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EPT Disclosure

14th May 2008 14:08

RNS Number : 4439U
UBS Securities LLC
14 May 2008
 



DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS 

WITHOUT RECOGNISED INTERMEDIARY STATUS, OR WITH RI STATUS

BUT NOT DEALING IN A CLIENT-SERVING CAPACITY

(Rule 38.5(b) of the Takeover Code)

1. KEY INFORMATION

Name of exempt principal trader

UBS Securities LLC

Company dealt in

BHP Billiton Limited

(ISIN US0886061086)

Class of relevant security to which the dealings being disclosed relate (Note 1)

Ordinary shares dealt in ADR form

ADR (1 ADR = 2 Ords)

Date of dealing

13 May 2008

2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE

(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2)

 

Long

 

Short

 

 

Number

(%)

Number 

(%)

(1) Relevant securities 

107956 Ords (equivalent to 

53978 ADRs)

50000 Ords (equivalent to 25000 ADRs)

(2) Derivatives (other than options)

-

-

-

-

(3) Options and agreements to purchase/sell

844200 Ords

 (equivalent to 

422100

ADRs)

891600 Ords (equivalent to 

445800ADRs)

Total

952156 Ords (equivalent to 476078 ADRs)

0.03

941600 Ords (equivalent to 

470800ADRs)

0.03

(b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 2)

Class of relevant security:

Long

Short

Number (%)

Number (%)

(1) Relevant securities 

(2) Derivatives (other than options)

(3) Options and agreements to purchase/sell

Total

Rights to subscribe (Note 2)

Class of relevant security:

Details

3. DEALINGS (Note 3)

Purchases and sales

Buy/Sell

Equivalent Ord Quantity

Trade Price (USD)

B

9600

87.65

B

800

87.523

B

3200

87.561

B

13834

88.082

B

1356

87.556

B

39216

88.153

B

6000

87.83

B

23228

87.893

B

52048

87.761

S

3200

87.991

S

600

88.19

S

400

88.895

S

600

88.2

S

2302

87.998

S

200

87.82

S

400

87.89

S

7778

88.144

S

30394

88.297

S

65138

87.804

S

1600

87.99

S

1202

87.858

S

3414

88.045

S

11526

88.019

S

1512

88.239

S

11734

88.07

Total Buys

149282

Total Sells

142000

(b) Derivatives transactions (other than options)

Product name, 

e.g. CFD

Long/short (Note 5)

Number of securities (Note 6)

Price per unit (Note 4)

Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Product

B/S

For Ords (X2)

Exercise Price (USD)

Type

Expiration

Price (USD)

CALL

B

5200

90

Amer

6/21/2008

4.40

CALL

B

400

90

Amer

6/21/2008

4.40

CALL

B

600

90

Amer

6/21/2008

4.30

CALL

B

2000

115

Amer

8/16/2008

1.60

CALL

B

200

95

Amer

1/17/2009

9.30

CALL

B

400

95

Amer

1/17/2009

9.00

CALL

S

400

90

Amer

8/16/2008

7.90

CALL

S

200

90

Amer

8/16/2008

7.60

CALL

S

2000

115

Amer

8/16/2008

1.65

PUT

B

200

80

Amer

8/16/2008

4.10

PUT

S

2400

85

Amer

5/17/2008

1.05

PUT

S

200

75

Amer

6/21/2008

1.10

(ii) Exercising

Product name, e.g. call option

Number of securities 

Exercise price per unit (Note 4)

(d) Other dealings (including new securities) (Note 3)

Nature of transaction (Note 7)

Details

Price per unit (if applicable) (Note 4)

4. 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.

Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO

Date of disclosure

14 May 2008 

Contact name

Richard Mulcahy

Notes

The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk

SUPPLEMENTAL FORM 38.5(b)

DETAILS OF OPEN POSITIONS 

(This form should be attached to Form 38.5(b))

OPEN POSITIONS (Note 

Product

Purchased/Written

Position Qty

For ADRs (X100)

For Ords (X2)

Exercise Price (USD)

