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EPT Disclosure

10th Jul 2008 11:31

RNS Number : 7817Y
UBS Securities Australia Limited
10 July 2008
 
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 Australia Limited
Company dealt in
Rio Tinto Ltd
Class of relevant security to which the dealings being disclosed relate(Note 1)
Ordinary
Date of dealing
9 July 2008
 
 
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
 
306058
0.07%
2239203
0.49%
(2) Derivatives (other than options)
 
 
 
(3) Options and agreements to purchase/sell
 
1132998
0.25%
555962
0.12%
Total
 
1439056
0.32%
2795165
0.61%
 
(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
 
 
 
 
(c) Rights to subscribe (Note 2)
 

Class of relevant security:
 
Details
 
 
 
3. DEALINGS (Note 3)
 
(a) Purchases and sales
 

Purchase/sale
Number of securities
Price per unit (AUD) (Note 4)
Purchase
24900
123.45
Purchase
21284
124.16
Purchase
724
124
Purchase
698
123.22
Purchase
631
123.14
Purchase
363
123.14
Purchase
125
123.22
Purchase
97
123.22
Purchase
74
123.22
Purchase
43
123.15
Purchase
23
123.15
Purchase
20
123.15
Purchase
6
123.14
Purchase
4
123.22
Purchase
2
123.22
Sale
1
124.57
Sale
1
124.57
Sale
1
124.57
Sale
1
124.6
Sale
1
124.6
Sale
1
124.6
Sale
1
124.6
Sale
4
124.6
Sale
5
124.53
Sale
8
124.6
Sale
12
124.57
Sale
12
124.6
Sale
12
124.6
Sale
20
123.15
Sale
22
124.53
Sale
23
123.15
Sale
23
124.53
Sale
30
124.6
Sale
32
124.6
Sale
43
123.15
Sale
44
124.53
Sale
62
124.57
Sale
151
124.53
Sale
156
124.53
Sale
200
124.53
Sale
555
124.53
Sale
14063
123.31
Sale
21284
124.53
Sale
24900
123.45
Total purchase
48994
 
Total sale
61668
 
 
 (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)
 
 
 
 
 
 
 
 
(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 6)
Exercise price (AUD)
Type, e.g. American, European etc.
Expiry date
Option money paid/received per unit (AUD) (Note 4)
Call Warrant
Purchasing
314
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
125
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
125
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
25
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
25
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
25
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
25
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
2
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
2
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
2
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
2
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
2
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
2
135
European
18-Dec-08
3.32
Call Warrant
Purchasing
2
135
European
18-Dec-08
3.32
 
 
(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
 
 

Date of disclosure
10 July 2008
Contact name
Belinda Maclay
Telephone number
+61 2 93242944
 
Name of offeree/offeror with which connected
BHP Billiton PLC/BHP Billiton Limited
Nature of connection (Note 9)
Connected Advisor
 
 
Notes
 
The Notes on Form 38.5(b) can be viewed on the Takeover Panel’s website at www.thetakeoverpanel.org.uk
 
 
SUPPLEMENTAL FORM 38.5(b)
 
 
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 38.5(b))
 
 
 
 
 
 
OPEN POSITIONS(Note 1)
 

