20th Nov 2007 12:07
UBS Securities Australia Limited20 November 2007 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 Australia LimitedCompany dealt in Rio Tinto LimitedClass of relevant security to which the Ordinarydealings being disclosed relate (Note 1) Date of dealing 19 November 2007 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class ofrelevant security dealt in (Note 2) Long Short Number Number (%) (%) (1) Relevant securities 284,443 3,139,992 0.06% 0.69% (2) Derivatives (other than options) (3) Options and agreements to purchase/sell 6,521,431 4,307,174 1.43% 0.94% Total 6,805,874 7,447,166 1.49% 1.63% (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 (c) Rights to subscribe (Note 2) Class of relevant security: Details 3. DEALINGS (Note 3) (a) Purchases and sales Purchase/sale Number of securities Price per unit (Note 4) Sale -82,220 $136.00Sale -4,991 $136.08Sale -4,991 $136.04Sale -4,054 $136.20Sale -2,994 $136.39Sale -2,994 $136.39Sale -1,300 $136.20Sale -1,212 $136.00Sale -998 $136.27Sale -998 $136.39Sale -998 $136.40Sale -998 $136.40Sale -998 $136.40Sale -998 $136.36Sale -998 $136.08Sale -998 $136.08Sale -998 $136.08Sale -998 $136.10Sale -997 $136.15Sale -987 $136.31Sale -970 $136.40Sale -794 $136.35Sale -677 $136.40Sale -516 $136.00Sale -499 $136.33Sale -499 $136.31Sale -499 $136.30Sale -499 $136.40Sale -499 $136.40Sale -499 $136.36Sale -499 $136.08Sale -499 $136.40Sale -499 $136.14Sale -499 $136.15Sale -499 $136.10Sale -489 $136.26Sale -489 $136.36Sale -487 $136.33Sale -479 $136.20Sale -446 $136.10Sale -400 $139.90Sale -399 $136.41Sale -398 $136.26Sale -396 $136.20Sale -394 $135.95Sale -388 $136.40Sale -379 $136.33Sale -377 $136.10Sale -334 $136.21Sale -329 $136.10Sale -299 $136.08Sale -299 $136.15Sale -259 $136.12Sale -259 $136.08Sale -256 $136.26Sale -250 $136.20Sale -249 $136.40Sale -235 $136.21Sale -218 $131.21Sale -204 $136.40Sale -200 $136.12Sale -200 $137.19Sale -189 $136.15Sale -161 $136.21Sale -150 $138.00Sale -134 $136.50Sale -117 $136.40Sale -108 $136.21Sale -106 $136.21Sale -105 $135.95Sale -100 $137.70Sale -99 $136.31Sale -99 $136.19Sale -99 $136.16Sale -99 $136.16Sale -99 $136.16Sale -99 $136.39Sale -99 $136.39Sale -99 $136.06Sale -99 $135.97Sale -99 $136.08Sale -99 $136.08Sale -99 $136.08Sale -99 $136.08Sale -99 $135.95Sale -99 $136.08Sale -99 $136.08Sale -99 $136.06Sale -99 $136.08Sale -99 $136.45Sale -99 $136.45Sale -99 $136.08Sale -99 $136.05Sale -99 $136.40Sale -99 $136.15Sale -99 $136.33Sale -95 $136.08Sale -94 $136.05Sale -93 $139.89Sale -92 $136.07Sale -92 $136.05Sale -89 $136.08Sale -82 $136.73Sale -81 $136.26Sale -73 $136.20Sale -69 $136.08Sale -67 $135.96Sale -62 $136.08Sale -59 $136.26Sale -59 $136.40Sale -55 $136.41Sale -53 $136.26Sale -50 $136.35Sale -48 $136.26Sale -47 $136.08Sale -46 $136.10Sale -45 $136.26Sale -44 $136.21Sale -44 $136.41Sale -44 $136.08Sale -44 $136.35Sale -43 $136.40Sale -42 $136.05Sale -39 $136.26Sale -39 $136.05Sale -39 $136.10Sale -38 $135.95Sale -37 $136.08Sale -37 $136.40Sale -37 $136.10Sale -36 $136.05Sale -35 $135.95Sale -34 $135.95Sale -33 $136.05Sale -32 $135.96Sale -31 $136.40Sale -30 $135.95Sale -30 $136.08Sale -28 $136.40Sale -27 $136.00Sale -27 $135.95Sale -26 $136.20Sale -24 $136.05Sale -24 $136.40Sale -23 $136.05Sale -22 $136.10Sale -18 $136.73Sale -18 $135.95Sale -12 $136.21Sale -12 $136.33Sale -11 $136.31Sale -9 $136.26Sale -9 $136.31Sale -9 $136.31Sale -9 $136.32Sale -9 $136.20Sale -9 $136.06Sale -9 $136.06Sale -9 $136.06Sale -9 $136.07Sale -9 $136.07Sale -9 $136.07Sale -9 $136.07Sale -9 $136.07Sale -9 $136.09Sale -9 $136.09Sale -9 $136.09Sale -9 $136.09Sale -9 $136.09Sale -9 $136.09Sale -9 $136.09Sale -9 $135.95Sale -9 $136.09Sale -9 $136.09Sale -9 $135.96Sale -9 $135.96Sale -9 $135.96Sale -9 $135.96Sale -9 $135.96Sale -9 $135.96Sale -9 $136.08Sale -9 $135.96Sale -9 $135.96Sale -9 $135.96Sale -9 $135.96Sale -9 $136.08Sale -9 $135.96Sale -9 $136.08Sale -9 $135.96Sale -9 $136.42Sale -9 $135.96Sale -9 $136.41Sale -9 $135.97Sale -9 $136.41Sale -9 $136.41Sale -9 $135.96Sale -9 $135.96Sale -9 $136.15Sale -9 $136.10Sale -9 $136.10Sale -9 $136.10Sale -9 $136.10Sale -9 $136.10Sale -9 $136.10Sale -8 $136.07Sale -8 $136.40Sale -8 $136.08Sale -8 $136.14Sale -8 $136.35Sale -8 $136.14Sale -7 $136.06Sale -7 $136.07Sale -7 $136.07Sale -7 $136.05Sale -7 $136.08Sale -7 $136.08Sale -7 $136.08Sale -7 $136.36Sale -7 $135.95Sale -7 $135.95Sale -6 $136.32Sale -6 $136.07Sale -6 $136.07Sale -6 $136.07Sale -6 $136.07Sale -6 $136.09Sale -6 $135.96Sale -6 $136.40Sale -6 $136.08Sale -5 $136.20Sale -5 $136.08Sale -5 $135.96Sale -5 $136.05Sale -4 $136.20Sale -4 $136.08Sale -4 $135.96Sale -4 $136.08Sale -3 $136.32Sale -3 $136.07Sale -3 $136.07Sale -3 $136.09Sale -3 $135.96Sale -3 $136.42Sale -2 $136.26Sale -2 $136.07Sale -2 $136.07Sale -2 $136.08Sale -2 $136.08Sale -2 $136.08Sale -2 $136.40Sale -2 $136.36Sale -2 $135.95Sale -2 $136.35Sale -2 $136.10Sale -1 $136.07Sale -1 $136.07Sale -1 $136.08Sale -1 $136.08Sale -1 $136.08Sale -1 $136.05Sale -1 $136.14Sale -1 $136.15Purchase 8 $136.14Purchase 27 $136.00Purchase 50 $135.84Purchase 93 $139.89Purchase 100 $135.84Purchase 100 $137.70Purchase 150 $138.00Purchase 200 $137.19Purchase 400 $139.90Purchase 516 $136.00Purchase 850 $135.84Purchase 1,212 $136.00Purchase 3,500 $136.00TOTAL SALE -141,385TOTAL PURCHASE 7,206 (b) Derivatives transactions (other than options) Product name, Long/short (Note 5) Number of securities (Note 6) Price per unit (Note 4) e.g. CFD (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product name, Writing, selling, Number of securities Exercise Type, e.g. Expiry Option money purchasing, to which the option American,e.g. call option varying etc. relates (Note 6) price European etc. date paid/received per unit (Note 4) Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.81Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.81Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.80Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.80Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.66Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.66Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.86Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.46Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.46Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.65Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.54Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.60Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.60Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.60Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.60Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.60Call Warrant Purchasing 10 $85 European 24-Jan-08 $52.60Call Warrant Purchasing 90 $85 European 24-Jan-08 $52.54Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.83Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.81Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.66Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.66Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.66Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.66Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.66Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.89Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.89Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.54Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.54Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.54Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.54Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.54Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.95Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.95Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.54Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.54Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.54Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.55Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 100 $85 European 24-Jan-08 $52.65Call Warrant Purchasing 190 $85 European 24-Jan-08 $52.65Call Warrant Purchasing 250 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 260 $85 European 24-Jan-08 $52.56Call Warrant Purchasing 300 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 300 $85 European 24-Jan-08 $52.64Call Warrant Purchasing 330 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 380 $85 European 24-Jan-08 $52.81Call Warrant Purchasing 400 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 460 $85 European 24-Jan-08 $52.62Call Warrant Purchasing 480 $85 European 24-Jan-08 $52.80Call Warrant Purchasing 480 $85 European 24-Jan-08 $52.66Call Warrant Purchasing 480 $85 European 24-Jan-08 $52.60Call Warrant Purchasing 490 $85 European 24-Jan-08 $52.86Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.82Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.82Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.81Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.80Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.89Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.86Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.45Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.64Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.65Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.60Call Warrant Purchasing 500 $85 European 24-Jan-08 $52.60Call Warrant Purchasing 900 $85 European 24-Jan-08 $52.83Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.80Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.89Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.89Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.86Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.58Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.90Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.80Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.60Call Warrant Purchasing 1000 $85 European 24-Jan-08 $52.60Call Warrant Purchasing 3000 $85 European 24-Jan-08 $52.89Call Warrant Purchasing 3000 $85 European 24-Jan-08 $52.89Call Warrant Purchasing 5000 $85 European 24-Jan-08 $52.54Call Warrant Purchasing 5000 $85 European 24-Jan-08 $52.54 (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 relatingto the voting rights of any relevant securities under any option referred to on this form or relating to the votingrights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form isreferenced. If none, this should be stated. Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO Date of disclosure 20 November 2007 Contact name Ann Tran Telephone number +612 9324 3652 Name of offeree/offeror with which connectedNature of connection (Note 9) Connected Advisor Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto