31st Oct 2008 11:19
|
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 dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
30/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
4,573,168 |
GBP 10.49 |
GBP 9.76 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,034,003 |
GBP 10.49 |
GBP 9.67 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
11,000 |
GBP 10.11 |
|
Long Swap |
LONG |
1,477 |
GBP 10.09 |
|
Long Swap |
LONG |
251,163 |
GBP 10.09 |
|
Long Swap |
LONG |
57,940 |
GBP 10.17 |
|
Long Swap |
LONG |
30,000 |
GBP 10.23 |
|
Long Swap |
LONG |
25,000 |
GBP 10.19 |
|
Long Swap |
LONG |
22,852 |
GBP 10.13 |
|
Long Swap |
LONG |
21,780 |
GBP 10.12 |
|
Long Swap |
LONG |
14,380 |
GBP 10.12 |
|
Long Swap |
LONG |
1,164,010 |
GBP 10.14 |
|
Long Swap |
LONG |
10,000 |
GBP 10.19 |
|
Long Swap |
LONG |
7,263 |
GBP 10.33 |
|
Long Swap |
LONG |
6,090 |
GBP 10.12 |
|
Long Swap |
LONG |
5,368 |
GBP 10.14 |
|
Long Swap |
LONG |
4,479 |
GBP 10.17 |
|
Long Swap |
LONG |
3,215 |
GBP 10.10 |
|
Long Swap |
LONG |
2,728 |
GBP 10.13 |
|
Long Swap |
LONG |
2,018 |
GBP 10.14 |
|
Long Swap |
LONG |
21,584 |
GBP 10.31 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
254,378 |
GBP 10.12 |
|
Short Swap |
SHORT |
11,000 |
GBP 10.15 |
|
Short Swap |
SHORT |
351 |
GBP 10.15 |
|
Short Swap |
SHORT |
2,728 |
GBP 10.34 |
|
Short Swap |
SHORT |
4,040 |
GBP 10.14 |
|
Short Swap |
SHORT |
4,727 |
GBP 10.32 |
|
Short Swap |
SHORT |
5,368 |
GBP 10.32 |
|
Short Swap |
SHORT |
8,594 |
GBP 10.16 |
|
Short Swap |
SHORT |
10,000 |
GBP 10.31 |
|
Short Swap |
SHORT |
1,164,010 |
GBP 10.14 |
|
Short Swap |
SHORT |
10,435 |
GBP 10.16 |
|
Short Swap |
SHORT |
32 |
GBP 10.30 |
|
Short Swap |
SHORT |
11,742 |
GBP 10.30 |
|
Short Swap |
SHORT |
17,457 |
GBP 10.14 |
|
Short Swap |
SHORT |
22,852 |
GBP 10.34 |
|
Short Swap |
SHORT |
25,000 |
GBP 0.00 |
|
Short Swap |
SHORT |
25,000 |
GBP 0.00 |
|
Short Swap |
SHORT |
25,000 |
GBP 0.00 |
|
Short Swap |
SHORT |
30,000 |
GBP 10.24 |
|
Short Swap |
SHORT |
57,940 |
GBP 10.15 |
|
Short Swap |
SHORT |
10,403 |
GBP 10.12 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 |
31/10/2008 |
|
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 dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
30/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
9,114 |
GBP 6.39 |
GBP 6.39 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
11,531 |
GBP 6.38 |
GBP 6.38 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
5,325 |
GBP 6.39 |
|
Long Swap |
LONG |
3,789 |
GBP 6.39 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,059 |
GBP 6.38 |
|
Short Swap |
SHORT |
1,433 |
GBP 6.38 |
|
Short Swap |
SHORT |
1,735 |
GBP 6.38 |
|
Short Swap |
SHORT |
1,979 |
GBP 6.38 |
|
Short Swap |
SHORT |
5,325 |
GBP 6.38 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 |
31/10/2008 |
|
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 dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
30/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
1,075,355 |
GBP 29.45 |
GBP 26.84 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,059,872 |
GBP 29.35 |
GBP 26.68 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,639 |
