FORM 38.5 (b)
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS
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WITHOUT RECOGNISED INTERMEDIARY STATUS, OR WITH RI STATUS
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BUT NOT DEALING IN A CLIENT-SERVING CAPACITY
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(Rule 38.5(b) of the Takeover Code)
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1. KEY INFORMATION
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Name of exempt principal trader
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Credit Suisse Sydney branch
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Company dealt in
|
BHP Billiton Limited
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Class of relevant security to which the dealings being disclosed relate (Note 1)
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Ordinary Shares
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Date of dealing
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09-05-2007
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|
|
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2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE
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(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2)
|
|
Long
|
Short
|
|
Number
|
(%)
|
Number
|
(%)
|
(1) Relevant securities
|
1,296,772
|
0.038
|
8,785,200
|
0.26
|
(2) Derivatives (other than options)
|
|
|
|
|
(3) Options and agreements to purchase/sell
|
3,378,000
|
0.1
|
4,246,000
|
0.13
|
Total
|
4,674,772
|
0.14
|
13,031,200
|
0.39
|
|
|
|
(b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 2)
|
Class Of Relevant Security
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Long
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Short
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(1) Relevant Securities
|
|
|
(2) Derivatives (other than options)
|
|
|
(3) Options and agreements to purchasesell
|
|
|
Total
|
|
|
|
|
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(c) Rights to subscribe (Note 2)
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Class of relevant security:
|
Details
|
|
|
|
|
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3. DEALINGS (Note 3)
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(a) Purchases and sales
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Purchase/sale
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Number of securities
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Price per unit (Note 4) (AUD)
|
Purchase
|
1,271
|
46.05
|
Purchase
|
500
|
46.05
|
Purchase
|
23
|
46.05
|
Purchase
|
100
|
46.05
|
Purchase
|
150
|
46.05
|
Purchase
|
1,500
|
46.05
|
Purchase
|
500
|
46.05
|
Purchase
|
956
|
46.04
|
Purchase
|
23
|
46.00
|
Purchase
|
50
|
46.00
|
Purchase
|
500
|
46.00
|
Purchase
|
1,000
|
46.00
|
Purchase
|
200
|
46.00
|
Purchase
|
500
|
46.00
|
Purchase
|
2,000
|
46.00
|
Purchase
|
30
|
46.00
|
Purchase
|
100
|
46.00
|
Purchase
|
597
|
46.00
|
Sale
|
-232
|
46.32
|
Sale
|
-5,000
|
46.32
|
Sale
|
-3,100
|
46.50
|
Sale
|
-5,000
|
46.32
|
Sale
|
-4,518
|
46.32
|
Sale
|
-100
|
46.32
|
Sale
|
-150
|
46.32
|
Sale
|
-2,382
|
46.31
|
Sale
|
-7,618
|
46.31
|
Sale
|
-10,000
|
46.31
|
Sale
|
-5,000
|
46.30
|
Sale
|
-2,206
|
46.30
|
Sale
|
-136
|
46.30
|
Sale
|
-1,000
|
46.30
|
Sale
|
-578
|
46.30
|
Sale
|
-80
|
46.30
|
Sale
|
-1,000
|
46.30
|
Sale
|
-4,719
|
46.30
|
Sale
|
-41
|
46.30
|
Sale
|
-40
|
46.30
|
Sale
|
-15
|
46.30
|
Sale
|
-185
|
46.30
|
Sale
|
-3,876
|
46.25
|
Sale
|
-462
|
46.25
|
Sale
|
-614
|
46.25
|
Sale
|
-48
|
46.25
|
Sale
|
-5,000
|
46.29
|
|
|
Total Buys:10000
Total Sells:63100
|
(b) Derivatives transactions (other than options)
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Product name, e.g. CFD
|
Long/short (Note 5)
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Number of securities (Note 6)
|
Price per unit (Note 4)
|
|
|
|
|
|
|
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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,e.g. call option
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Writing, selling, purchasing, varying etc.
|
Number of securities to which the option relates (Note 6)
|
Exercise price
|
Type, e.g. American, European etc.
