3rd Dec 2007 12:01
Citigroup Derivatives Markets Inc03 December 2007 DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITHOUT RECOGNISED INTERMEDIARY STATUS, OR WITH RI STATUS BUT NOT DEALING IN A CLIENT-SERVING CAPACITY (Rule 38.5(b) of the Takeover Code) 1. KEY INFORMATION Name of exempt principal trader Citigroup Derivatives Markets IncCompany dealt in Rio Tinto plcClass of relevant security to which the Rio Tinto plc ADRdealings being disclosed relate (Note 1) Date of dealing 30 November 2007 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class ofrelevant security dealt in (Note 2) Long Short Number Number (%) (%) (1) Relevant securities 0 13,354 (0.00%) (0.00%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell 225,600 165,000 (0.04%) (0.03%) Total 225,600 178,354 (0.04%) (0.03%) (b) Interests and short positions in relevant securities of the company,other than the class dealt in (Note 2) Class of relevant security: Long Short Convertible Number Number (%) (%) (1) Relevant securities (0.00%) (0.00%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell (0.00%) (0.00%) Total (0.00%) (0.00%) (c) Rights to subscribe (Note 2) Class of relevant security: Details 3. DEALINGS (Note 3) (a) Purchases and sales Purchase Number of securities Price per unit (Note 4) USD (unless stated) 9,692 461 68 471.12 50 469.19 50 469.19 32 471.11TOTAL 9,892 Sales Number of securities Price per unit (Note 4) USD (unless stated) -2 468.79 -2 468.79 -2 468.79 -2 471.01 -2 471.01 -17 468.7 -20 468.7 -20 471.39 -25 466.86 -33 468.45 -37 469.19 -50 468.66 -50 472.71 -50 472.71 -50 471.12 -63 468.7 -75 466.73 -75 470.96 -98 468.79 -98 468.79 -98 471.01 -100 468.15 -100 468.44 -100 468.35 -100 468.49 -100 468.61 -100 468.44 -100 468.44 -100 468.45 -100 468.44 -100 469.59 -100 470.94 -100 470.89 -100 468.7 -100 470.96 -100 472.71 -100 470.96 -100 468.54 -100 468.54 -100 468.54 -100 468.71 -100 469.38 -100 469.38 -100 469.37 -100 468.54 -100 468.49 -100 471.01 -100 468.2 -100 468.44 -100 468.44 -100 468.15 -100 471.01 -100 470.87 -100 469.58 -100 471.16 -100 471.16 -100 471.39 -100 470.96 -100 471.16 -100 471.12 -100 470.96 -100 466.73 -100 466.73 -100 470.96 -100 470.96 -100 466.85 -100 466.85 -123 471.33 -150 468.44 -150 471.14 -200 468.44 -200 468.45 -200 471.14 -200 471.705 -200 470.94 -200 470.89 -200 471.02 -200 472.81 -200 468.44 -200 472.71 -200 468.44 -200 471.01 -200 471.11 -300 471.11 -300 468.44TOTAL 9,092 (b) Derivatives transactions (other than options) Product name, Long/short (Note 5) Number of securities (Note 6) Price per unit (Note 4) e.g. CFD (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product name, Writing, Number of Exercise Type, e.g. Expiry Option money selling, securities to American,e.g. call option purchasing, which the option Price (USD) European etc. date paid/received varying etc. relates (Note 6) per unit (USD)(C = call; (Note 4) P = put) C Purchasing 1000 320 AMERICAN 2008-07-19 167 C Purchasing 1000 430 AMERICAN 2008-04-19 77.5 P Selling 1000 400 AMERICAN 2008-04-19 24.5 P Selling 1000 240 AMERICAN 2008-04-19 0.95 C Purchasing 1000 570 AMERICAN 2008-01-19 6 P Selling 1000 520 AMERICAN 2008-01-19 64.8 P Selling 1000 510 AMERICAN 2008-01-19 57.9 C Purchasing 1000 560 AMERICAN 2008-01-19 7.4 P Selling 800 380 AMERICAN 2007-12-22 1.9 C Purchasing 500 510 AMERICAN 2007-12-22 11.44 C Purchasing 500 510 AMERICAN 2007-12-22 11.52 P Selling 300 450 AMERICAN 2008-01-19 25.8 C Purchasing 300 460 AMERICAN 2007-12-22 30.8 P Selling 100 440 AMERICAN 2007-12-22 13.01 C Purchasing 100 420 AMERICAN 2008-01-19 62.4 C Purchasing 100 580 AMERICAN 2007-12-22 2.33 C Purchasing 100 500 AMERICAN 2007-12-22 13.8 C Purchasing 100 500 AMERICAN 2007-12-22 13.8 C Purchasing 100 470 AMERICAN 2008-04-19 58.1 P Selling 100 460 AMERICAN 2008-01-19 26.61 P Selling 100 510 AMERICAN 