GBP 28.00 |
|
Long Swap |
LONG |
319 |
GBP 27.82 |
|
Long Swap |
LONG |
4,006 |
GBP 27.82 |
|
Long Swap |
LONG |
2,997 |
GBP 27.89 |
|
Long Swap |
LONG |
2,400 |
GBP 28.23 |
|
Long Swap |
LONG |
2,340 |
GBP 27.42 |
|
Long Swap |
LONG |
7,679 |
GBP 28.00 |
|
Long Swap |
LONG |
1,786 |
GBP 28.24 |
|
Long Swap |
LONG |
9,750 |
GBP 27.42 |
|
Long Swap |
LONG |
1,568 |
GBP 27.82 |
|
Long Swap |
LONG |
1,553 |
GBP 28.66 |
|
Long Swap |
LONG |
1,458 |
GBP 27.82 |
|
Long Swap |
LONG |
638 |
GBP 28.22 |
|
Long Swap |
LONG |
630 |
GBP 27.42 |
|
Long Swap |
LONG |
500 |
GBP 28.01 |
|
Long Swap |
LONG |
2,153 |
GBP 27.82 |
|
Long Swap |
LONG |
10,287 |
GBP 26.80 |
|
Long Swap |
LONG |
23,846 |
GBP 28.22 |
|
Long Swap |
LONG |
72,125 |
GBP 28.00 |
|
Long Swap |
LONG |
345,298 |
GBP 28.24 |
|
Long Swap |
LONG |
6,579 |
GBP 28.00 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
25,444 |
GBP 28.25 |
|
Short Swap |
SHORT |
500 |
GBP 27.97 |
|
Short Swap |
SHORT |
638 |
GBP 28.77 |
|
Short Swap |
SHORT |
992 |
GBP 28.01 |
|
Short Swap |
SHORT |
1,639 |
GBP 28.06 |
|
Short Swap |
SHORT |
2,195 |
GBP 28.96 |
|
Short Swap |
SHORT |
12,252 |
GBP 28.16 |
|
Short Swap |
SHORT |
10 |
GBP 28.77 |
|
Short Swap |
SHORT |
81,053 |
GBP 28.00 |
|
Short Swap |
SHORT |
345,298 |
GBP 28.18 |
|
Short Swap |
SHORT |
2,400 |
GBP 28.36 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry date |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
paid/received per |
|
etc. |
European etc |
unit |
|
Warrant |
Selling |
-5,000 |
£0.06 |
AMERICAN |
18-Sep-09 |
|
Warrant |
Selling |
-2,000 |
£0.28 |
AMERICAN |
17-Apr-09 |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 |
31/10/2008 |
|
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 dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
30/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
1,364,760 |
GBP 1.99 |
GBP 1.81 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,394,750 |
GBP 1.98 |
GBP 1.77 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
5,000 |
GBP 1.97 |
|
Long Swap |
LONG |
8,200 |
GBP 1.97 |
|
Long Swap |
LONG |
11,142 |
GBP 1.93 |
|
Long Swap |
LONG |
19,727 |
GBP 1.80 |
|
Long Swap |
LONG |
24,193 |
GBP 1.79 |
|
Long Swap |
LONG |
52,395 |
GBP 1.79 |
|
Long Swap |
LONG |
100,000 |
GBP 1.86 |
|
Long Swap |
LONG |
898,618 |
GBP 1.86 |
|
Long Swap |
LONG |
1,380 |
GBP 1.88 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
24,193 |
GBP 1.81 |
|
Short Swap |
SHORT |
898,618 |
GBP 1.87 |
|
Short Swap |
SHORT |
52,395 |
GBP 1.79 |
|
Short Swap |
SHORT |
686 |
GBP 1.84 |
|
Short Swap |
SHORT |
19,727 |
GBP 1.79 |
|
Short Swap |
SHORT |
16,185 |
GBP 1.82 |
|
Short Swap |
SHORT |
11,142 |
GBP 1.93 |
|
Short Swap |
SHORT |
10,860 |
GBP 1.84 |
|
Short Swap |
SHORT |
8,632 |
GBP 1.85 |
|
Short Swap |
SHORT |
8,200 |
GBP 1.98 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.98 |
|
Short Swap |
SHORT |
1,879 |
GBP 1.82 |
|
Short Swap |
SHORT |
1,380 |
GBP 1.88 |
|
Short Swap |
SHORT |
92,764 |
GBP 1.87 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 |
31/10/2008 |
|
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