7th Oct 2008 16:16
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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 MERGERS |
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Name of EPT |
Merrill Lynch International |
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Date of disclosure |
07 October 2008 |
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Date of dealing |
02 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 companies: |
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02 October 2008 |
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Rio Tinto Plc - Common |
|
Lloyds TSB Group Plc - Common |
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HBOS Plc - Common |
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Banco Santander SA. - Common |
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FORM 38.5 |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
(Rule 38.5 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 |
Rio Tinto Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
02/10/2008 |
|
2. DEALINGS |
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(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,125,681 |
GBP 36.63 |
GBP 31.91 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,081,875 |
GBP 36.75 |
GBP 31.95 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
7,139 |
GBP 36.24 |
|
Long Swap |
LONG |
100 |
GBP 35.12 |
|
Long Swap |
LONG |
272 |
GBP 34.64 |
|
Long Swap |
LONG |
1,900 |
GBP 34.45 |
|
Long Swap |
LONG |
2,280 |
GBP 32.25 |
|
Long Swap |
LONG |
2,674 |
GBP 33.01 |
|
Long Swap |
LONG |
3,405 |
GBP 36.24 |
|
Long Swap |
LONG |
3,405 |
GBP 36.61 |
|
Long Swap |
LONG |
3,405 |
GBP 36.63 |
|
Long Swap |
LONG |
3,701 |
GBP 34.33 |
|
Long Swap |
LONG |
4,241 |
GBP 34.67 |
|
Long Swap |
LONG |
5 |
GBP 35.12 |
|
Long Swap |
LONG |
7,034 |
GBP 34.67 |
|
Long Swap |
LONG |
7,139 |
GBP 36.61 |
|
Long Swap |
LONG |
7,139 |
GBP 36.63 |
|
Long Swap |
LONG |
9,369 |
GBP 34.67 |
|
Long Swap |
LONG |
17,010 |
GBP 34.64 |
|
Long Swap |
LONG |
78,248 |
GBP 34.33 |
|
Long Swap |
LONG |
4,901 |
GBP 34.33 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
12 |
GBP 33.80 |
|
Short Swap |
SHORT |
88,901 |
GBP 34.17 |
|
Short Swap |
SHORT |
17,010 |
GBP 36.00 |
|
Short Swap |
SHORT |
9,369 |
GBP 35.33 |
|
Short Swap |
SHORT |
4,901 |
GBP 35.36 |
|
Short Swap |
SHORT |
272 |
GBP 36.00 |
|
(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 |
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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 |
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other person relating to the voting rights of any relevant securities under any option referred to on this |
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form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
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any derivative referred to on this form is referenced. If none, this should be stated. |
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NONE |
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Date of disclosure |
07/10/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
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Name of offeree/offeror with whom connected |
BHP Billiton Plc |
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Nature of connection # |
Advisor |
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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 |
Lloyds TSB Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
02/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,042,603 |
GBP 2.72 |
GBP 2.59 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,837,276 |
GBP 2.72 |
GBP 2.51 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
67,704 |
GBP 2.64 |
|
Long Swap |
LONG |
53,570 |
GBP 2.60 |
|
Long Swap |
LONG |
51,164 |
GBP 2.60 |
|
Long Swap |
LONG |
19,307 |
GBP 2.60 |
|
Long Swap |
LONG |
5,000 |
GBP 2.67 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
5,000 |
GBP 2.64 |
|
Short Swap |
SHORT |
19,307 |
GBP 2.63 |
|
Short Swap |
SHORT |
23,314 |
GBP 2.66 |
|
Short Swap |
SHORT |
23,417 |
GBP 2.64 |
|
Short Swap |
SHORT |
27,183 |
GBP 2.64 |
|
Short Swap |
SHORT |
51,164 |
GBP 2.63 |
|
Short Swap |
SHORT |
67,704 |
GBP 2.63 |
|
Short Swap |
SHORT |
85,307 |
GBP 2.66 |
|
Short Swap |
SHORT |
156,307 |
GBP 2.66 |
|
(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 |
|
to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
07/10/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Lloyds TSB Group 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 |
HBOS Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
02/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
9,054,919 |
GBP 1.78 |
GBP 1.57 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
9,070 |
GBP |
GBP |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
105,702 |
GBP |
GBP |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
8,650,689 |
GBP 1.78 |
GBP 1.57 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
146,722 |
GBP 1.68 |
|
Long Swap |
LONG |
78,682 |
GBP 1.65 |
|
Long Swap |
LONG |
35,526 |
GBP 1.65 |
|
Long Swap |
LONG |
5,000 |
GBP 1.68 |
|
Long Swap |
LONG |
278 |
GBP 1.65 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
7 |
GBP 1.68 |
|
Short Swap |
SHORT |
285 |
GBP 1.68 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.68 |
|
Short Swap |
SHORT |
20,488 |
GBP 1.67 |
|
Short Swap |
SHORT |
35,526 |
GBP 1.68 |
|
Short Swap |
SHORT |
58,194 |
GBP 1.67 |
|
Short Swap |
SHORT |
146,722 |
GBP 1.67 |
|
Short Swap |
SHORT |
210,451 |
GBP 1.68 |
|
(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 |
07/10/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Lloyds TSB Group 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 |
Banco Santander SA. |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
02/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,419,144 |
EUR 11.40 |
EUR 10.84 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,183,971 |
EUR 11.40 |
EUR 10.83 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
11,465 |
EUR 11.31 |
|
Long Swap |
LONG |
15,274 |
EUR 11.31 |
|
Long Swap |
LONG |
23,166 |
EUR 11.31 |
|
Long Swap |
LONG |
296,486 |
EUR 11.16 |
|
Long Swap |
LONG |
1,682 |
EUR 11.16 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
43,247 |
EUR 11.17 |
|
Short Swap |
SHORT |
296,486 |
EUR 11.15 |
|
Short Swap |
SHORT |
45,148 |
EUR 11.17 |
|
Short Swap |
SHORT |
1,926 |
EUR 11.31 |
|
Short Swap |
SHORT |
12,313 |
EUR 11.15 |
|
Short Swap |
SHORT |
5,839 |
EUR 11.31 |
|
Short Swap |
SHORT |
4,581 |
EUR 11.31 |
|
Short Swap |
SHORT |
4,312 |
EUR 11.17 |
|
Short Swap |
SHORT |
3,609 |
EUR 11.31 |
|
Short Swap |
SHORT |
2,623 |
EUR 11.31 |
|
Short Swap |
SHORT |
100,000 |
EUR 11.24 |
|
(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 |
07/10/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Banco Santander SA. |
|
Nature of connection # |
Advisor |
Related Shares:
Banco SantanderLloydsRio Tinto