20th Nov 2008 10:10
|
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 |
19/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,804,677 |
GBP 8.80 |
GBP 8.24 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,868,685 |
GBP 8.68 |
GBP 8.11 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
13,502 |
GBP 8.52 |
|
Long Swap |
LONG |
1,000 |
GBP 8.66 |
|
Long Swap |
LONG |
468,880 |
GBP 8.50 |
|
Long Swap |
LONG |
286,872 |
GBP 8.50 |
|
Long Swap |
LONG |
124,857 |
GBP 8.50 |
|
Long Swap |
LONG |
80,930 |
GBP 8.31 |
|
Long Swap |
LONG |
31,897 |
GBP 8.46 |
|
Long Swap |
LONG |
5,200 |
GBP 8.51 |
|
Long Swap |
LONG |
5,140 |
GBP 8.58 |
|
Long Swap |
LONG |
5,000 |
GBP 8.68 |
|
Long Swap |
LONG |
3,160 |
GBP 8.24 |
|
Long Swap |
LONG |
2,884 |
GBP 8.35 |
|
Long Swap |
LONG |
2,599 |
GBP 8.57 |
|
Long Swap |
LONG |
1,871 |
GBP 8.50 |
|
Long Swap |
LONG |
47,573 |
GBP 8.35 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
78,790 |
GBP 8.57 |
|
Short Swap |
SHORT |
124,857 |
GBP 8.50 |
|
Short Swap |
SHORT |
482,899 |
GBP 8.50 |
|
Short Swap |
SHORT |
6,822 |
GBP 8.47 |
|
Short Swap |
SHORT |
1,000 |
GBP 8.68 |
|
Short Swap |
SHORT |
2,884 |
GBP 8.53 |
|
Short Swap |
SHORT |
3,924 |
GBP 8.53 |
|
Short Swap |
SHORT |
4,774 |
GBP 8.50 |
|
Short Swap |
SHORT |
5,000 |
GBP 8.53 |
|
Short Swap |
SHORT |
5,140 |
GBP 8.51 |
|
Short Swap |
SHORT |
302,371 |
GBP 8.53 |
|
Short Swap |
SHORT |
6,565 |
GBP 8.39 |
|
Short Swap |
SHORT |
46 |
GBP 8.50 |
|
Short Swap |
SHORT |
6,857 |
GBP 8.53 |
|
Short Swap |
SHORT |
8,864 |
GBP 8.39 |
|
Short Swap |
SHORT |
12,681 |
GBP 8.53 |
|
Short Swap |
SHORT |
17,545 |
GBP 8.56 |
|
Short Swap |
SHORT |
25,434 |
GBP 8.57 |
|
Short Swap |
SHORT |
31,897 |
GBP 8.57 |
|
Short Swap |
SHORT |
41,848 |
GBP 8.39 |
|
Short Swap |
SHORT |
6,320 |
GBP 8.46 |
|
(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 |
20/11/2008 |
|
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 |
19/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
5,241 |
GBP 6.43 |
GBP 6.41 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
6,091 |
GBP 6.43 |
GBP 6.40 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,533 |
GBP 6.42 |
|
Long Swap |
LONG |
1,312 |
GBP 6.40 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
474 |
GBP 6.41 |
|
Short Swap |
SHORT |
2,081 |
GBP 6.41 |
|
Short Swap |
SHORT |
2,416 |
GBP 6.41 |
|
(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 |
20/11/2008 |
|
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 |
19/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
583,029 |
GBP 24.40 |
GBP 22.57 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
422,962 |
GBP 24.45 |
GBP 22.41 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
10,032 |
