6th Nov 2008 11:55
|
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 |
05/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,051,429 |
GBP 11.77 |
GBP 11.04 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,200,970 |
GBP 11.76 |
GBP 11.04 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
20,000 |
GBP 11.41 |
|
Long Swap |
LONG |
438,036 |
GBP 11.35 |
|
Long Swap |
LONG |
398,102 |
GBP 11.33 |
|
Long Swap |
LONG |
123,801 |
GBP 11.26 |
|
Long Swap |
LONG |
181 |
GBP 11.47 |
|
Long Swap |
LONG |
23,632 |
GBP 11.37 |
|
Long Swap |
LONG |
17,874 |
GBP 11.20 |
|
Long Swap |
LONG |
17,800 |
GBP 11.23 |
|
Long Swap |
LONG |
16,041 |
GBP 11.14 |
|
Long Swap |
LONG |
9,000 |
GBP 11.38 |
|
Long Swap |
LONG |
7,202 |
GBP 11.26 |
|
Long Swap |
LONG |
4,058 |
GBP 11.67 |
|
Long Swap |
LONG |
2,382 |
GBP 11.33 |
|
Long Swap |
LONG |
78,379 |
GBP 11.43 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
29,393 |
GBP 11.36 |
|
Short Swap |
SHORT |
430,699 |
GBP 11.36 |
|
Short Swap |
SHORT |
396,349 |
GBP 11.39 |
|
Short Swap |
SHORT |
123,801 |
GBP 11.26 |
|
Short Swap |
SHORT |
6,620 |
GBP 11.50 |
|
Short Swap |
SHORT |
109 |
GBP 11.38 |
|
Short Swap |
SHORT |
396 |
GBP 11.26 |
|
Short Swap |
SHORT |
926 |
GBP 11.60 |
|
Short Swap |
SHORT |
1,107 |
GBP 11.26 |
|
Short Swap |
SHORT |
1,329 |
GBP 11.40 |
|
Short Swap |
SHORT |
2,061 |
GBP 11.20 |
|
Short Swap |
SHORT |
3,417 |
GBP 11.20 |
|
Short Swap |
SHORT |
102,787 |
GBP 11.35 |
|
Short Swap |
SHORT |
4,420 |
GBP 11.50 |
|
Short Swap |
SHORT |
78,379 |
GBP 11.40 |
|
Short Swap |
SHORT |
7,197 |
GBP 11.20 |
|
Short Swap |
SHORT |
9,000 |
GBP 11.39 |
|
Short Swap |
SHORT |
16,645 |
GBP 11.29 |
|
Short Swap |
SHORT |
17,800 |
GBP 11.26 |
|
Short Swap |
SHORT |
20,000 |
GBP 11.43 |
|
Short Swap |
SHORT |
23,632 |
GBP 11.37 |
|
Short Swap |
SHORT |
79 |
GBP 11.35 |
|
Short Swap |
SHORT |
4,058 |
GBP 11.66 |
|
(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 |
06/11/2008 |
|
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 |
05/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
15,504 |
GBP 6.38 |
GBP 6.34 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
10,045 |
GBP 6.38 |
GBP 6.38 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
6,108 |
GBP 6.39 |
|
Long Swap |
LONG |
5,761 |
GBP 6.36 |
|
Long Swap |
LONG |
2,000 |
GBP 6.38 |
|
Long Swap |
LONG |
800 |
GBP 6.38 |
|
Long Swap |
LONG |
434 |
GBP 6.36 |
|
Long Swap |
LONG |
165 |
GBP 6.36 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
220 |
GBP 6.34 |
|
Short Swap |
SHORT |
346 |
GBP 6.40 |
|
Short Swap |
SHORT |
672 |
GBP 6.34 |
|
Short Swap |
SHORT |
3,046 |
GBP 6.34 |
|
Short Swap |
SHORT |
5,761 |
GBP 6.40 |
|
(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 |
06/11/2008 |
|
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 |
05/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
723,170 |
GBP 31.21 |
GBP 28.95 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
501,889 |
GBP 31.33 |
GBP 28.92 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
3,847 |
GBP 30.19 |
|
Long Swap |
LONG |
3,942 |
GBP 29.59 |
|
Long Swap |
LONG |
5,991 |
GBP 29.59 |
|
Long Swap |
LONG |
11,232 |
GBP 29.73 |
|
Long Swap |
LONG |
15,023 |
GBP 29.94 |
|
Long Swap |
LONG |
16,139 |
GBP 29.73 |
|
Long Swap |
LONG |
33,208 |
GBP 29.73 |
|
Long Swap |
LONG |
38,559 |
GBP 29.80 |
|
Long Swap |
LONG |
95,541 |
GBP 29.94 |
|
Long Swap |
LONG |
182,268 |
GBP 29.94 |
|
Long Swap |
LONG |
1,700 |
GBP 29.80 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
38,559 |
GBP 29.75 |
|
Short Swap |
SHORT |
89,244 |
GBP 30.04 |
|
Short Swap |
SHORT |
21 |
GBP 29.73 |
|
Short Swap |
SHORT |
11,232 |
GBP 30.76 |
|
Short Swap |
SHORT |
8,119 |
GBP 29.92 |
|
Short Swap |
SHORT |
5,991 |
GBP 29.73 |
|
Short Swap |
SHORT |
3,942 |
GBP 29.75 |
|
Short Swap |
SHORT |
3,546 |
GBP 30.04 |
|
Short Swap |
SHORT |
1,862 |
GBP 29.98 |
|
Short Swap |
SHORT |
1,640 |
GBP 30.26 |
|
Short Swap |
SHORT |
450 |
GBP 30.26 |
|
Short Swap |
SHORT |
301 |
GBP 29.98 |
|
Short Swap |
SHORT |
63 |
GBP 30.09 |
|
Short Swap |
SHORT |
45 |
GBP 30.13 |
|
Short Swap |
SHORT |
182,268 |
GBP 29.92 |
|
(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 |
06/11/2008 |
|
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 |
05/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,696,703 |
GBP 2.17 |
GBP 2.04 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,555,692 |
GBP 2.18 |
GBP 2.04 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
577,507 |
GBP 2.10 |
|
Long Swap |
LONG |
122,617 |
GBP 2.09 |
|
Long Swap |
LONG |
115,255 |
GBP 2.13 |
|
Long Swap |
LONG |
88,078 |
GBP 2.10 |
|
Long Swap |
LONG |
25,000 |
GBP 2.10 |
|
Long Swap |
LONG |
5,763 |
GBP 2.13 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
27 |
GBP 2.11 |
|
Short Swap |
SHORT |
11,240 |
GBP 2.10 |
|
Short Swap |
SHORT |
25,000 |
GBP 2.10 |
|
Short Swap |
SHORT |
54,254 |
GBP 2.14 |
|
Short Swap |
SHORT |
88,078 |
GBP 2.10 |
|
Short Swap |
SHORT |
111,377 |
GBP 2.10 |
|
Short Swap |
SHORT |
113,986 |
GBP 2.11 |
|
Short Swap |
SHORT |
377,670 |
GBP 2.11 |
|
(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 |
06/11/2008 |
|
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 GroupLloydsRio Tinto