11th Nov 2008 11:29
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
10/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,331,967 |
GBP 11.75 |
GBP 10.94 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,652,406 |
GBP 11.65 |
GBP 10.91 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
30,113 |
GBP 11.39 |
|
Long Swap |
LONG |
27 |
GBP 11.36 |
|
Long Swap |
LONG |
427,472 |
GBP 11.36 |
|
Long Swap |
LONG |
316,350 |
GBP 11.39 |
|
Long Swap |
LONG |
122,036 |
GBP 11.27 |
|
Long Swap |
LONG |
83,450 |
GBP 11.33 |
|
Long Swap |
LONG |
50,000 |
GBP 11.35 |
|
Long Swap |
LONG |
39,125 |
GBP 11.29 |
|
Long Swap |
LONG |
26,385 |
GBP 11.39 |
|
Long Swap |
LONG |
16,000 |
GBP 11.30 |
|
Long Swap |
LONG |
13,644 |
GBP 11.36 |
|
Long Swap |
LONG |
7,244 |
GBP 11.36 |
|
Long Swap |
LONG |
2,257 |
GBP 11.32 |
|
Long Swap |
LONG |
2,000 |
GBP 11.23 |
|
Long Swap |
LONG |
41,161 |
GBP 11.32 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
83,450 |
GBP 11.33 |
|
Short Swap |
SHORT |
316,350 |
GBP 11.39 |
|
Short Swap |
SHORT |
26,387 |
GBP 11.37 |
|
Short Swap |
SHORT |
110 |
GBP 11.35 |
|
Short Swap |
SHORT |
2,000 |
GBP 11.23 |
|
Short Swap |
SHORT |
2,257 |
GBP 11.09 |
|
Short Swap |
SHORT |
2,622 |
GBP 11.38 |
|
Short Swap |
SHORT |
3,221 |
GBP 11.39 |
|
Short Swap |
SHORT |
8,250 |
GBP 11.34 |
|
Short Swap |
SHORT |
412,222 |
GBP 11.38 |
|
Short Swap |
SHORT |
25,000 |
GBP 11.28 |
|
Short Swap |
SHORT |
90 |
GBP 11.34 |
|
Short Swap |
SHORT |
27,080 |
GBP 11.37 |
|
Short Swap |
SHORT |
33,750 |
GBP 11.28 |
|
Short Swap |
SHORT |
34,453 |
GBP 11.39 |
|
Short Swap |
SHORT |
39,125 |
GBP 11.29 |
|
Short Swap |
SHORT |
41,161 |
GBP 11.34 |
|
Short Swap |
SHORT |
60,440 |
GBP 11.38 |
|
Short Swap |
SHORT |
16,000 |
GBP 11.30 |
|
(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 |
11/11/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
10/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
10,456 |
GBP 6.39 |
GBP 6.36 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
10,514 |
GBP 6.36 |
GBP 6.36 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
6,197 |
GBP 6.40 |
|
Long Swap |
LONG |
3,120 |
GBP 6.36 |
|
Long Swap |
LONG |
605 |
GBP 6.35 |
|
Long Swap |
LONG |
534 |
GBP 6.37 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,359 |
GBP 6.37 |
|
Short Swap |
SHORT |
2,609 |
GBP 6.36 |
|
Short Swap |
SHORT |
4,237 |
GBP 6.36 |
|
(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 |
11/11/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
10/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
821,061 |
GBP 30.32 |
GBP 27.99 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
834,353 |
GBP 30.26 |
GBP 27.96 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
109 |
GBP 29.14 |
|
Long Swap |
LONG |
850 |
GBP 28.48 |
|
Long Swap |
LONG |
872 |
GBP 29.14 |
|
Long Swap |
LONG |
1,950 |
GBP 28.49 |
|
Long Swap |
LONG |
5,613 |
GBP 29.37 |
|
Long Swap |
LONG |
8,098 |
GBP 28.65 |
|
Long Swap |
LONG |
15,073 |
GBP 29.11 |
|
Long Swap |
LONG |
20,958 |
GBP 28.61 |
|
Long Swap |
LONG |
130,040 |
GBP 29.37 |
|
Long Swap |
LONG |
153,496 |
GBP 29.24 |
|
Long Swap |
LONG |
50 |
GBP 29.11 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
17,448 |
GBP 29.09 |
|
Short Swap |
SHORT |
151,595 |
GBP 29.09 |
|
Short Swap |
SHORT |
23,873 |
GBP 29.27 |
|
Short Swap |
SHORT |
50 |
GBP 29.41 |
|
Short Swap |
SHORT |
15,492 |
GBP 29.18 |
|
Short Swap |
SHORT |
15,073 |
GBP 29.14 |
|
Short Swap |
SHORT |
8,948 |
GBP 29.40 |
|
Short Swap |
SHORT |
5,000 |
GBP 30.26 |
|
Short Swap |
SHORT |
3,215 |
GBP 29.27 |
|
Short Swap |
SHORT |
2,546 |
GBP 29.14 |
|
Short Swap |
SHORT |
2,191 |
GBP 29.14 |
|
Short Swap |
SHORT |
1,260 |
GBP 29.07 |
|
Short Swap |
SHORT |
872 |
GBP 29.14 |
|
Short Swap |
SHORT |
718 |
GBP 28.96 |
|
Short Swap |
SHORT |
370 |
GBP 28.40 |
|
Short Swap |
SHORT |
332 |
GBP 29.18 |
|
Short Swap |
SHORT |
130,890 |
GBP 29.40 |
|
(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 |
11/11/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
10/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,772,145 |
GBP 2.05 |
GBP 1.95 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,733,474 |
GBP 2.05 |
GBP 1.96 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
286,274 |
GBP 1.99 |
|
Long Swap |
LONG |
123,910 |
GBP 2.01 |
|
Long Swap |
LONG |
111,288 |
GBP 2.00 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
9,773 |
GBP 2.00 |
|
Short Swap |
SHORT |
87,987 |
GBP 1.99 |
|
Short Swap |
SHORT |
111,229 |
GBP 2.00 |
|
Short Swap |
SHORT |
114,137 |
GBP 2.01 |
|
Short Swap |
SHORT |
261,831 |
GBP 1.99 |
|
(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 |
11/11/2008 |
|
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