27th Nov 2007 10:47
UBS Securities Australia Limited27 November 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 UBS Securities Australia Limited Company dealt in Rio Tinto Limited Class of relevant security to which the Ordinarydealings being disclosed relate (Note 1) Date of dealing 26 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 264,539 0.06% 2,217,273 0.49% (2) Derivatives (other than options) (3) Options and agreements to purchase/sell 6,688,217 1.46% 4,443,578 0.97% Total 6,952,756 1.52% 6,660,851 1.46% (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 Number Number (%) (%) (1) Relevant securities (2) Derivatives (other than options) (3) Options and agreements to purchase/sell Total (c) Rights to subscribe (Note 2) Class of relevant security: Details 3. DEALINGS (Note 3) (a) Purchases and sales Purchase/sale Number of securities Price per unit (AUD) Sale 20,000 $135.50Sale 5,000 $135.50Sale 3,000 $138.50Sale 2,490 $138.00Sale 2,000 $136.50Sale 2,000 $136.57Sale 2,000 $136.55Sale 2,000 $136.51Sale 2,000 $136.55Sale 1,999 $136.55Sale 1,899 $136.83Sale 1,640 $136.55Sale 1,500 $138.65Sale 1,448 $137.10Sale 1,424 $136.70Sale 1,406 $136.55Sale 1,246 $136.56Sale 1,144 $136.61Sale 1,108 $135.50Sale 1,088 $136.70Sale 1,057 $138.00Sale 1,000 $135.50Sale 1,000 $136.63Sale 1,000 $136.55Sale 999 $136.56Sale 998 $135.35Sale 998 $137.00Sale 986 $136.60Sale 977 $136.63Sale 911 $136.83Sale 909 $136.50Sale 907 $137.15Sale 903 $137.15Sale 898 $135.35Sale 861 $136.50Sale 843 $136.60Sale 799 $137.10Sale 726 $137.91Sale 692 $136.50Sale 611 $137.13Sale 608 $136.50Sale 602 $136.55Sale 602 $136.52Sale 601 $136.65Sale 590 $136.50Sale 588 $136.70Sale 532 $136.55Sale 500 $136.57Sale 500 $136.50Sale 500 $136.45Sale 499 $137.15Sale 423 $136.68Sale 412 $137.80Sale 399 $136.70Sale 392 $136.50Sale 360 $136.55Sale 350 $135.50Sale 340 $136.55Sale 318 $136.50Sale 296 $136.65Sale 292 $136.50Sale 274 $138.00Sale 259 $138.46Sale 249 $136.50Sale 246 $136.50Sale 239 $136.50Sale 230 $138.65Sale 220 $137.13Sale 220 $137.13Sale 200 $138.65Sale 199 $136.53Sale 199 $136.68Sale 190 $136.83Sale 179 $137.15Sale 169 $137.91Sale 142 $137.13Sale 136 $136.65Sale 132 $136.50Sale 121 $136.51Sale 120 $136.63Sale 119 $136.65Sale 105 $137.91Sale 99 $135.44Sale 99 $137.20Sale 99 $137.17Sale 99 $137.15Sale 99 $137.15Sale 98 $136.68Sale 94 $137.15Sale 91 $137.15Sale 80 $137.20Sale 78 $136.55Sale 75 $136.70Sale 75 $136.52Sale 73 $136.70Sale 70 $138.65Sale 56 $136.67Sale 50 $137.10Sale 43 $136.44Sale 42 $135.50Sale 37 $136.44Sale 33 $136.55Sale 25 $137.13Sale 24 $136.67Sale 23 $136.55Sale 20 $138.00Sale 19 $137.20Sale 17 $136.50Sale 13 $136.60Sale 7 $137.80Sale 6 $137.17Sale 6 $137.17Sale 6 $136.65Sale 6 $136.52Sale 4 $136.70Sale 3 $137.17Sale 3 $137.17Sale 3 $136.66Sale 1 $137.15Sale 1 $136.55Sale 1 $136.56Sale 1 $136.60Sale 1 $136.65Sale 1 $136.53Sale 1 $136.70Sale 1 $136.55Sale 1 $136.61Sale 1 $136.60Sale 1 $136.66Sale 1 $136.55Sale 1 $136.68Sale 1 $136.50Sale 1 $136.50Sale 1 $136.50Sale 1 $136.50Sale 1 $136.67Purchase 1 $136.05Purchase 1 $136.05Purchase 1 $136.05Purchase 20 $138.00Purchase 79 $135.40Purchase 100 $135.45Purchase 100 $136.17Purchase 178 $136.05Purchase 220 $137.13Purchase 452 $135.40Purchase 686 $135.45Purchase 688 $136.17Purchase 1,000 $136.19Purchase 1,057 $138.00Purchase 1,500 $136.17Purchase 1,700 $135.49Purchase 1,714 $135.44Purchase 2,490 $138.00Purchase 2,800 $136.05Purchase 3,000 $135.50Purchase 3,500 $136.20Purchase 45,000 $0.00TOTAL SALE 89,812TOTAL PURCHASE 66,287 (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, selling, Number of securities Exercise Type, e.g. Expiry Option money purchasing, to which the option American,e.g. call option varying etc. relates (Note 