Type

Expiration

CALL

Purchased

13

1300

2600

105

Amer

May-08

CALL

Purchased

135

13500

27000

110

Amer

May-08

CALL

Purchased

15

1500

3000

55

Amer

May-08

CALL

Purchased

84

8400

16800

67.5

Amer

May-08

CALL

Purchased

81

8100

16200

70

Amer

May-08

CALL

Purchased

213

21300

42600

75

Amer

May-08

CALL

Purchased

283

28300

56600

85

Amer

May-08

CALL

Purchased

63

6300

12600

90

Amer

May-08

CALL

Purchased

36

3600

7200

95

Amer

May-08

CALL

Purchased

21

2100

4200

100

Amer

Jun-08

CALL

Purchased

2

200

400

80

Amer

Jun-08

CALL

Purchased

42

4200

8400

90

Amer

Jun-08

CALL

Purchased

15

1500

3000

105

Amer

Aug-08

CALL

Purchased

0

0

0

115

Amer

Aug-08

CALL

Purchased

192

19200

38400

60

Amer

Aug-08

CALL

Purchased

8

800

1600

70

Amer

Aug-08

CALL

Purchased

82

8200

16400

75

Amer

Aug-08

CALL

Purchased

59

5900

11800

80

Amer

Aug-08

CALL

Purchased

86

8600

17200

85

Amer

Aug-08

CALL

Purchased

98

9800

19600

95

Amer

Aug-08

CALL

Purchased

98

9800

19600

100

Amer

Nov-08

CALL

Purchased

12

1200

2400

115

Amer

Nov-08

CALL

Purchased

24

2400

4800

120

Amer

Nov-08

CALL

Purchased

10

1000

2000

65

Amer

Nov-08

CALL

Purchased

10

1000

2000

67.5

Amer

Nov-08

CALL

Purchased

27

2700

5400

70

Amer

Nov-08

CALL

Purchased

22

2200

4400

75

Amer

Nov-08

CALL

Purchased

95

9500

19000

80

Amer

Nov-08

CALL

Purchased

6

600

1200

95

Amer

Nov-08

CALL

Purchased

17

1700

3400

105

Amer

1/17/2009

CALL

Purchased

12

1200

2400

115

Amer

1/17/2009

CALL

Purchased

77

7700

15400

125

Amer

1/17/2009

CALL

Purchased

11

1100

2200

135

Amer

1/17/2009

CALL

Purchased

64

6400

12800

140

Amer

1/17/2009

CALL

Purchased

14

1400

2800

20

Amer

1/17/2009

CALL

Purchased

10

1000

2000

55

Amer

1/17/2009

CALL

Purchased

50

5000

10000

60

Amer

1/17/2009

CALL

Purchased

7

700

1400

65

Amer

1/17/2009

CALL

Purchased

135

13500

27000

75

Amer

1/17/2009

CALL

Purchased

38

3800

7600

80

Amer

1/17/2009

CALL

Purchased

27

2700

5400

90

Amer

1/17/2009

CALL

Purchased

29

2900

5800

95

Amer

1/17/2009

CALL

Purchased

22

2200

4400

80

Amer

1/16/2010

CALL

Purchased

28

2800

5600

95

Amer

1/16/2010

CALL

Written

-190

-19000

-38000

100

Amer

May-08

CALL

Written

-20

-2000

-4000

50

Amer

May-08

CALL

Written

-263

-26300

-52600

60

Amer

May-08

CALL

Written

-271

-27100

-54200

62.5

Amer

May-08

CALL

Written

-45

-4500

-9000

65

Amer

May-08

CALL

Written

-52

-5200

-10400

80

Amer

May-08

CALL

Written

-3

-300

-600

75

Amer

Jun-08

CALL

Written

-228

-22800

-45600

85

Amer

Jun-08

CALL

Written

-200

-20000

-40000

100

Amer

Aug-08

CALL

Written

-76

-7600

-15200

110

Amer

Aug-08

CALL

Written

-42

-4200

-8400

50

Amer

Aug-08

CALL

Written

-135

-13500

-27000

55

Amer

Aug-08

CALL

Written

-98

-9800

-19600

65

Amer

Aug-08

CALL

Written

-6

-600

-1200

67.5

Amer

Aug-08

CALL

Written

-44

-4400

-8800

90

Amer

Aug-08

CALL

Written

-20

-2000

-4000

105

Amer

Nov-08

CALL

Written

-25

-2500

-5000

110

Amer

Nov-08

CALL

Written

-2

-200

-400

60

Amer

Nov-08

CALL

Written

-108

-10800

-21600

85

Amer

Nov-08

CALL

Written

-17

-1700

-3400

90

Amer

Nov-08

CALL

Written

-114

-11400

-22800

100

Amer

1/17/2009

CALL

Written

-33

-3300

-6600

110

Amer

1/17/2009

CALL

Written

-19

-1900

-3800

120

Amer

1/17/2009

CALL

Written

-24

-2400

-4800

130

Amer

1/17/2009

CALL

Written

-15

-1500

-3000

30

Amer

1/17/2009

