28th Aug 2008 11:47
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 |
UBS AG London Branch |
|
Company dealt in |
Rio Tinto PLC |
|
Class of relevant security to which the dealings being disclosed relate (Note 1) |
Ordinary 10p |
|
Date of dealing |
27 August 2008 |
2. DEALINGS (Note 2)
(a) Purchases and sales
|
Total number of securities purchased |
Highest price paid (Note 3) |
Lowest price paid (Note 3) |
|
216,617 |
5243 pence |
5105 pence |
|
Total number of securities sold |
Highest price received (Note 3) |
Lowest price received (Note 3) |
|
184,723 |
5246 pence |
5112.47 pence |
(b) Derivatives transactions (other than options)
|
Product name, e.g. CFD |
Long/short (Note 4) |
Number of securities (Note 5) |
Price per unit (Note 3) |
|
CFD |
Long |
55500 |
51.7262 GBP |
|
CFD |
Long |
53054 |
51.5 |
|
CFD |
Long |
8217 |
51.4972 |
|
CFD |
Long |
1599 |
51.4972 |
|
CFD |
Long |
341 |
51.4972 |
|
CFD |
Long |
206 |
51.4972 |
|
CFD |
Long |
163 |
51.1247 |
|
CFD |
Long |
65 |
51.4972 |
|
CFD |
Short |
2211 |
51.32970149 |
|
CFD |
Short |
20000 |
52.05953018 |
|
CFD |
Short |
53054 |
51.5 |
|
CFD |
Short |
55500 |
52.31803261 |
|
CFD |
Long |
424 |
51.5261 |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
|
Product name,e.g call option |
Writing, selling, purchasing, varying etc |
Number of securities to which the option relates (Note 5) |
Exercise price |
Type, e.g. American, European etc. |
Expiry date |
Option money paid/received per unit (Note 3) |
|
Put |
Selling |
5000 |
40.00 GBP |
American |
30/06/2009 |
308 pence |
|
Put |
Selling |
4000 |
52.00 GBP |
American |
31/12/2008 |
540 pence |
|
Call |
Selling |
16000 |
56.00 GBP |
American |
30/06/2009 |
727 pence |
|
Call |
Selling |
10000 |
56.00 GBP |
American |
30/06/2009 |
728 pence |
|
Call |
Selling |
22000 |
56.00 GBP |
American |
30/06/2009 |
749 pence |
|
Call |
Selling |
5000 |
56.00 GBP |
American |
30/06/2009 |
749.5 pence |
(ii) Exercising
|
Product name, e.g. call option |
Number of securities |
Exercise price per unit (Note 3) |
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.
……………………………………………………………………
……………………………………………………………………
|
Date of disclosure |
28 August 2008 |
|
Contact name |
Netsanet Solomon |
|
Telephone number |
020 7567 8289 |
|
Name of offeree/offeror with which connected |
BHP Billiton PLC BHP Billiton LTD |
|
Nature of connection (Note 6) |
CONNECTED ADVISER |
Notes
The Notes on Form 38.5(a) can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk
Related Shares:
Rio Tinto