 6.35 |
GBP 6.34 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
8,007 |
GBP 6.35 |
|
Long Swap |
LONG |
6,172 |
GBP 6.38 |
|
Long Swap |
LONG |
4,556 |
GBP 6.34 |
|
Long Swap |
LONG |
2,329 |
GBP 6.34 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
350 |
GBP 6.34 |
|
Short Swap |
SHORT |
575 |
GBP 6.34 |
|
Short Swap |
SHORT |
627 |
GBP 6.34 |
|
Short Swap |
SHORT |
683 |
GBP 6.34 |
|
Short Swap |
SHORT |
2,000 |
GBP 6.34 |
|
Short Swap |
SHORT |
2,280 |
GBP 6.34 |
|
Short Swap |
SHORT |
2,329 |
GBP 6.34 |
|
Short Swap |
SHORT |
3,114 |
GBP 6.35 |
|
Short Swap |
SHORT |
3,499 |
GBP 6.34 |
|
Short Swap |
SHORT |
4,556 |
GBP 6.34 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option |
|
selling, |
securities under |
price |
American, |
date |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
10/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
HCL EAS Limited |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Rio Tinto Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
07/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
888,116 |
GBP 27.15 |
GBP 25.04 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
900,993 |
GBP 27.15 |
GBP 24.93 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
335,411 |
GBP 26.04 |
|
Long Swap |
LONG |
610 |
GBP 25.99 |
|
Long Swap |
LONG |
1,370 |
GBP 25.86 |
|
Long Swap |
LONG |
1,500 |
GBP 26.81 |
|
Long Swap |
LONG |
3,266 |
GBP 25.99 |
|
Long Swap |
LONG |
3,424 |
GBP 25.65 |
|
Long Swap |
LONG |
8,147 |
GBP 25.99 |
|
Long Swap |
LONG |
8,752 |
GBP 26.02 |
|
Long Swap |
LONG |
11,219 |
GBP 26.04 |
|
Long Swap |
LONG |
11,494 |
GBP 25.86 |
|
Long Swap |
LONG |
57,573 |
GBP 26.02 |
|
Long Swap |
LONG |
432 |
GBP 25.86 |
|
Long Swap |
LONG |
136,390 |
GBP 25.86 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
51 |
GBP 26.41 |
|
Short Swap |
SHORT |
136,390 |
GBP 25.92 |
|
Short Swap |
SHORT |
57,573 |
GBP 25.99 |
|
Short Swap |
SHORT |
37,716 |
GBP 25.97 |
|
Short Swap |
SHORT |
8,752 |
GBP 26.01 |
|
Short Swap |
SHORT |
8,147 |
GBP 25.99 |
|
Short Swap |
SHORT |
2,890 |
GBP 26.59 |
|
Short Swap |
SHORT |
1,500 |
GBP 26.95 |
|
Short Swap |
SHORT |
1,370 |
GBP 25.73 |
|
Short Swap |
SHORT |
1,342 |
GBP 25.40 |
|
Short Swap |
SHORT |
610 |
GBP 25.40 |
|
Short Swap |
SHORT |
527 |
GBP 26.01 |
|
Short Swap |
SHORT |
317,963 |
GBP 25.95 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry date |
Option |
|
selling, |
securities under |
price |
American, |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
Warrant |
Selling |
-2,000 |
£0.07 |
AMERICAN |
17-Apr-09 |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
10/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Lloyds TSB Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
07/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,580,837 |
GBP 2.01 |
GBP 1.89 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,409,902 |
GBP 2.00 |
GBP 1.91 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
839,433 |
GBP 1.96 |
|
Long Swap |
LONG |
133,142 |
GBP 1.91 |
|
Long Swap |
LONG |
58,375 |
GBP 1.96 |
|
Long Swap |
LONG |
47,285 |
GBP 1.94 |
|
Long Swap |
LONG |
25,179 |
GBP 1.94 |
|
Long Swap |
LONG |
15,100 |
GBP 2.01 |
|
Long Swap |
LONG |
11,650 |
GBP 1.91 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
15,100 |
GBP 2.00 |
|
Short Swap |
SHORT |
25,179 |
GBP 1.94 |
|
Short Swap |
SHORT |
28,766 |
GBP 1.96 |
|
Short Swap |
SHORT |
47,285 |
GBP 1.96 |
|
Short Swap |
SHORT |
58,375 |
GBP 1.94 |
|
Short Swap |
SHORT |
751,446 |
GBP 1.96 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option |
|
selling, |
securities under |
price |
American, |
date |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
10/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Lloyds TSB Group Plc |
|
Nature of connection # |
Advisor |
Related Shares:
BHP GroupLloydsRio Tinto