18th Nov 2008 10:05
|
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 |
17/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,661,560 |
GBP 9.16 |
GBP 8.61 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,717,282 |
GBP 9.17 |
GBP 8.54 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
14,510 |
GBP 8.90 |
|
Long Swap |
LONG |
343,323 |
GBP 8.90 |
|
Long Swap |
LONG |
108,789 |
GBP 8.84 |
|
Long Swap |
LONG |
73,640 |
GBP 8.78 |
|
Long Swap |
LONG |
70,538 |
GBP 8.78 |
|
Long Swap |
LONG |
37,796 |
GBP 8.69 |
|
Long Swap |
LONG |
37,752 |
GBP 8.90 |
|
Long Swap |
LONG |
29,916 |
GBP 8.99 |
|
Long Swap |
LONG |
25,900 |
GBP 8.73 |
|
Long Swap |
LONG |
3 |
GBP 8.78 |
|
Long Swap |
LONG |
15,250 |
GBP 8.85 |
|
Long Swap |
LONG |
834,457 |
GBP 8.85 |
|
Long Swap |
LONG |
10,000 |
GBP 9.12 |
|
Long Swap |
LONG |
5,000 |
GBP 8.78 |
|
Long Swap |
LONG |
4,724 |
GBP 8.69 |
|
Long Swap |
LONG |
3,500 |
GBP 8.64 |
|
Long Swap |
LONG |
3,020 |
GBP 8.97 |
|
Long Swap |
LONG |
296 |
GBP 9.09 |
|
Long Swap |
LONG |
240 |
GBP 9.09 |
|
Long Swap |
LONG |
125 |
GBP 9.09 |
|
Long Swap |
LONG |
18,467 |
GBP 8.92 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
8,720 |
GBP 8.71 |
|
Short Swap |
SHORT |
21 |
GBP 8.71 |
|
Short Swap |
SHORT |
125 |
GBP 8.95 |
|
Short Swap |
SHORT |
1,780 |
GBP 8.95 |
|
Short Swap |
SHORT |
3,300 |
GBP 8.94 |
|
Short Swap |
SHORT |
3,500 |
GBP 8.63 |
|
Short Swap |
SHORT |
4,396 |
GBP 8.71 |
|
Short Swap |
SHORT |
4,580 |
GBP 9.07 |
|
Short Swap |
SHORT |
5,000 |
GBP 8.80 |
|
Short Swap |
SHORT |
848,730 |
GBP 8.86 |
|
Short Swap |
SHORT |
8,031 |
GBP 8.89 |
|
Short Swap |
SHORT |
361,790 |
GBP 8.89 |
|
Short Swap |
SHORT |
10,000 |
GBP 8.99 |
|
Short Swap |
SHORT |
14,510 |
GBP 8.80 |
|
Short Swap |
SHORT |
25,900 |
GBP 8.72 |
|
Short Swap |
SHORT |
32,798 |
GBP 8.62 |
|
Short Swap |
SHORT |
36,640 |
GBP 9.07 |
|
Short Swap |
SHORT |
48,999 |
GBP 8.71 |
|
Short Swap |
SHORT |
70,538 |
GBP 8.92 |
|
Short Swap |
SHORT |
109,029 |
GBP 8.87 |
|
Short Swap |
SHORT |
17 |
GBP 8.71 |
|
Short Swap |
SHORT |
6,583 |
GBP 8.71 |
|
(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 |
18/11/2008 |
|
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 |
17/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,044 |
GBP 6.42 |
GBP 6.40 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,963 |
GBP 6.42 |
GBP 6.37 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
503 |
GBP 6.41 |
|
Long Swap |
LONG |
471 |
GBP 6.39 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,028 |
GBP 6.40 |
|
Short Swap |
SHORT |
1,096 |
GBP 6.40 |
|
Short Swap |
SHORT |
1,570 |
GBP 6.39 |
|
(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 |
18/11/2008 |
|
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 |
17/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
565,918 |
GBP 25.96 |
GBP 24.02 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
570,868 |
GBP 25.91 |
GBP 23.78 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
779 |
GBP 24.89 |
|
Long Swap |
LONG |
2,195 |
GBP 24.89 |
|
Long Swap |
LONG |
3,944 |
GBP 25.11 |
|
Long Swap |
LONG |
5,033 |
GBP 24.73 |
|
Long Swap |
LONG |
5,317 |
GBP 25.11 |
|
Long Swap |
LONG |
7,714 |
GBP 25.77 |
|
Long Swap |
LONG |
27,032 |
GBP 24.89 |
|
Long Swap |
LONG |
101,817 |
GBP 25.11 |
|
Long Swap |
LONG |
165,992 |
GBP 24.90 |
|
Long Swap |
LONG |
306 |
GBP 25.49 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
9,868 |
GBP 24.21 |
|
Short Swap |
SHORT |
167,019 |
GBP 24.96 |
|
Short Swap |
SHORT |
27,032 |
GBP 24.87 |
|
Short Swap |
SHORT |
57 |
GBP 24.87 |
|
Short Swap |
SHORT |
5,317 |
GBP 25.03 |
|
Short Swap |
SHORT |
5,033 |
GBP 25.04 |
|
Short Swap |
SHORT |
3,779 |
GBP 24.21 |
|
Short Swap |
SHORT |
3,160 |
GBP 25.01 |
|
Short Swap |
SHORT |
2,845 |
GBP 24.96 |
|
Short Swap |
SHORT |
2,460 |
GBP 25.09 |
|
Short Swap |
SHORT |
2,202 |
GBP 24.78 |
|
Short Swap |
SHORT |
1,356 |
GBP 25.01 |
|
Short Swap |
SHORT |
1,086 |
GBP 25.74 |
|
Short Swap |
SHORT |
721 |
GBP 24.21 |
|
Short Swap |
SHORT |
104,012 |
GBP 25.01 |
|
(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 |
18/11/2008 |
|
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 |
17/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,674,587 |
GBP 1.61 |
GBP 1.44 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
5,959,103 |
GBP 1.68 |
GBP 1.45 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,155,214 |
GBP 1.51 |
|
Long Swap |
LONG |
5,000 |
GBP 1.45 |
|
Long Swap |
LONG |
5,000 |
GBP 1.46 |
|
Long Swap |
LONG |
5,000 |
GBP 1.46 |
|
Long Swap |
LONG |
5,000 |
GBP 1.49 |
|
Long Swap |
LONG |
13,851 |
GBP 1.59 |
|
Long Swap |
LONG |
24,041 |
GBP 1.61 |
|
Long Swap |
LONG |
42,877 |
GBP 1.51 |
|
Long Swap |
LONG |
4,603 |
GBP 1.61 |
|
Long Swap |
LONG |
57,606 |
GBP 1.61 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,203 |
GBP 1.49 |
|
Short Swap |
SHORT |
62,209 |
GBP 1.61 |
|
Short Swap |
SHORT |
58,810 |
GBP 1.52 |
|
Short Swap |
SHORT |
24,041 |
GBP 1.62 |
|
Short Swap |
SHORT |
10,000 |
GBP 1.45 |
|
Short Swap |
SHORT |
9,144 |
GBP 1.49 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.46 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.50 |
|
Short Swap |
SHORT |
1,155,214 |
GBP 1.52 |
|
(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 |
18/11/2008 |
|
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 GroupRio Tinto