6) price European etc. date paid/received per unit (AUD) (AUD)Call Option Purchasing 10000 150 A 28-Feb-08 5.85Call Option Purchasing 10000 150 A 28-Feb-08 5.85Call Warrant Purchasing 260 38.5 E 14-Mar-08 101.1Call Warrant Purchasing 420 85 E 24-Jan-08 54.14Call Warrant Purchasing 800 85 E 24-Jan-08 53.44Call Warrant Purchasing 900 85 E 24-Jan-08 51.69Call Warrant Purchasing 1500 85 E 24-Jan-08 53.44Call Warrant Purchasing 1000 85 E 24-Jan-08 51.69Call Warrant Purchasing 100 85 E 24-Jan-08 51.78Call Warrant Purchasing 1000 85 E 24-Jan-08 53.47Call Warrant Purchasing 100 85 E 24-Jan-08 53.54Call Warrant Purchasing 100 85 E 24-Jan-08 53.54Call Warrant Purchasing 1000 85 E 24-Jan-08 53.49Call Warrant Purchasing 500 85 E 24-Jan-08 53.49Call Warrant Purchasing 1000 85 E 24-Jan-08 53.49Call Warrant Purchasing 180 85 E 24-Jan-08 53.49Call Warrant Purchasing 10 85 E 24-Jan-08 53.49Call Warrant Purchasing 100 85 E 24-Jan-08 53.49Call Warrant Purchasing 100 85 E 24-Jan-08 53.49Call Warrant Purchasing 10 85 E 24-Jan-08 53.49Call Warrant Purchasing 100 85 E 24-Jan-08 53.49Call Warrant Purchasing 1000 85 E 24-Jan-08 53.34 (ii) Exercising Product name, e.g. call option Number of securities Exercise price per unit (AUD) (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 27 November 2007 Contact name Ann Tran Telephone number +612 9324 3652 Name of offeree/offeror with which connected BHP Billiton Plc/ BHP Billiton Limited Nature of connection (Note 9) Connected Advisor 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 purchased Number of securities to which Exercise price Type, e.g. Expiry date the option or derivative (AUD) American, Europeane.g. call option relates etc. Call Warrant Written $55.00 American 30Jun14 706Call Option Written 300,000 $94.00 American 29Nov07Call Option Written 200,000 $90.00 American 20Dec07Call Option Written 100,000 $132.00 American 20Dec07Call Option Written 90,000 $100.00 American 20Dec07Call Option Written 36,720 $107.89 American 24Jan08Call Option Written 25,000 $140.00 American 29Nov07Call Option Written 14,280 $90.23 American 24Jan08Call Option Written $72.58 American 24Jan08 3,060Call Option Written $109.85 American 24Jan08 3,060Call Option Written $130.00 American 29Nov07 3,000Call Warrant Written 11,439 $94.00 European 20Dec07Call Warrant Written 10,300 $98.00 European 20Dec07Call Warrant Written $38.50 European 14Mar08 8,744Call Warrant Written $85.00 European 24Jan08 7,632Call Warrant Written $56.50 European 27May08 7,554Call Warrant Written $90.00 European 20Dec07 6,766Call Option Written $96.00 European 6Nov08 5,152Call Option Written $55.00 European 18Jun09 1,680Call Option Written $90.00 European 20Dec07 1,325Call Option Written 180,000 $120.00 American 20Dec07Call Option Written 150,000 $107.89 American 24Jan08Call Option Written 100,000 $135.00 American 20Dec07Call Option Written 95,000 $85.00 European 24Jan08Call Option Written 48,000 $125.00 American 20Dec07Call Option Written 25,000 $57.00 European 29Nov07Call Option Written 25,000 $140.00 American 29Nov07Call Option Written 20,000 $120.00 American 20Dec07Call Option Purchased $116.00 American 29Nov07 1,000Call Option Purchased $114.74 European 19Jun09 1,000Call Option Purchased $110.00 American 29Nov07 5,000Call Option Purchased $120.00 American 20Dec07 20,000Call Option Purchased $112.00 American 29Nov07 24,000Call Option Purchased $140.00 American 29Nov07 25,000Call Option Purchased $57.00 European 29Nov07 25,000Call Option Purchased $125.00 American 20Dec07 30,000Call Option Purchased $106.00 American 27Mar08 40,000Call Option Purchased $125.00 American 20Dec07 48,000Call Option Purchased $125.00 American 20Dec07 48,000Call Option Purchased $106.00 American 20Dec07 50,000Call