CALL

Written

-1

-100

-200

40

Amer

1/17/2009

CALL

Written

-166

-16600

-33200

50

Amer

1/17/2009

CALL

Written

-128

-12800

-25600

70

Amer

1/17/2009

CALL

Written

-60

-6000

-12000

100

Amer

1/16/2010

CALL

Written

-38

-3800

-7600

40

Amer

1/16/2010

CALL

Written

-18

-1800

-3600

50

Amer

1/16/2010

CALL

Written

-15

-1500

-3000

60

Amer

1/16/2010

CALL

Written

-58

-5800

-11600

70

Amer

1/16/2010

CALL

Written

-42

-4200

-8400

90

Amer

1/16/2010

PUT

Purchased

13

1300

2600

37.5

Amer

May-08

PUT

Purchased

40

4000

8000

40

Amer

May-08

PUT

Purchased

9

900

1800

42.5

Amer

May-08

PUT

Purchased

34

3400

6800

47.5

Amer

May-08

PUT

Purchased

101

10100

20200

50

Amer

May-08

PUT

Purchased

108

10800

21600

60

Amer

May-08

PUT

Purchased

251

25100

50200

62.5

Amer

May-08

PUT

Purchased

187

18700

37400

65

Amer

May-08

PUT

Purchased

10

1000

2000

70

Amer

May-08

PUT

Purchased

6

600

1200

80

Amer

May-08

PUT

Purchased

15

1500

3000

90

Amer

May-08

PUT

Purchased

1

100

200

65

Amer

Jun-08

PUT

Purchased

204

20400

40800

80

Amer

Jun-08

PUT

Purchased

84

8400

16800

85

Amer

Jun-08

PUT

Purchased

142

14200

28400

50

Amer

Aug-08

PUT

Purchased

108

10800

21600

65

Amer

Aug-08

PUT

Purchased

108

10800

21600

70

Amer

Aug-08

PUT

Purchased

7

700

1400

85

Amer

Aug-08

PUT

Purchased

10

1000

2000

95

Amer

Aug-08

PUT

Purchased

4

400

800

100

Amer

Nov-08

PUT

Purchased

4

400

800

55

Amer

Nov-08

PUT

Purchased

16

1600

3200

60

Amer

Nov-08

PUT

Purchased

19

1900

3800

62.5

Amer

Nov-08

PUT

Purchased

12

1200

2400

65

Amer

Nov-08

PUT

Purchased

40

4000

8000

80

Amer

Nov-08

PUT

Purchased

22

2200

4400

30

Amer

1/17/2009

PUT

Purchased

25

2500

5000

40

Amer

1/17/2009

PUT

Purchased

35

3500

7000

50

Amer

1/17/2009

PUT

Purchased

152

15200

30400

55

Amer

1/17/2009

PUT

Purchased

53

5300

10600

65

Amer

1/17/2009

PUT

Purchased

44

4400

8800

75

Amer

1/17/2009

PUT

Purchased

17

1700

3400

80

Amer

1/16/2010

PUT

Purchased

1

100

200

90

Amer

1/16/2010

PUT

Written

-5

-500

-1000

30

Amer

May-08

PUT

Written

-1

-100

-200

32.5

Amer

May-08

PUT

Written

-37

-3700

-7400

45

Amer

May-08

PUT

Written

-56

-5600

-11200

55

Amer

May-08

PUT

Written

-83

-8300

-16600

67.5

Amer

May-08

PUT

Written

-358

-35800

-71600

75

Amer

May-08

PUT

Written

-260

-26000

-52000

85

Amer

May-08

PUT

Written

-27

-2700

-5400

70

Amer

Jun-08

PUT

Written

-6

-600

-1200

75

Amer

Jun-08

PUT

Written

-119

-11900

-23800

55

Amer

Aug-08

PUT

Written

-160

-16000

-32000

60

Amer

Aug-08

PUT

Written

-176

-17600

-35200

67.5

Amer

Aug-08

PUT

Written

-108

-10800

-21600

75

Amer

Aug-08

PUT

Written

-47

-4700

-9400

80

Amer

Aug-08

PUT

Written

-2

-200

-400

90

Amer

Aug-08

PUT

Written

-25

-2500

-5000

70

Amer

Nov-08

PUT

Written

-8

-800

-1600

75

Amer

Nov-08

PUT

Written

-25

-2500

-5000

20

Amer

1/17/2009

PUT

Written

-151

-15100

-30200

60

Amer

1/17/2009

PUT

Written

-104

-10400

-20800

70

Amer

1/17/2009

PUT

Written

-12

-1200

-2400

80

Amer

1/17/2009

PUT

Written

-1

-100

-200

90

Amer

1/17/2009

PUT

Written

-10

-1000

-2000

40

Amer

1/16/2010

PUT

Written

-14

-1400

-2800

50

Amer

1/16/2010

PUT

Written

-21

-2100

-4200

60

Amer

1/16/2010

PUT

Written

-32

-3200

-6400

70

Amer

1/16/2010

This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
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