1st Sep 2008 09:30
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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 |
01 September 2008 |
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Date of dealing |
29 August 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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29 August 2008 |
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Rio Tinto Plc - Common |
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Imperial Energy Corporation Plc - Common |
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CENTRICA PLC - Common |
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Banco Santander SA. - Common |
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FORM 38.5(a) |
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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 |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Rio Tinto Plc |
|
Class of relevant security to which the |
Common |
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dealings being disclosed relate |
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Date of dealing |
29/08/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
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Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
295,936 |
GBP 53.60 |
GBP 52.02 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
237,448 |
GBP 53.70 |
GBP 52.01 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
26,091 |
GBP 52.29 |
|
Long Swap |
LONG |
3,220 |
GBP 52.29 |
|
Long Swap |
LONG |
514 |
GBP 52.17 |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
4,332 |
GBP 52.67 |
|
Short Swap |
SHORT |
15,904 |
GBP 52.67 |
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(c) Options transactions in respect of existing securities |
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(i) Writing, selling, purchasing or varying |
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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 |
-11,200 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
11,200 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
14,000 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Buying |
29,500 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Buying |
78,330 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
2,000,000 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
2,500,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
13,000,000 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Buying |
14,000,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Buying |
11,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Selling |
-29,500 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Selling |
-1,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Selling |
-11,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Selling |
-2,000 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
1,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
3,500,000 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
3,999,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
9,000,000 |
£0.00 |
AMERICAN |
18-Sep-09 |
|
Warrant |
Selling |
-42,050 |
£0.00 |
AMERICAN |
18-Sep-09 |
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Warrant |
Selling |
-10,000 |
£0.00 |
AMERICAN |
18-Sep-09 |
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Warrant |
Selling |
-78,330 |
£0.00 |
AMERICAN |
17-Oct-08 |
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(ii) Exercising |
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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 |
|
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 |
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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 |
01/09/2008 |
|
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 |
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 |
Banco Santander SA. |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
29/08/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,291,813 |
EUR 11.70 |
EUR 11.57 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,046,729 |
EUR 11.70 |
EUR 11.57 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
11,620 |
EUR 11.63 |
|
Long Swap |
LONG |
5,785 |
EUR 11.60 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
6,539 |
EUR 11.60 |
|
Short Swap |
SHORT |
10,350 |
EUR 11.63 |
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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 |
|
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 |
01/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Banco Santander SA. |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITH |
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RECOGNISED INTERMEDIARY STATUS DEALING IN CLIENT-SERVICING |
|
CAPACITY |
|
(Rule 38.5(a) of The City Code on Takeovers and Mergers) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Imperial Energy Corporation Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
29/08/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
250,587 |
GBP 11.85 |
GBP 11.69 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
210,504 |
GBP 11.85 |
GBP 11.70 |
|
(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 |
01/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Imperial Energy Corporation Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITH |
|
RECOGNISED INTERMEDIARY STATUS DEALING IN CLIENT-SERVICING |
|
CAPACITY |
|
(Rule 38.5(a) of The City Code on Takeovers and Mergers) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
CENTRICA PLC |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
29/08/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
225,815 |
GBP 3.28 |
GBP 3.26 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,565,582 |
GBP 3.30 |
GBP 3.25 |
|
(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 |
01/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
EDS S.A. |
|
Nature of connection # |
Advisor |
Related Shares:
Banco SantanderCentricaRio Tinto