Option Purchased $150.00 American 28Feb08 67,000Call Option Purchased $85.00 European 24Jan08 95,000Call Option Purchased $135.00 American 20Dec07 100,000Call Option Purchased $134.00 American 27Mar08 100,000Call Option Purchased $102.00 American 20Dec07 100,000Call Option Purchased $135.00 American 20Dec07 100,000Call Option Purchased $120.00 American 20Dec07 142,000Call Option Purchased $98.00 American 20Dec07 200,000Call Option Purchased $94.00 American 20Dec07 200,000Call Option Purchased $96.00 American 20Dec07 300,000Put Option Written 600,000 $88.00 American 27Mar08Put Option Written 600,000 $100.00 American 27Mar08Put Option Written 600,000 $68.00 American 20Dec07Put Option Written 500,000 $80.00 American 20Dec07Put Option Written 500,000 $95.00 American 28Feb08Put Option Written 300,000 $66.00 American 20Dec07Put Option Written 232,000 $66.00 American 26Jun08Put Option Written 200,000 $96.00 American 20Dec07Put Option Written 200,000 $80.00 American 26Jun08Put Option Written 200,000 $93.00 American 28Feb08Put Option Written 150,000 $79.00 American 22Dec11Put Option Written 150,000 $104.00 American 20Dec07Put Option Written 150,000 $102.98 American 24Jan08Put Option Written 100,000 $108.00 American 20Dec07Put Option Written 99,000 $110.00 American 20Dec07Put Option Written 51,000 $90.23 American 24Jan08Put Option Written 36,720 $107.89 American 24Jan08Put Warrant Written 27,740 $90.00 European 20Dec07Put Option Written 20,000 $89.00 American 29Nov07Put Option Written 16,695 $102.42 American 29Jun12Put Option Written 16,320 $94.16 American 24Jan08Put Warrant Written 12,075 $94.00 European 20Dec07Put Option Written 10,200 $73.56 American 24Jan08Put Option Written 10,000 $70.00 American 27Mar08Put Option Written $78.86 American 28Jul11 8,721Put Option Written $78.43 American 28Jul11 6,608Put Option Written $91.26 American 26Aug10 5,478Put Option Written $29.73 American 17Jun08 5,380Put Option Written $50.17 American 19Jun08 4,983Put Option Written $78.23 American 30Jun11 4,434Put Option Written $78.00 American 28Jul11 4,058Put Option Written $77.32 American 30Jun11 4,005Put Option Written $62.00 American 27Mar08 4,000Put Option Written $102.41 American 29Jul10 3,905Put Option Written $76.01 American 30Jun11 3,685Put Option Written $85.70 American 22Jun12 3,675Put Option Written $67.79 American 29Sep11 3,628Put Option Written $76.54 American 28Jul11 3,267Put Option Written $101.81 American 26Jul12 3,013Put Option Written $72.82 American 24Jun11 2,746Put Option Written $94.91 American 29Jul10 2,739Put Option Written $99.08 American 29Jul10 2,719Put Option Written $78.99 American 28Jul11 2,716Put Option Written $98.79 American 26Jul12 2,515Put Option Written $110.36 American 24Jun09 2,264Put Option Written $98.51 American 28Jun12 1,902Put Option Written $101.45 American 26Jul12 1,806Put Option Written $100.70 American 26Jul12 1,787Put Option Written $77.02 American 30Jun11 1,656Put Option Written $103.64 American 26Jul12 1,639Put Option Written $102.26 American 24Jun10 1,628Put Option Written $77.20 American 25Feb10 1,600Put Option Written $100.35 American 26Jul12 1,594Put Option Written $99.88 American 26Jul12 1,588Put Option Written $48.13 American 25Jun08 1,558Put Option Written $99.17 American 25Jun10 1,512Put Option Written $78.20 American 22Mar10 1,500Put Option Written $78.39 American 23Mar10 1,500Put Option Written $99.64 American 29Jul10 1,441Put Option Written $91.60 American 29Jul10 1,418Put Option Written $44.42 American 25Jun08 1,407Put Option Written $73.51 American 28Jul11 1,360Put Option Written $74.99 American 22Jun11 1,334Put Option Written $77.44 American 30Jun11 1,291Put Option Written $43.40 American 21Jun10 1,281Put Option Written $99.37 