16th Oct 2008 10:28
|
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 |
15/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
5,187,550 |
GBP 10.53 |
GBP 8.98 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,331,677 |
GBP 10.52 |
GBP 8.93 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
11,535 |
GBP 9.59 |
|
Long Swap |
LONG |
467,430 |
GBP 9.62 |
|
Long Swap |
LONG |
319,370 |
GBP 9.47 |
|
Long Swap |
LONG |
65,663 |
GBP 9.24 |
|
Long Swap |
LONG |
52,193 |
GBP 9.32 |
|
Long Swap |
LONG |
32,471 |
GBP 10.13 |
|
Long Swap |
LONG |
19,977 |
GBP 9.62 |
|
Long Swap |
LONG |
18,683 |
GBP 9.17 |
|
Long Swap |
LONG |
505 |
GBP 10.13 |
|
Long Swap |
LONG |
12,871 |
GBP 9.62 |
|
Long Swap |
LONG |
1,331,007 |
GBP 9.52 |
|
Long Swap |
LONG |
5,147 |
GBP 10.27 |
|
Long Swap |
LONG |
4,000 |
GBP 9.18 |
|
Long Swap |
LONG |
3,353 |
GBP 9.30 |
|
Long Swap |
LONG |
2,410 |
GBP 9.48 |
|
Long Swap |
LONG |
2,000 |
GBP 9.30 |
|
Long Swap |
LONG |
1,993 |
GBP 9.17 |
|
Long Swap |
LONG |
1,000 |
GBP 9.69 |
|
Long Swap |
LONG |
582 |
GBP 10.27 |
|
Long Swap |
LONG |
13,719 |
GBP 10.29 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
9,950 |
GBP 9.38 |
|
Short Swap |
SHORT |
582 |
GBP 10.25 |
|
Short Swap |
SHORT |
1,000 |
GBP 9.71 |
|
Short Swap |
SHORT |
2,000 |
GBP 8.97 |
|
Short Swap |
SHORT |
2,410 |
GBP 9.38 |
|
Short Swap |
SHORT |
3,036 |
GBP 9.14 |
|
Short Swap |
SHORT |
3,353 |
GBP 9.52 |
|
Short Swap |
SHORT |
3,353 |
GBP 9.51 |
|
Short Swap |
SHORT |
4,000 |
GBP 9.15 |
|
Short Swap |
SHORT |
1,331,007 |
GBP 9.53 |
|
Short Swap |
SHORT |
6,650 |
GBP 9.75 |
|
Short Swap |
SHORT |
511,555 |
GBP 9.61 |
|
Short Swap |
SHORT |
10,484 |
GBP 9.53 |
|
Short Swap |
SHORT |
12,871 |
GBP 9.51 |
|
Short Swap |
SHORT |
13,719 |
GBP 10.25 |
|
Short Swap |
SHORT |
16,590 |
GBP 9.38 |
|
Short Swap |
SHORT |
18,707 |
GBP 9.19 |
|
Short Swap |
SHORT |
62,310 |
GBP 9.21 |
|
Short Swap |
SHORT |
319,370 |
GBP 0.00 |
|
Short Swap |
SHORT |
35 |
GBP 9.85 |
|
Short Swap |
SHORT |
5,147 |
GBP 10.38 |
|
(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 |
16/10/2008 |
|
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 |
15/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
339,057 |
GBP 6.30 |
GBP 6.26 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
350,763 |
GBP 6.27 |
GBP 6.25 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
6,693 |
GBP 6.28 |
|
Long Swap |
LONG |
2,000 |
GBP 6.25 |
|
Long Swap |
LONG |
2,000 |
GBP 6.25 |
|
Long Swap |
LONG |
669 |
GBP 6.30 |
|
Long Swap |
LONG |
43 |
GBP 6.28 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
43 |
GBP 6.25 |
|
Short Swap |
SHORT |
1,745 |
GBP 6.25 |
|
(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 |
16/10/2008 |
|
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 |
15/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,240,592 |
GBP 27.51 |
GBP 22.99 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,718,494 |
GBP 27.08 |
GBP 22.85 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
332,873 |
GBP 24.75 |
|
Long Swap |
LONG |
3,217 |
GBP 23.17 |
|
Long Swap |
LONG |
4,379 |
GBP 24.81 |
|
Long Swap |
LONG |
5,000 |
GBP 25.37 |
|
Long Swap |
LONG |
5,860 |
GBP 23.40 |
|
Long Swap |
LONG |
25,078 |
GBP 25.30 |
|
Long Swap |
LONG |
143,015 |
GBP 24.77 |
|
Long Swap |
LONG |
1,684 |
GBP 24.77 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
147,394 |
GBP 25.12 |
|
Short Swap |
SHORT |
24 |
GBP 25.61 |
|
Short Swap |
SHORT |
5,375 |
GBP 25.12 |
|
Short Swap |
SHORT |
2,966 |
GBP 25.12 |
|
Short Swap |
SHORT |
2,380 |
GBP 25.30 |
|
Short Swap |
SHORT |
2,216 |
GBP 23.44 |
|
Short Swap |
SHORT |
880 |
GBP 25.30 |
|
Short Swap |
SHORT |
576 |
GBP 23.15 |
|
Short Swap |
SHORT |
332,873 |
GBP 24.94 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
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 |
-5,000 |
£0.10 |
AMERICAN |
17-Apr-09 |
|
(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 |
16/10/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
Related Shares:
BHP GroupRio Tinto