GBP 23.67 |
|
Long Swap |
LONG |
729 |
GBP 24.07 |
|
Long Swap |
LONG |
822 |
GBP 23.93 |
|
Long Swap |
LONG |
1,020 |
GBP 22.57 |
|
Long Swap |
LONG |
1,342 |
GBP 23.67 |
|
Long Swap |
LONG |
1,786 |
GBP 23.91 |
|
Long Swap |
LONG |
1,840 |
GBP 23.56 |
|
Long Swap |
LONG |
2,652 |
GBP 22.89 |
|
Long Swap |
LONG |
3,993 |
GBP 22.89 |
|
Long Swap |
LONG |
5,033 |
GBP 22.89 |
|
Long Swap |
LONG |
7,067 |
GBP 23.91 |
|
Long Swap |
LONG |
9,182 |
GBP 23.67 |
|
Long Swap |
LONG |
183 |
GBP 23.66 |
|
Long Swap |
LONG |
10,000 |
GBP 23.67 |
|
Long Swap |
LONG |
16,361 |
GBP 23.91 |
|
Long Swap |
LONG |
27,520 |
GBP 23.66 |
|
Long Swap |
LONG |
60,282 |
GBP 22.89 |
|
Long Swap |
LONG |
69,202 |
GBP 23.67 |
|
Long Swap |
LONG |
103,870 |
GBP 23.67 |
|
Long Swap |
LONG |
9,891 |
GBP 22.89 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
57 |
GBP 23.63 |
|
Short Swap |
SHORT |
103,870 |
GBP 23.65 |
|
Short Swap |
SHORT |
71,547 |
GBP 23.74 |
|
Short Swap |
SHORT |
27,520 |
GBP 23.63 |
|
Short Swap |
SHORT |
7,067 |
GBP 23.66 |
|
Short Swap |
SHORT |
3,993 |
GBP 23.93 |
|
Short Swap |
SHORT |
2,389 |
GBP 24.05 |
|
Short Swap |
SHORT |
1,400 |
GBP 24.07 |
|
(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 |
20/11/2008 |
|
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 |
19/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,197,230 |
GBP 1.37 |
GBP 1.19 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,884,693 |
GBP 1.37 |
GBP 1.18 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,188,623 |
GBP 1.29 |
|
Long Swap |
LONG |
10,000 |
GBP 1.22 |
|
Long Swap |
LONG |
10,236 |
GBP 1.22 |
|
Long Swap |
LONG |
16,786 |
GBP 1.34 |
|
Long Swap |
LONG |
17,430 |
GBP 1.30 |
|
Long Swap |
LONG |
31,965 |
GBP 1.34 |
|
Long Swap |
LONG |
42,100 |
GBP 1.26 |
|
Long Swap |
LONG |
76,137 |
GBP 1.34 |
|
Long Swap |
LONG |
83,081 |
GBP 1.29 |
|
Long Swap |
LONG |
139,807 |
GBP 1.31 |
|
Long Swap |
LONG |
233,185 |
GBP 1.27 |
|
Long Swap |
LONG |
5,000 |
GBP 1.16 |
|
Long Swap |
LONG |
872,222 |
GBP 1.27 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,000 |
GBP 1.33 |
|
Short Swap |
SHORT |
233,185 |
GBP 1.33 |
|
Short Swap |
SHORT |
173,379 |
GBP 1.27 |
|
Short Swap |
SHORT |
156,593 |
GBP 1.32 |
|
Short Swap |
SHORT |
58,188 |
GBP 1.22 |
|
Short Swap |
SHORT |
35,730 |
GBP 1.29 |
|
Short Swap |
SHORT |
31,965 |
GBP 1.33 |
|
Short Swap |
SHORT |
16,991 |
GBP 1.33 |
|
Short Swap |
SHORT |
15,236 |
GBP 1.19 |
|
Short Swap |
SHORT |
12,012 |
GBP 1.22 |
|
Short Swap |
SHORT |
10,000 |
GBP 1.22 |
|
Short Swap |
SHORT |
1,226 |
GBP 1.33 |
|
Short Swap |
SHORT |
1,188,623 |
GBP 1.29 |
|
(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 |
20/11/2008 |
|
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