13th Oct 2008 11:09
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FORM 38.5 (SUMMARY) |
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Lodge with Company Announcements Office and the Panel. Use a separate form for each class of |
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securities in which dealings have been made. |
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CONNECTED EXEMPT PRINCIPLE TRADER: |
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DISCLOSURE UNDER RULE 38.5 OF THE CITY CODE ON TAKEOVERS AND |
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Name of EPT |
Merrill Lynch International |
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Date of disclosure |
13 October 2008 |
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Date of dealing |
10 October 2008 |
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Telephone number |
020 7996 2121 |
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Please see attached disclosure of dealings under Rule 38.5 in the securities of the following |
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10 October 2008 |
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Axon Plc - Common |
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BHP Billiton Plc - Common |
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BHP Billiton Ltd - Common |
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Alliance & Leicester Plc - Common |
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FORM 38.5 |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
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(Rule 38.5 of The City Code on Takeovers and Mergers) |
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1. KEY INFORMATION |
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Name of exempt principal trader |
Merrill Lynch International |
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Company dealt in |
Alliance & Leicester Plc |
|
Class of relevant security to which the |
Common |
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dealings being disclosed relate |
|
Date of dealing |
10/10/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
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purchased |
|
4,439,551 |
GBP 2.53 |
GBP 2.34 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,476,925 |
GBP 2.73 |
GBP 2.31 |
|
(b) Derivatives transactions (other than options) |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,885,935 |
GBP 2.42 |
|
Long Swap |
LONG |
558,086 |
GBP 2.34 |
|
Long Swap |
LONG |
65,450 |
GBP 2.51 |
|
Long Swap |
LONG |
4,271 |
GBP 2.52 |
|
Long Swap |
LONG |
2,920 |
GBP 2.51 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
2,920 |
GBP 2.50 |
|
Short Swap |
SHORT |
4,271 |
GBP 2.50 |
|
Short Swap |
SHORT |
31,471 |
GBP 2.52 |
|
Short Swap |
SHORT |
65,450 |
GBP 2.51 |
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(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 |
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Agreements, arrangements or understandings relating to options or derivatives |
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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 |
13/10/2008 |
|
Contact name |
Louise Howard |
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Telephone number |
+44 20 7996 2121 |
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Name of offeree/offeror with whom connected |
Banco Santander SA. |
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Nature of connection # |
Advisor |
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FORM 38.5 |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
(Rule 38.5 of The City Code on Takeovers and Mergers) |
|
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 |
10/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,986,873 |
GBP 9.76 |
GBP 8.81 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,094,389 |
GBP 9.71 |
GBP 8.84 |
|
(b) Derivatives transactions (other than options) |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,695,377 |
GBP 9.36 |
|
Long Swap |
LONG |
2,866 |
GBP 9.41 |
|
Long Swap |
LONG |
3,495 |
GBP 9.26 |
|
Long Swap |
LONG |
3,940 |
GBP 9.33 |
|
Long Swap |
LONG |
9,100 |
GBP 9.25 |
|
Long Swap |
LONG |
12,500 |
GBP 9.41 |
|
Long Swap |
LONG |
14,000 |
GBP 9.27 |
|
Long Swap |
LONG |
18,000 |
GBP 9.26 |
|
Long Swap |
LONG |
34,854 |
GBP 9.33 |
|
Long Swap |
LONG |
38,213 |
GBP 9.41 |
|
Long Swap |
LONG |
79,886 |
GBP 9.46 |
|
Long Swap |
LONG |
1,446 |
GBP 9.22 |
|
Long Swap |
LONG |
908,625 |
GBP 9.22 |
|
Long Swap |
LONG |
423,304 |
GBP 9.33 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,446 |
GBP 9.35 |
|
Short Swap |
SHORT |
1,695,377 |
GBP 9.38 |
|
Short Swap |
SHORT |
908,625 |
GBP 0.00 |
|
Short Swap |
SHORT |
423,304 |
GBP 9.30 |
|
Short Swap |
SHORT |
26,759 |
GBP 9.30 |
|
Short Swap |
SHORT |
18,000 |
GBP 9.29 |
|
Short Swap |
SHORT |
14,000 |
GBP 9.26 |
|
Short Swap |
SHORT |
12,500 |
GBP 9.40 |
|
Short Swap |
SHORT |
9,100 |
GBP 9.24 |
|
Short Swap |
SHORT |
4,450 |
GBP 9.59 |
|
Short Swap |
SHORT |
3,940 |
GBP 9.19 |
|
(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 |
13/10/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5 |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
(Rule 38.5 of The City Code on Takeovers and Mergers) |
|
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 |
10/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,187,954 |
GBP 6.30 |
GBP 6.00 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,117,470 |
GBP 6.30 |
GBP 6.00 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
65,000 |
GBP 6.05 |
|
Long Swap |
LONG |
13,639 |
GBP 6.10 |
|
Long Swap |
LONG |
7,332 |
GBP 6.16 |
|
Long Swap |
LONG |
1,503 |
GBP 6.10 |
|
Long Swap |
LONG |
709 |
GBP 6.10 |
|
Long Swap |
LONG |
313 |
GBP 6.10 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,947 |
GBP 6.13 |
|
Short Swap |
SHORT |
16,065 |
GBP 6.13 |
|
(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 |
13/10/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
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 |
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RECOGNISED INTERMEDIARY STATUS DEALING IN CLIENT- |
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SERVICING CAPACITY |
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(Rule 38.5(a) of The City Code on Takeovers and Mergers) |
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1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
BHP Billiton Limited |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
10/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
424 |
AUS 28.68 |
AUS 28.68 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
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 |
13/10/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
Related Shares:
BHP Group