2007-12-22 49.6 C Purchasing 100 450 AMERICAN 2008-01-19 43.7 C Purchasing 100 460 AMERICAN 2007-12-22 28.5 C Purchasing 100 480 AMERICAN 2007-12-22 21.38 P Purchasing -100 380 AMERICAN 2007-12-22 2.15 P Purchasing -100 430 AMERICAN 2007-12-22 11.7 P Purchasing -100 400 AMERICAN 2007-12-22 5.1 P Purchasing -100 390 AMERICAN 2008-01-19 8 P Purchasing -100 390 AMERICAN 2008-01-19 8 C Selling -100 440 AMERICAN 2008-01-19 51.9 P Purchasing -100 460 AMERICAN 2007-12-22 22.4 P Purchasing -100 450 AMERICAN 2008-01-19 22.54 C Selling -100 590 AMERICAN 2007-12-22 1.93 C Selling -100 470 AMERICAN 2008-01-19 39.1 C Selling -100 470 AMERICAN 2008-04-19 58.1 C Selling -100 470 AMERICAN 2007-12-22 26.2 C Selling -100 470 AMERICAN 2007-12-22 26.07 P Purchasing -200 390 AMERICAN 2008-01-19 8 P Purchasing -200 390 AMERICAN 2008-01-19 8 C Selling -200 470 AMERICAN 2007-12-22 27.7 C Selling -200 470 AMERICAN 2007-12-22 27.7 P Purchasing -300 460 AMERICAN 2008-01-19 30.34 P Purchasing -400 390 AMERICAN 2008-01-19 8 C Selling -500 520 AMERICAN 2007-12-22 9.15 C Selling -500 520 AMERICAN 2007-12-22 9.23 P Purchasing -700 590 AMERICAN 2007-12-22 121 C Selling -1000 410 AMERICAN 2007-12-22 65.8 C Selling -1000 600 AMERICAN 2008-07-19 25.6 P Purchasing -1000 560 AMERICAN 2008-04-19 109 P Purchasing -1000 540 AMERICAN 2008-04-19 94.9 P Purchasing -1000 590 AMERICAN 2008-04-19 132.2 P Purchasing -1000 590 AMERICAN 2008-07-19 140.6 P Purchasing -1000 600 AMERICAN 2008-04-19 140.3 P Purchasing -2000 580 AMERICAN 2008-04-19 124.2 C Selling -2300 570 AMERICAN 2007-12-22 2.2 (ii) Exercising Product name, e.g. call option Number of securities Exercise price per unit (Note 4) (d) Other dealings (including new securities) (Note 3) Nature of transaction (Note 7) Details Price per unit (if applicable) (Note 4) 4. 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 relatingto the voting rights of any relevant securities under any option referred to on this form or relating to the votingrights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form isreferenced. If none, this should be stated. Is a Supplemental Form 38.5(b) attached? (Note 8) YES Date of disclosure 03 December 2007 Contact name Selina Campbell Telephone number 02890 409538 Name of offeree/offeror with which connected BHP Billiton plcNature of connection (Note 9) Corporate Broker/Financial Advisor Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk SUPPLEMENTAL FORM 38.5(b) DETAILS OF OPEN POSITIONS (This form should be attached to Form 38.5(b)) OPEN POSITIONS (Note 1) Product name, Written or Number of Exercise price Type, e.g. Expiry date purchased securities to which (Note 2) American, Europeane.g. call option the option or etc. derivative relates P Written 41900 270 American 2008-01-19 P Written 11000 370 American 2008-01-19 C Purchased 8200 330 American 2008-01-19 C Purchased 8000 260 American 2008-04-19 P Written 6700 370 American 2007-12-22 P Written 5400 400 American 2007-12-22 C Purchased 5300 570 American 2008-01-19 C Purchased 5000 440 American 2007-12-22 P Written 4600 240 American 2008-04-19 P Written 4300 430 American 2008-01-19 P Written 4100 440 American 2007-12-22 C Purchased 3800 380 American 2007-12-22 C Purchased 3600 360 American 2008-01-19 P Written 3400 300 American 2008-04-19 P Written 3300 230 American 2008-01-19 C Purchased 3200 400 American 2008-01-19 C Purchased 3000 560 American 2008-01-19 C Purchased 3000 230 American 2008-04-19 C Purchased 3000 450 American 2008-07-19 C Purchased 3000 420 American 2007-12-22 C Purchased 2900 250 American 2008-04-19 P Written 2800 290 American 2008-01-19 P Written 2800 390 American 2007-12-22 P Written 2700 250 American 2008-01-19 P Written 2400 350 American 2008-01-19 P Written 2300 330 American 2007-12-22 C Purchased 2300 430 American 2007-12-22 C Purchased 2300 550 American 