Product name, e.g. call option
Written or purchased
Number of securities to which the option or derivative relates
Exercise price (AUD) (Note 2)
Type, e.g. American, European etc.
Expiry date
Call Option
Purchased
140000
158
American
28-Aug-08
Call Option
Purchased
100000
170
American
18-Dec-08
Call Option
Purchased
77000
150
American
24-Jul-08
Call Option
Purchased
60000
144
American
28-Aug-08
Call Option
Purchased
30000
144
American
25-Sep-08
Call Option
Purchased
17000
170
American
25-Sep-08
Call Option
Purchased
12000
96
European
06-Nov-08
Call Option
Purchased
4000
132
American
24-Jul-08
Call Option
Purchased
4000
134
American
28-Aug-08
Call Option
Purchased
4000
166
American
25-Sep-08
Call Option
Purchased
3000
170
American
18-Dec-08
Call Option
Purchased
1000
150
American
24-Jul-08
Call Option
Purchased
1000
114.74
European
19-Jun-09
Call Option
Written
1000
144
American
24-Jul-08
Call Option
Written
1000
148
American
24-Jul-08
Call Option
Written
1000
152
American
24-Jul-08
Call Option
Written
2000
120
American
18-Dec-08
Call Option
Written
5000
180
American
18-Dec-08
Call Option
Written
12000
96
European
06-Nov-08
Call Warrant
Written
150
145
European
18-Dec-08
Call Warrant
Written
150
115
European
18-Dec-08
Call Warrant
Written
1500
135
European
18-Dec-08
Call Warrant
Written
1550
0
European
30-Jun-14
Call Warrant
Written
2150
55
European
18-Jun-09
Call Warrant
Written
5604
100
European
06-Nov-08
Call Warrant
Written
5952
96
European
06-Nov-08
Call Warrant
Written
15906
80
European
26-May-09
Put Option
Purchased
150000
132
American
25-Sep-08
Put Option
Purchased
150000
77
American
22-Dec-11
Put Option
Purchased
75000
110
American
18-Dec-08
Put Option
Purchased
60000
150
American
24-Jul-08
Put Option
Purchased
60000
130
American
28-Aug-08
Put Option
Purchased
5000
144
American
28-Aug-08
Put Option
Purchased
1000
120
American
28-Aug-08
Put Option
Written
72
136.98
American
17-Jun-13
Put Option
Written
73
135.65
American
22-Feb-11
Put Option
Written
78
127
American
31-Jan-13
Put Option
Written
91
109
American
22-Jan-09
Put Option
Written
94
131.31
American
30-Jun-11
Put Option
Written
119
83.55
American
11-Aug-10
Put Option
Written
125
99.48
American
29-Jul-10
Put Option
Written
125
99.59
American
28-Jun-12
Put Option
Written
126
99.07
American
07-Sep-12
Put Option
Written
127
98.35
American
22-Jun-10
Put Option
Written
128
77.89
American
21-Jun-11
Put Option
Written
130
76.7
American
19-May-11
Put Option
Written
131
94.91
American
26-Jul-12
Put Option
Written
132
97.5
American
02-Jul-12
Put Option
Written
146
98.79
American
29-Jul-10
Put Option
Written
146
102.05
American
26-Jul-12
Put Option
Written
150
99.59
American
29-Jul-10
Put Option
Written
152
98.36
American
28-Jun-12
Put Option
Written
154
129.41
American
11-Dec-12
Put Option
Written
157
99.86
American
29-Jul-10
Put Option
Written
158
99.12
American
29-Jul-10
Put Option
Written
158
78.77
American
24-Jun-11
Put Option
Written
159
78.2
American
23-Jun-09
Put Option
Written
159
78.31
American
21-Jun-11
Put Option
Written
164
91.04
American
11-May-12
Put Option
Written
168
148.37
American
30-May-13
Put Option
Written
175
57.14
American
24-Sep-08
Put Option
Written
176
113.21
American
25-Oct-12
Put Option
Written
181
101
American
29-Jul-10
Put Option
Written
183
135.98
American
30-Jun-11
Put Option
Written
198
100.52
American
16-Jun-10
Put Option
Written
203
98.47
American
22-Jun-10
Put Option
Written
203
98.08
American
22-Jun-10
Put Option
Written
209
81.14
American
28-Apr-11
Put Option
Written
214
93.26
American
28-Jun-12
Put Option
Written
218
100.49
American
28-Jun-12
Put Option
Written
227
44.05
American
22-Jun-10
Put Option
Written
240
83.48
American
18-Apr-11
Put Option
Written
243
102.51
American
26-Jul-12
Put Option
Written
246
101.6
American
24-Jun-10
Put Option
Written
257
76.5
American
17-Jun-11
Put Option
Written
265
75.38
American
22-Jun-11
Put Option
Written
271
73.66
American
10-Jun-09
Put Option
Written
271
73.76
American
05-Jun-09
Put Option
Written
283
78.34
American
19-Oct-11
Put Option
Written
286
91.6
American
30-Aug-12
Put Option
Written
296
67.43
American
15-Sep-09
Put Option
Written
298
100.5
American
25-Jun-10
Put Option
Written
300
71.7
American
02-Jan-09
Put Option
Written
305
75.25
American
25-Jun-09
Put Option
Written
310
96.73
American
23-Jun-10
Put Option
Written
325
77.02
American
21-May-09
Put Option
Written
342
102.42
American
29-Jun-12
Put Option
Written
352
98.21
American
29-Jul-10
Put Option
Written
353
70.82
American
09-Feb-09
Put Option
Written
356
70.14
American
10-Jun-09
Put Option
Written
363
82.51
American
28-Apr-09
Put Option
Written
371
99.3
American
29-Jul-10
Put Option
Written
382
98
American
26-Jul-12
Put Option
Written
396
75.01
American
08-Mar-10
Put Option
Written
400
74.9
American
22-Jun-11
Put Option
Written
404
98.86
American
24-Jun-10
Put Option
Written
413
96.82
American
24-Jun-10
Put Option
Written
413
96.75
American
21-Jun-12
Put Option
Written
419
71.59
American
19-Jan-09
Put Option
Written
425
78.61
American
30-Jun-11
Put Option
Written
429
34.96
American
18-Jun-09
Put Option
Written
434
98.52
American
29-Jul-10
Put Option
Written
460
109.66
American
31-Jan-13
Put Option
Written
465
98.9
American
28-Jun-12
Put Option
Written
472
90.6
American
29-Jul-10
Put Option
Written
484
103.17
American
26-Jul-12
Put Option
Written
509
98.07
American
29-Jul-10
Put Option
Written
510
98
American
29-Jul-10
Put Option
Written
514
77.75
American
30-Jun-11
Put Option
Written
518
96.51
American
31-May-12
Put Option
Written
528
75.48
American
29-Jun-11
Put Option
Written
538
99.08
American
26-Jul-12
Put Option
Written
547
109.66
American
27-Jan-11
Put Option
Written
555
45.04
American
22-Jun-10
Put Option
Written
562
99.67
American
29-Jul-10
Put Option
Written
564
90.39
American
22-Jun-12
Put Option
Written
566
35.33
American
22-Jun-09
Put Option
Written
567
35.27
American
19-Jun-09
Put Option
Written
573
34.9
American
18-Jun-09
Put Option
Written
591
95.3
American
29-Jul-10
Put Option
Written
598
83.69
American
22-Jun-12
Put Option
Written
600
73.45
American
30-Jun-11
Put Option
Written
601
99.71
American
25-Jun-10
Put Option
Written
628
99.44
American
29-Jul-10
Put Option
Written
634
78.7
American
27-May-09
Put Option
Written
637
139.1
American
15-Jun-11
Put Option
Written
648
97.31
American
24-Jun-09
Put Option
Written
650
92.25
American
12-Jun-12
Put Option
Written
663
75.36
American
23-Jun-11
Put Option
Written
663
75.38
American
25-Jun-09
Put Option
Written
696
99.01
American
26-Jul-12
Put Option
Written
701
42.79
American
04-Jun-10
Put Option
Written
703
85.3
American
22-Jun-12
Put Option
Written
715
139.74
American
12-Jun-13
Put Option
Written
733
102.26
American
28-Jun-12
Put Option
Written
742
53.8
American
17-Sep-08
Put Option
Written
794
75.5
American
23-Jun-11
Put Option
Written
821
103.41
American
22-Jun-12
Put Option
Written
828
98.9
American
29-Jul-10
Put Option
Written
831
96.8
American
28-Jun-12
Put Option
Written
836
99.24
American
15-Jun-10
Put Option
Written
869
75.44
American
23-Jun-11
Put Option
Written
870
97.65
American
22-Jun-12
Put Option
Written
887
98.08
American
28-Jun-12
Put Option
Written
941
42.5
American
03-Jun-10
Put Option
Written
982
74.85
American
30-Jun-11
Put Option
Written
1000
76
American
14-Jun-11
Put Option
Written
1000
76.49
American
19-Jun-09
Put Option
Written
1008
99.09
American
18-Jun-10
Put Option
Written
1020
74.54
American
01-Aug-11
Put Option
Written
1038
76.08
American
30-Jun-11
Put Option
Written
1040
96.14
American
26-May-10
Put Option
Written
1062
98.28
American
28-Jun-12
Put Option
Written
1067
101.45
American
26-Jul-12
Put Option
Written
1080
101.81
American
29-Jul-10
Put Option
Written
1083
92.25
American
28-Jun-12
Put Option
Written
1175
42.5
American
27-Jan-10
Put Option
Written
1257
99.37
American
28-Jun-12
Put Option
Written
1281
43.4
American
21-Jun-10
Put Option
Written
1291
77.44
American
30-Jun-11
Put Option
Written
1334
74.99
American
22-Jun-11
Put Option
Written
1360
73.51
American
28-Jul-11
Put Option
Written
1418
91.6
American
29-Jul-10
Put Option
Written
1441
99.64
American
29-Jul-10
Put Option
Written
1500
78.2
American
22-Mar-10
Put Option
Written
1500
78.39
American
23-Mar-10
Put Option
Written
1512
99.17
American
25-Jun-10
Put Option
Written
1588
99.88
American
26-Jul-12
Put Option
Written
1594
100.35
American
26-Jul-12
Put Option
Written
1600
77.2
American
25-Feb-10
Put Option
Written
1628
102.26
American
24-Jun-10
Put Option
Written
1639
103.64
American
26-Jul-12
Put Option
Written
1656
77.02
American
30-Jun-11
Put Option
Written
1787
100.7
American
26-Jul-12
Put Option
Written
1902
98.51
American
28-Jun-12
Put Option
Written
2264
110.36
American
24-Jun-09
Put Option
Written
2450
76.54
American
28-Jul-11
Put Option
Written
2515
98.79
American
26-Jul-12
Put Option
Written
2716
78.99
American
28-Jul-11
Put Option
Written
2719
99.08
American
29-Jul-10
Put Option
Written
2739
94.91
American
29-Jul-10
Put Option
Written
2746
72.82
American
24-Jun-11
Put Option
Written
3000
160
American
18-Dec-08
Put Option
Written
3013
101.81
American
26-Jul-12
Put Option
Written
3628
67.79
American
29-Sep-11
Put Option
Written
3685
76.01
American
30-Jun-11
Put Option
Written
3883
77.32
American
30-Jun-11
Put Option
Written
3905
102.41
American
29-Jul-10
Put Option
Written
4058
78
American
28-Jul-11
Put Option
Written
4313
78.23
American
30-Jun-11
Put Option
Written
4931
78.43
American
28-Jul-11
Put Option
Written
5000
180
American
18-Dec-08
Put Option
Written
6000
116
American
29-Jan-09
Put Option
Written
8721
78.86
American
28-Jul-11
Put Option
Written
10000
120
American
29-Jan-09
Put Option
Written
10000
122
American
29-Jan-09
Put Option
Written
25000
130
American
25-Sep-08
Put Option
Written
46000
110
American
25-Sep-08
Put Option
Written
50000
120
American
18-Dec-08
Put Option
Written
51000
150
American
18-Dec-08
Put Option
Written
82000
130
American
29-Jan-09
Put Option
Written
100000
140
American
18-Dec-08
Put Option
Written
150000
79
American
22-Dec-11
 
 
Notes
 
1. Where there are open option positions or open derivative positions (except for CFDs), full details should be given. Full details of any existing agreements to purchase or to sell should also be given on this form. 
 
2. For all prices and other monetary amounts, the currency must be stated.
 
For details of the Code’s dealing disclosure requirements, see Rules 8 and 38.5 and their Notes which can be viewed on the Takeover Panel’s website at www.thetakeoverpanel.org.uk
 
 
This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
EMMFKKKBKBKDCOD

Related Shares:

Rio Tinto
FTSE 100 Latest
Value8,633.75
Change48.74