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Expiry date
|
Option money paid/received per unit (Note 4)
|
|
|
|
|
|
|
|
|
|
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(ii) Exercising
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Product name, e.g. call option
|
Number of securities
|
Exercise price per unit (Note 4)
|
|
|
|
(d) Other dealings (including new securities) (Note 3)
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Nature of transaction (Note 7)
|
Details
|
Price per unit (if applicable) (Note 4)
|
|
|
|
|
|
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4. OTHER INFORMATION
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Agreements, arrangements or understandings relating to options or derivatives
Is a Supplemental Form 38.5(b) attached? (Note 8) YES
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Date of disclosure
|
12-05-2008
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Contact name
|
Segal, Debra
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Telephone number
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44 20 7883 4577
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Name of offeree/offeror with which connected
|
Rio Tinto Plc
|
Nature of connection (Note 9)
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ADVISOR
|
Product Description
|
Written/Purchased
|
No. of Securities
|
Exercise Price
|
Type
|
Expiry Date
|
Call Option
|
PURCHASED
|
50,000
|
18.00
|
American
|
Jul 24 2008
|
Call Option
|
PURCHASED
|
550,000
|
31.00
|
American
|
Jun 26 2008
|
Call Option
|
PURCHASED
|
200,000
|
32.00
|
American
|
Jan 29 2009
|
Call Option
|
PURCHASED
|
100,000
|
32.00
|
American
|
Jul 24 2008
|
Call Option
|
PURCHASED
|
100,000
|
35.00
|
American
|
Jul 24 2008
|
Call Option
|
PURCHASED
|
100,000
|
37.00
|
American
|
Sep 25 2008
|
Call Option
|
PURCHASED
|
9,000
|
38.00
|
American
|
May 29 2008
|
Call Option
|
PURCHASED
|
110,000
|
39.00
|
American
|
May 29 2008
|
Call Option
|
PURCHASED
|
50,000
|
40.00
|
American
|
Jun 26 2008
|
Call Option
|
PURCHASED
|
28,000
|
40.00
|
American
|
Sep 25 2008
|
Call Option
|
PURCHASED
|
6,000
|
40.00
|
American
|
May 29 2008
|
Call Option
|
PURCHASED
|
91,000
|
41.00
|
American
|
Jun 26 2008
|
Call Option
|
PURCHASED
|
2,000
|
41.00
|
American
|
Sep 25 2008
|
Call Option
|
PURCHASED
|
156,000
|
41.00
|
American
|
May 29 2008
|
Call Option
|
PURCHASED
|
35,000
|
42.00
|
American
|
Jun 26 2008
|
Call Option
|
PURCHASED
|
91,000
|
42.00
|
American
|
May 29 2008
|
Call Option
|
PURCHASED
|
51,000
|
43.00
|
American
|
Jun 26 2008
|
Call Option
|
PURCHASED
|
92,000
|
43.00
|
American
|
May 29 2008
|
Call Option
|
PURCHASED
|
200,000
|
44.00
|
American
|
Mar 25 2010
|
Call Option
|
PURCHASED
|
2,000
|
44.00
|
American
|
May 29 2008
|
Call Option
|
PURCHASED
|
53,000
|
45.00
|
American
|
Jun 26 2008
|
Call Option
|
PURCHASED
|
52,000
|
46.00
|
American
|
Jun 26 2008
|
Call Option
|
PURCHASED
|
4,000
|
46.00
|
American
|
May 29 2008
|
Call Option
|
PURCHASED
|
25,000
|
47.00
|
American
|
Jun 26 2008
|
Call Option
|
PURCHASED