American 28Jun12 1,257Put Option Written $42.50 American 27Jan10 1,175Put Option Written $92.25 American 28Jun12 1,083Put Option Written $101.81 American 29Jul10 1,080Put Option Written $98.28 American 28Jun12 1,062Put Option Written $96.14 American 26May10 1,040Put Option Written $76.08 American 30Jun11 1,038Put Option Written $74.54 American 1Aug11 1,020Put Option Written $99.09 American 18Jun10 1,008Put Option Written $43.86 American 26Jun08 1,003Put Option Written $76.00 American 14Jun11 1,000Put Option Written $76.49 American 19Jun09 1,000Put Option Written $74.85 American 30Jun11 982Put Option Written $42.50 American 3Jun10 941Put Option Written $98.08 American 28Jun12 887Put Option Written $97.65 American 22Jun12 870Put Option Written $75.44 American 23Jun11 869Put Option Written $99.24 American 15Jun10 836Put Option Written $96.80 American 28Jun12 831Put Option Written $98.90 American 29Jul10 828Put Option Written $103.41 American 22Jun12 821Put Option Written $98.29 American 30Jun08 815Put Option Written $43.91 American 24Jun08 797Put Option Written $75.50 American 23Jun11 794Put Option Written $53.80 American 17Sep08 742Put Option Written $102.26 American 28Jun12 733Put Option Written $99.04 American 25Jun10 706Put Option Written $78.59 American 15May08 704Put Option Written $85.30 American 22Jun12 703Put Option Written $42.79 American 4Jun10 701Put Option Written $99.01 American 26Jul12 696Put Option Written $73.00 American 12Jun08 680Put Option Written $74.05 American 12Jun08 676Put Option Written $29.62 American 13Jun08 675Put Option Written $30.16 American 12Jun08 663Put Option Written $75.36 American 23Jun11 663Put Option Written $75.38 American 25Jun09 663Put Option Written $92.25 American 12Jun12 650Put Option Written $97.31 American 24Jun09 648Put Option Written $47.09 American 18Jun08 637Put Option Written $78.70 American 27May09 634Put Option Written $99.44 American 29Jul10 628Put Option Written $28.75 American 23Jun08 626Put Option Written $99.71 American 25Jun10 601Put Option Written $73.45 American 30Jun11 600Put Option Written $83.69 American 22Jun12 598Put Option Written $33.50 American 6Dec07 597Put Option Written $95.30 American 29Jul10 591Put Option Written $43.40 American 23Jun08 576Put Option Written $34.90 American 18Jun09 573Put Option Written $44.01 American 26Jun08 568Put Option Written $35.27 American 19Jun09 567Put Option Written $35.33 American 22Jun09 566Put Option Written $90.39 American 22Jun12 564Put Option Written $99.67 American 29Jul10 562Put Option Written $44.56 American 25Jun08 561Put Option Written $45.04 American 22Jun10 555Put Option Written $74.19 American 21Feb08 539Put Option Written $99.08 American 26Jul12 538Put Option Written $50.14 American 10Sep10 535Put Option Written $75.48 American 29Jun11 528Put Option Written $43.89 American 24Jun08 524Put Option Written $96.51 American 31May12 518Put Option Written $77.75 American 30Jun11 514Put Option Written $98.00 American 29Jul10 510Put Option Written $98.07 American 29Jul10 509Put Option Written $33.20 American 16May08 500Put Option Written $33.60 American 19May08 491Put Option Written $103.17 American 26Jul12 484Put Option Written $90.60 American 29Jul10 472Put Option Written $98.90 American 28Jun12 465Put Option Written $43.76 American 12Jun08 457Put Option Written $44.05 American 26Jun08 454Put Option Written $44.24 American 24Jun08 452Put Option Written $44.64 American 17Jun08 448Put Option Written $98.52 American 29Jul10 434Put Option Written $34.96 American 18Jun09 429Put Option Written $78.61 American 30Jun11 425Put Option Written $71.59 American 19Jan09 419Put Option Written $96.82 American 24Jun10 413Put Option Written $96.75 American 21Jun12 413Put Option