2nd Oct 2008 11:53
|
FORM 38.5 (SUMMARY) |
|
Lodge with Company Announcements Office and the Panel. Use a separate form for each class of |
|
securities in which dealings have been made. |
|
CONNECTED EXEMPT PRINCIPLE TRADER: |
|
DISCLOSURE UNDER RULE 38.5 OF THE CITY CODE ON TAKEOVERS AND |
|
Name of EPT |
Merrill Lynch International |
|
Date of disclosure |
02 October 2008 |
|
Date of dealing |
01 October 2008 |
|
Telephone number |
020 7996 2121 |
|
Please see attached disclosure of dealings under Rule 38.5 in the securities of the following |
|
01 October 2008 |
|
Rio Tinto Plc - Common |
|
Lloyds TSB Group Plc - Common |
|
HBOS Plc - Common |
|
|
Short Swap |
SHORT |
272 |
GBP 36.61 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry date |
Option |
|
selling, |
securities under |
price |
American, |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
Warrant |
Selling |
-10,000 |
£0.03 |
AMERICAN |
18-Sep-09 |
|
Warrant |
Selling |
-10,000 |
£0.03 |
AMERICAN |
19-Jun-09 |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,100,804 |
GBP 37.60 |
GBP 34.15 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
860,914 |
GBP 37.45 |
GBP 34.15 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
15,462 |
GBP 37.74 |
|
Long Swap |
LONG |
10,000 |
AUD 81.70 |
|
Long Swap |
LONG |
120 |
GBP 36.00 |
|
Long Swap |
LONG |
250 |
GBP 34.63 |
|
Long Swap |
LONG |
272 |
GBP 35.15 |
|
Long Swap |
LONG |
510 |
GBP 37.74 |
|
Long Swap |
LONG |
1,681 |
GBP 37.52 |
|
Long Swap |
LONG |
1,895 |
GBP 36.67 |
|
Long Swap |
LONG |
2,403 |
GBP 34.63 |
|
Long Swap |
LONG |
3,479 |
GBP 36.00 |
|
Long Swap |
LONG |
5,463 |
GBP 37.74 |
|
Long Swap |
LONG |
10,000 |
AUD 81.70 |
|
Long Swap |
LONG |
10,306 |
GBP 37.74 |
|
Long Swap |
LONG |
15,893 |
GBP 35.15 |
|
Long Swap |
LONG |
16,259 |
GBP 37.74 |
|
Long Swap |
LONG |
81,449 |
GBP 36.43 |
|
Long Swap |
LONG |
8,483 |
GBP 36.00 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
250 |
GBP 35.14 |
|
Short Swap |
SHORT |
96,307 |
GBP 36.42 |
|
Short Swap |
SHORT |
17,919 |
GBP 35.34 |
|
Short Swap |
SHORT |
15,893 |
GBP 36.61 |
|
Short Swap |
SHORT |
10,306 |
GBP 34.97 |
|
Short Swap |
SHORT |
6,136 |
GBP 35.34 |
|
Short Swap |
SHORT |
3,479 |
GBP 36.05 |
|
Short Swap |
SHORT |
1,681 |
GBP 35.34 |
|
Short Swap |
SHORT |
10,000 |
AUD 81.70 |
|
Short Swap |
SHORT |
272 |
GBP 36.61 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry date |
Option |
|
selling, |
securities under |
price |
American, |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
Warrant |
Selling |
-10,000 |
£0.03 |
AMERICAN |
18-Sep-09 |
|
Warrant |
Selling |
-10,000 |
£0.03 |
AMERICAN |
19-Jun-09 |
|
(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 |
02/10/2008 |
|
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 |
Lloyds TSB Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
01/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
11,220,472 |
GBP 2.65 |
GBP 2.21 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
16,242,426 |
GBP 2.67 |
GBP 2.31 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
125,793 |
GBP 2.40 |
|
Long Swap |
LONG |
115,608 |
GBP 2.42 |
|
Long Swap |
LONG |
69,118 |
GBP 2.49 |
|
Long Swap |
LONG |
5,000 |
GBP 2.62 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
4,554 |
GBP 2.36 |
|
Short Swap |
SHORT |
5,000 |
GBP 2.62 |
|
Short Swap |
SHORT |
8,719 |
GBP 2.36 |
|
Short Swap |
SHORT |
17,497 |
GBP 2.42 |
|
Short Swap |
SHORT |
54,827 |
GBP 2.49 |
|
Short Swap |
SHORT |
97,981 |
GBP 2.55 |
|
Short Swap |
SHORT |
98,111 |
GBP 2.41 |
|
Short Swap |
SHORT |
125,793 |
GBP 2.42 |
|
Short Swap |
SHORT |
153,576 |
GBP 2.36 |
|
(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 |
02/10/2008 |
|
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 |
01/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
12,488,538 |
GBP 1.60 |
GBP 1.27 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
99,940 |
GBP |
GBP |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
11,933,785 |
GBP 1.66 |
GBP 1.26 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
15,000 |
GBP 1.42 |
|
Long Swap |
LONG |
7 |
GBP 0.00 |
|
Long Swap |
LONG |
210,451 |
GBP 1.36 |
|
Long Swap |
LONG |
171,080 |
GBP 1.28 |
|
Long Swap |
LONG |
77,585 |
GBP 0.00 |
|
Long Swap |
LONG |
66,978 |
GBP 1.27 |
|
Long Swap |
LONG |
20,000 |
GBP 1.52 |
|
Long Swap |
LONG |
20,000 |
GBP 1.50 |
|
Long Swap |
LONG |
10,517 |
GBP 0.00 |
|
Long Swap |
LONG |
10,000 |
GBP 1.44 |
|
Long Swap |
LONG |
5,925 |
GBP 1.27 |
|
Long Swap |
LONG |
1,100 |
GBP 0.00 |
|
Long Swap |
LONG |
1,041 |
GBP 0.00 |
|
Long Swap |
LONG |
607 |
GBP 0.00 |
|
Long Swap |
LONG |
265 |
GBP 0.00 |
|
Long Swap |
LONG |
20,000 |
GBP 1.51 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
66,978 |
GBP 1.28 |
|
Short Swap |
SHORT |
171,080 |
GBP 1.28 |
|
Short Swap |
SHORT |
1,483 |
GBP 0.00 |
|
Short Swap |
SHORT |
33 |
GBP 0.00 |
|
Short Swap |
SHORT |
52 |
GBP 0.00 |
|
Short Swap |
SHORT |
58 |
GBP 0.00 |
|
Short Swap |
SHORT |
124 |
GBP 0.00 |
|
Short Swap |
SHORT |
161 |
GBP 0.00 |
|
Short Swap |
SHORT |
378 |
GBP 0.00 |
|
Short Swap |
SHORT |
525,000 |
GBP 1.35 |
|
Short Swap |
SHORT |
1,041 |
GBP 0.00 |
|
Short Swap |
SHORT |
5 |
GBP 0.00 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.50 |
|
Short Swap |
SHORT |
5,925 |
GBP 1.27 |
|
Short Swap |
SHORT |
10,000 |
GBP 1.43 |
|
Short Swap |
SHORT |
15,000 |
GBP 1.50 |
|
Short Swap |
SHORT |
15,000 |
GBP 1.48 |
|
Short Swap |
SHORT |
20,000 |
GBP 1.51 |
|
Short Swap |
SHORT |
20,000 |
GBP 1.51 |
|
Short Swap |
SHORT |
629 |
GBP 0.00 |
|
(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 |
|
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 |
02/10/2008 |
|
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 |
Related Shares:
LloydsRio Tinto