|
0
|
50.00
|
American
|
Jun 26 2008
|
Call Option
|
PURCHASED
|
5,000
|
50.00
|
American
|
May 29 2008
|
Call Option
|
PURCHASED
|
50,000
|
56.00
|
American
|
Sep 25 2008
|
Call Option
|
PURCHASED
|
50,000
|
60.00
|
American
|
Jun 26 2008
|
Call Option
|
PURCHASED
|
66,000
|
38.50
|
American
|
Jun 26 2008
|
Call Option
|
WRITTEN
|
1,000,000
|
0.01
|
American
|
Jul 24 2008
|
Call Option
|
WRITTEN
|
1,284,000
|
0.01
|
American
|
Jun 26 2008
|
Call Option
|
WRITTEN
|
80,000
|
37.00
|
American
|
Jun 26 2008
|
Call Option
|
WRITTEN
|
200,000
|
38.00
|
American
|
Jun 26 2008
|
Call Option
|
WRITTEN
|
55,000
|
39.00
|
American
|
Dec 18 2008
|
Call Option
|
WRITTEN
|
100,000
|
40.00
|
American
|
Jun 26 2008
|
Call Option
|
WRITTEN
|
50,000
|
44.00
|
American
|
Jun 26 2008
|
Call Option
|
WRITTEN
|
1,000
|
45.00
|
American
|
May 29 2008
|
Call Option
|
WRITTEN
|
100,000
|
50.00
|
American
|
Dec 18 2008
|
Call Option
|
WRITTEN
|
300,000
|
50.00
|
American
|
Jun 25 2009
|
Call Option
|
WRITTEN
|
52,000
|
50.00
|
American
|
Mar 25 2010
|
Put Option
|
PURCHASED
|
75,000
|
18.00
|
American
|
Jul 24 2008
|
Put Option
|
PURCHASED
|
250,000
|
19.50
|
American
|
Jul 24 2008
|
Put Option
|
PURCHASED
|
150,000
|
22.00
|
American
|
Jul 24 2008
|
Put Option
|
PURCHASED
|
1,000
|
30.00
|
American
|
Sep 25 2008
|
Put Option
|
PURCHASED
|
66,000
|
34.00
|
American
|
Jun 26 2008
|
Put Option
|
PURCHASED
|
50,000
|
34.00
|
American
|
Sep 25 2008
|
Put Option
|
PURCHASED
|
250,000
|
34.00
|
American
|
May 29 2008
|
Put Option
|
PURCHASED
|
75,000
|
35.00
|
American
|
Aug 28 2008
|
Put Option
|
PURCHASED
|
25,000
|
37.00
|
American
|
Jun 26 2008
|
Put Option
|
PURCHASED
|
100,000
|
37.00
|
American
|
Sep 25 2008
|
Put Option
|
PURCHASED
|
2,000
|
40.00
|
American
|
Jun 26 2008
|
Put Option
|
PURCHASED
|
10,000
|
41.00
|
American
|
May 29 2008
|
Put Option
|
PURCHASED
|
10,000
|
42.00
|
American
|
Jun 26 2008
|
Put Option
|
PURCHASED
|
9,000
|
43.00
|
American
|
Jun 26 2008
|
Put Option
|
PURCHASED
|
1,000
|
46.00
|
American
|
Jun 26 2008
|
Put Option
|
WRITTEN
|
200,000
|
24.00
|
American
|
Jul 24 2008
|
Put Option
|
WRITTEN
|
250,000
|
30.00
|
American
|
Jun 26 2008
|
Put Option
|
WRITTEN
|
4,000
|
31.00
|
American
|
Jun 26 2008
|
Put Option
|
WRITTEN
|
50,000
|
35.00
|
American
|
Jul 24 2008
|
Put Option
|
WRITTEN
|
3,000
|
35.00
|
American
|
Jun 26 2008
|
Put Option
|
WRITTEN
|
6,000
|
36.00
|
American
|
Jun 26 2008
|
Put Option
|
WRITTEN
|
100,000
|
36.00
|
American
|
May 29 2008
|
Put Option
|
WRITTEN
|
50,000
|
37.00
|
American
|
May 29 2008
|
Put Option
|
WRITTEN
|
4,000
|
38.00
|
American
|
Dec 18 2008
|
Put Option
|
WRITTEN
|
205,000
|
38.00
|
American
|
Jun 26 2008
|
Put Option
|
WRITTEN
|
22,000
|
39.00
|
American
|
Dec 18 2008
|
Put Option
|
WRITTEN
|
50,000
|
39.00
|
American
|
Jun 26 2008
|
Put Option
|
WRITTEN
|
40,000
|
40.00
|
American
|
May 29 2008
|
Put Option
|
WRITTEN
|
5,000
|
43.00
|
American
|
Sep 25 2008
|
Put Option
|
WRITTEN
|
91,000
|
43.00
|
American
|
May 29 2008
|
Put Option
|
WRITTEN
|
20,000
|
40.50
|
American
|
May 29 2008
|
|