13th Aug 2009 17:47
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 |
Anglo American PLC (ISIN US03485P2011) |
|
Class of relevant security to which the dealings being disclosed relate (Note 1) |
Ordinary shares dealt in ADR form ADR (2 ADR = 1 Ords) |
|
Date of dealing |
10 Aug 2009 |
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 |
27016.5 Ords (equivalent to 54033 ADRs) |
0 Ords (equivalent to 0 ADRs) |
||
|
(2) Derivatives (other than options) |
- |
- |
- |
- |
|
(3) Options and agreements to purchase/sell |
0 Ords (equivalent to 0 ADRs) |
0 Ords (equivalent to 0ADRs) |
||
|
Total |
27016.5 Ords (equivalent to 54033 ADRs) |
0 Ords (equivalent to 0ADRs) |
||
(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
|
B |
4000 |
15.6753 |
USD |
|||
|
B |
5000 |
15.6447 |
USD |
|||
|
S |
4000 |
15.6753 |
USD |
|||
|
S |
5000 |
15.6447 |
USD |
|||
|
Total Buys |
9000 |
|||||
|
Total Sells |
9000 |
|||||
(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
(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 |
12 Aug 2009 |
|
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
Related Shares:
Anglo American