Written $98.86 American 24Jun10 404Put Option Written $74.90 American 22Jun11 400Put Option Written $75.01 American 8Mar10 396Put Option Written $98.00 American 26Jul12 382Put Option Written $99.30 American 29Jul10 371Put Option Written $81.82 American 14May08 366Put Option Written $82.51 American 28Apr09 363Put Option Written $70.14 American 10Jun09 356Put Option Written $42.49 American 8May08 353Put Option Written $70.82 American 9Feb09 353Put Option Written $98.21 American 29Jul10 352Put Option Written $29.15 American 20Jun08 343Put Option Written $43.98 American 24Jun08 341Put Option Written $77.02 American 21May09 325Put Option Written $38.81 American 27Nov07 322Put Option Written $96.73 American 23Jun10 310Put Option Written $75.25 American 25Jun09 305Put Option Written $71.70 American 2Jan09 300Put Option Written $100.50 American 25Jun10 298Put Option Written $67.43 American 15Sep09 296Put Option Written $91.60 American 30Aug12 286Put Option Written $78.34 American 19Oct11 283Put Option Written $73.66 American 10Jun09 271Put Option Written $73.76 American 5Jun09 271Put Option Written $75.38 American 22Jun11 265Put Option Written $76.50 American 17Jun11 257Put Option Written $101.60 American 24Jun10 246Put Option Written $102.51 American 26Jul12 243Put Warrant Written $98.00 European 20Dec07 240Put Option Written $83.48 American 18Apr11 240Put Option Written $43.10 American 3Jun08 232Put Option Written $44.05 American 22Jun10 227Put Option Written $100.49 American 28Jun12 218Put Option Written $93.26 American 28Jun12 214Put Option Written $81.14 American 28Apr11 209Put Option Written $98.47 American 22Jun10 203Put Option Written $98.08 American 22Jun10 203Put Option Written $100.52 American 16Jun10 198Put Option Written $101.00 American 29Jul10 181Put Option Written $113.21 American 25Oct12 176Put Option Written $57.14 American 24Sep08 175Put Option Written $91.04 American 11May12 164Put Option Written $78.20 American 23Jun09 159Put Option Written $78.31 American 21Jun11 159Put Option Written $99.12 American 29Jul10 158Put Option Written $78.77 American 24Jun11 158Put Option Written $99.86 American 29Jul10 157Put Option Written $98.36 American 28Jun12 152Put Option Written $99.59 American 29Jul10 150Put Option Written $98.79 American 29Jul10 146Put Option Written $102.05 American 26Jul12 146Put Option Written $97.50 American 2Jul12 132Put Option Written $94.91 American 26Jul12 131Put Option Written $76.73 American 25Jun08 130Put Option Written $76.70 American 19May11 130Put Option Written $77.89 American 21Jun11 128Put Option Written $98.35 American 22Jun10 127Put Option Written $99.07 American 7Sep12 126Put Option Written $99.48 American 29Jul10 125Put Option Written $99.59 American 28Jun12 125Put Option Written $83.55 American 11Aug10 119Put Option Written $88.74 American 5Aug10 115Put Option Purchased $100.04 American 24Jan08 8,160Put Option Purchased $80.00 American 20Dec07 10,000Put Option Purchased $112.00 American 29Nov07 19,000Put Option Purchased $112.00 American 20Dec07 30,000Put Option Purchased $130.00 American 28Feb08 47,000Put Option Purchased $102.00 American 20Dec07 70,000Put Option Purchased $102.00 American 28Feb08 100,000Put Option Purchased $90.00 American 26Jun08 100,000Put Option Purchased $77.00 American 22Dec11 150,000Put Option Purchased $90.00 American 20Dec07 250,000Put Option Purchased $101.00 American 28Feb08 250,000Put Option Purchased $88.00 American 20Dec07 280,000Put Option Purchased $87.00 American 29Nov07 300,000Put Option Purchased $96.00 American 27Mar08 300,000Put Option Purchased $75.00 American 20Dec07 450,000Put Option Purchased $90.00 American 27Mar08 600,000 This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto