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FORM 38.5 (b)
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS
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WITHOUT RECOGNISED INTERMEDIARY STATUS, OR WITH RI STATUS
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BUT NOT DEALING IN A CLIENT-SERVING CAPACITY
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(Rule 38.5(b) of the Takeover Code)
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1. KEY INFORMATION
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Name of exempt principal trader
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Credit Suisse Sydney branch
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Company dealt in
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Rio Tinto Limited
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Class of relevant security to which the dealings being disclosed relate (Note 1)
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Ordinary Shares
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Date of dealing
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21-10-08
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2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE
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(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2)
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Long
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Short
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Number
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(%)
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Number
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(%)
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(1) Relevant securities
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643335
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0.141
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(2) Derivatives (other than options)
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(3) Options and agreements to purchase/sell
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108300
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0.024
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Total
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108300
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0.024
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643335
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0.141
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(b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 2)
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Class Of Relevant Security : Ordinary Shares
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Long
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Short
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(1) Relevant Securities
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(2) Derivatives (other than options)
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(3) Options and agreements to purchasesell
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Total
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(c) Rights to subscribe (Note 2)
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Class of relevant security:
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Details
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3. DEALINGS (Note 3)
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(a) Purchases and sales
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Purchase/sale
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Number of securities
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Price per unit (Note 4)
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Purchase
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43
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70.5
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Purchase
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50
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70.5
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Purchase
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750
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70.50
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Purchase
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20
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70.50
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Purchase
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50
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70.50
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Purchase
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400
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70.50
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Purchase
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500
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70.49
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Purchase
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187
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70.45
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Purchase
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298
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70.74
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Purchase
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17
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70.37
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Purchase
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77
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70.37
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Purchase
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3
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70.37
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Purchase
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74
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70.37
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Purchase
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75
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70.30
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Purchase
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75
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70.26
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Purchase
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87
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70.25
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Purchase
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1,000
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71.04
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Purchase
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1,000
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71.05
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Purchase
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375
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71.30
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Purchase
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50
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71.20
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Purchase
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75
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71.20
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Purchase
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500
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71.15
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Purchase
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503
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71.00
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Purchase
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1,000
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71.00
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Purchase
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497
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71.00
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Purchase
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954
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71.00
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Purchase
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150
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71.00
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Purchase
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300
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71.00
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Purchase
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1,000
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71.00
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Purchase
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106
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71.00
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Purchase
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400
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71.00
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Purchase
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90
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71.00
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Purchase
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665
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71.00
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Purchase
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500
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71.00
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Purchase
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150
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71.00
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Purchase
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500
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71.00
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Purchase
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185
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71.00
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Purchase
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50
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71.00
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Purchase
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200
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71.00
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Purchase
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200
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71.00
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Purchase
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3
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71.00
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Purchase
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1,000
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71.00
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Purchase
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55
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71.00
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Purchase
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750
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71.00
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Purchase
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742
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71.00
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Purchase
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90
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71.00
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Purchase
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10
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71.00
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Purchase
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500
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71.00
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Purchase
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500
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71.00
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Purchase
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750
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71.00
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Purchase
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147
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71.00
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Purchase
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125
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71.00
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Purchase
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878
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71.00
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Purchase
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122
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71.00
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Purchase
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500
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71.00
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Purchase
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78
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71.00
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Purchase
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136
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71.00
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Purchase
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100
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71.00
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Purchase
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39
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71.00
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Purchase
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30
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71.00
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Purchase
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885
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71.00
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Purchase
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140
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71.00
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Purchase
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135
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71.00
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Purchase
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1,000
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71.00
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Purchase
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400
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71.00
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Purchase
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100
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71.00
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Purchase
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91
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71.00
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Purchase
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153
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71.00
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Purchase
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492
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71.00
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Purchase
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100
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71.00
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Purchase
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35
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71.00
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Purchase
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70
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71.00
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Purchase
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125
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71.00
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Purchase
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110
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71.00
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Purchase
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1,159
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71.00
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Sale
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-473
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72.35
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Sale
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-20
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72.35
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Sale
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-1
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72.35
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Sale
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-69
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72.35
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Sale
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-437
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72.35
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Total Buys: 24706
Total Sells: 1000
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(b) Derivatives transactions (other than options)
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Product name, e.g. CFD
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Long/short (Note 5)
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Number of securities (Note 6)
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Price per unit (Note 4)
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(c) Options transactions in respect of existing securities
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(i) Writing, selling, purchasing or varying
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Product name,e.g. call option
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Writing, selling, purchasing, varying etc.
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Number of securities to which the option relates (Note 6)
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Exercise price
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Type, e.g. American, European etc.
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Expiry date
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Option money paid/received per unit (Note 4)
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CALL OPTION
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BUYING
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15000
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80
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AMERICAN
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OCT 30 2008
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0.85
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(ii) Exercising
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Product name, e.g. call option
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Number of securities
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Exercise price per unit (Note 4)
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(d) Other dealings (including new securities) (Note 3)
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Nature of transaction (Note 7)
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Details
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Price per unit (if applicable) (Note 4)
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4. OTHER INFORMATION
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Agreements, arrangements or understandings relating to options or derivatives
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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.
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Is a Supplemental Form 38.5(b) attached? (Note 8) yes
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Date of disclosure
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22-10-2008
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Contact name
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Simon Crawley; Philipp Abelbeck
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Telephone number
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44 20 7888 0241
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Name of offeree/offeror with which connected
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Rio Tinto Plc
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Nature of connection (Note 9)
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ADVISOR
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Notes
The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk.
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Product Description
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Written/Purchased
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No. of Securities
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Exercise Price
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Type
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Expiry Date
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Call Option
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PURCHASED
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21,000
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100.00
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American
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Oct 30 2008
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Call Option
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PURCHASED
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10,000
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98.00
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American
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Oct 30 2008
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Call Option
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PURCHASED
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6,000
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102.00
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American
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Oct 30 2008
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Call Option
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PURCHASED
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15,000
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80.00
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American
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Oct 30 2008
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Put Option
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PURCHASED
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35,700
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68.66
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American
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Sep 24 2009
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Put Option
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PURCHASED
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40,000
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92.00
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American
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Dec 18 2008
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Put Option
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WRITTEN
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20,000
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48.00
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American
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Dec 18 2008
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Put Option
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WRITTEN
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107,000
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98.00
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American
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Oct 30 2008
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Put Option
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WRITTEN
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5,000
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86.00
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American
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Oct 30 2008
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