2007-12-22 C Purchased 2200 270 American 2008-04-19 C Purchased 2200 310 American 2008-04-19 C Purchased 2200 560 American 2007-12-22 C Purchased 2100 440 American 2008-01-19 P Written 2100 590 American 2008-04-19 C Purchased 2000 460 American 2008-01-19 C Purchased 2000 540 American 2008-01-19 C Purchased 2000 580 American 2008-01-19 C Purchased 2000 240 American 2008-04-19 C Purchased 2000 340 American 2008-04-19 C Purchased 2000 370 American 2008-04-19 P Written 1900 420 American 2008-01-19 C Purchased 1900 590 American 2008-04-19 P Written 1900 410 American 2007-12-22 P Written 1900 460 American 2007-12-22 P Written 1800 340 American 2007-12-22 P Written 1500 340 American 2008-01-19 C Purchased 1400 320 American 2008-04-19 C Purchased 1300 450 American 2008-01-19 P Written 1300 570 American 2008-04-19 P Written 1200 320 American 2007-12-22 P Written 1100 400 American 2008-01-19 P Written 1100 410 American 2008-01-19 P Written 1100 460 American 2008-07-19 P Written 1100 490 American 2008-07-19 P Written 1100 510 American 2007-12-22 C Purchased 1000 240 American 2008-01-19 P Written 1000 440 American 2008-01-19 P Written 1000 500 American 2008-01-19 P Written 1000 510 American 2008-01-19 P Written 1000 520 American 2008-01-19 P Written 1000 540 American 2008-01-19 C Purchased 1000 430 American 2008-04-19 P Written 1000 560 American 2008-04-19 C Purchased 1000 300 American 2008-07-19 C Purchased 1000 360 American 2008-07-19 P Written 1000 490 American 2007-12-22 P Written 900 200 American 2008-01-19 C Purchased 900 540 American 2008-04-19 C Purchased 900 400 American 2007-12-22 C Purchased 800 290 American 2008-01-19 P Written 800 300 American 2008-01-19 C Purchased 800 420 American 2008-04-19 P Written 800 460 American 2008-04-19 C Purchased 700 220 American 2008-01-19 C Purchased 700 390 American 2008-01-19 C Purchased 700 530 American 2007-12-22 C Purchased 600 330 American 2008-04-19 C Purchased 600 390 American 2008-04-19 C Purchased 600 580 American 2007-12-22 C Purchased 500 300 American 2008-01-19 C Purchased 500 590 American 2008-01-19 C Purchased 500 460 American 2008-04-19 P Written 400 330 American 2008-01-19 C Purchased 400 340 American 2008-01-19 P Written 400 380 American 2008-01-19 P Written 400 600 American 2008-04-19 C Purchased 400 370 American 2007-12-22 C Purchased 300 430 American 2008-01-19 C Purchased 300 600 American 2008-01-19 C Purchased 300 500 American 2007-12-22 C Purchased 200 420 American 2008-01-19 P Written 200 380 American 2008-04-19 P Written 200 450 American 2007-12-22 C Purchased 200 540 American 2007-12-22 P Written 100 450 American 2008-01-19 C Purchased 100 490 American 2008-01-19 C Purchased 100 290 American 2008-04-19 P Written 100 580 American 2008-04-19 P Written 100 450 American 2008-07-19 P Written 100 500 American 2008-07-19 P Written 100 520 American 2008-07-19 P Written 100 530 American 2008-07-19 P Written 100 540 American 2007-12-22 C Written -100 380 American 2008-01-19 P Purchased -100 470 American 2008-01-19 C Written -100 520 American 2008-01-19 P Purchased -100 530 American 2008-01-19 C Written -100 550 American 2008-01-19 P Purchased -100 330 American 2008-04-19 C Written -100 520 American 2008-04-19 C Written -100 560 American 2008-04-19 P Purchased -100 320 American 2008-07-19 P Purchased -100 330 American 2008-07-19 C Written -100 420 American 2008-07-19 P Purchased -100 470 American 2007-12-22 C Written -100 510 American 2007-12-22 P Purchased -100 530 American 2007-12-22 P Purchased -200 210 American 2008-01-19 P Purchased -200 240 American 2008-01-19 C Written -200 260 American 2008-01-19 P Purchased -200 280 American 2008-01-19 P Purchased -200 390 American 2008-01-19 P Purchased -200 310 American 2008-07-19 P Purchased -300 260 American 2008-01-19 P Purchased -300 460 American 2008-01-19 C Written -300 320 American 2007-12-22 C Written -300 460 American 2007-12-22 C Written -300 570 American 2007-12-22 C Written -400 380 American 2008-04-19 C Written -400 410 American 2007-12-22 C Written -400 470 American 2007-12-22 P Purchased -500 590 American 2007-12-22 P Purchased -600 290 American 2008-04-19 P Purchased -600 440 American 2008-04-19 C Written -600 490 American 2007-12-22 C Written -700 230 American 2008-01-19 P Purchased -700 600 American 2008-01-19 P Purchased -700 380 American 2007-12-22 C Written -900 200 American 2008-01-19 C Written -900 480 American 2008-01-19 C Written -900 570 American 2008-04-19 P Purchased -900 470 American 2008-07-19 C Written -900 520 American 2008-07-19 C Written -900 600 American 2007-12-22 C Written -1000 350 American 2008-01-19 C Written -1000 410 American 2008-01-19 C Written -1000 510 American 2008-01-19 P Purchased -1000 320 American 2008-04-19 C Written -1000 410 American 2008-04-19 C Written -1000 470 American 2008-04-19 P Purchased -1000 470 American 2008-04-19 C Written -1000 480 American 2008-04-19 P Purchased -1000 480 American 2008-04-19 P Purchased -1000 520 American 2008-04-19 P Purchased -1000 550 American 2008-04-19 C Written -1000 410 American 2008-07-19 P Purchased -1000 410 American 2008-07-19 C Written -1000 430 American 2008-07-19 C Written -1000 460 American 2008-07-19 C Written -1000 530 American 2008-07-19 C Written -1000 560 American 2008-07-19 P Purchased -1000 590 American 2008-07-19 C Written -1000 600 American 2008-07-19 P Purchased -1000 600 American 2008-07-19 C Written -1000 330 American 2007-12-22 P Purchased -1000 520 American 2007-12-22 P Purchased -1000 550 American 2007-12-22 C Written -1100 360 American 2008-04-19 C Written -1100 480 American 2007-12-22 P Purchased -1200 260 American 2008-04-19 C Written -1200 450 American 2008-04-19 C Written -1300 500 American 2008-01-19 C Written -1400 470 American 2008-01-19 C Written -1500 370 American 2008-01-19 C Written -1500 400 American 2008-07-19 C Written -1600 280 American 2008-01-19 C Written -1800 320 American 2008-01-19 C Written -1800 350 American 2008-04-19 C Written -1900 190 American 2008-01-19 P Purchased -1900 310 American 2008-04-19 P Purchased -2000 230 American 2008-04-19 C Written -2000 600 American 2008-04-19 C Written -2000 520 American 2007-12-22 P Purchased -2100 250 American 2008-04-19 C Written -2200 530 American 2008-01-19 P Purchased -2200 270 American 2008-04-19 C Written -2200 360 American 2007-12-22 C Written -2300 350 American 2007-12-22 P Purchased -2300 360 American 2007-12-22 C Written -2500 440 American 2008-04-19 P Purchased -2600 280 American 2008-04-19 P Purchased -2900 390 American 2008-04-19 P Purchased -3200 370 American 2008-04-19 C Written -3400 310 American 2008-01-19 P Purchased -3400 340 American 2008-04-19 C Written -3400 400 American 2008-04-19 P Purchased -3600 360 American 2008-01-19 P Purchased -3700 350 American 2008-04-19 C Written -3700 340 American 2007-12-22 P Purchased -3800 350 American 2007-12-22 C Written -4000 490 American 2008-04-19 P Purchased -4300 220 American 2008-01-19 P Purchased -4800 420 American 2007-12-22 C Written -4900 250 American 2008-01-19 P Purchased -4900 430 American 2007-12-22 C Written -5100 450 American 2007-12-22 P Purchased -5600 310 American 2008-01-19 P Purchased -7700 400 American 2008-04-19 P Purchased -10800 320 American 2008-01-19 Notes 1. Where there are open option positions or open derivative positions (exceptfor CFDs), full details should be given. Full details of any existingagreements to purchase or to sell should also be given on this form. 2. For all prices and other monetary amounts, the currency must be stated. For details of the Code's dealing disclosure requirements, see Rules 8 and 38.5and their Notes which can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto