9th Oct 2008 12:12
FORM 38.5(b) 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 \* TName of exempt principal trader ABN AMRO Equities Australia Limited------------------------------------------ ---------------------------------------------------------------Company dealt in RIO TINTO LIMITED------------------------------------------ ---------------------------------------------------------------Class of relevant security to which the Ordinary Shares dealings being disclosed relate (Note 1)------------------------------------------ ---------------------------------------------------------------Date of dealing 8 October 2008------------------------------------------ ---------------------------------------------------------------\* T 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class of relevantsecurity dealt in (Note 2) \* T Long Short------------------------------------------ ------------------------------- --------------------------------- Number (%) Number (%)------------------------------------------ ------------------------------- ---------------------------------(1) Relevant securities 482,974 0.10572617 1847366 0.4044005------------------------------------------ --------------- --------------- ---------------- ----------------(2) Derivatives (other than options) 1,666,602 0.364830087 323884 0.0709003------------------------------------------ --------------- --------------- ---------------- ----------------(3) Options and agreements to purchase/sell 313,000 0.068517749 140000 0.0306469------------------------------------------ --------------- --------------- ---------------- ----------------Total 2,462,576 0.539074005 2311250 0.5059478------------------------------------------ --------------- --------------- ---------------- ----------------\* T (b) Interests and short positions in relevant securities of the company, otherthan the class dealt in (Note 2) \* T Class of relevant security: Long Short------------------------------------------ ------------------------------ -------------------------------- Number (%) Number (%)------------------------------------------ ------------------------------ --------------------------------(1) Relevant securities 0 (0%) 0 (0%)------------------------------------------ ------------------------------ --------------------------------(2) Derivatives (other than options) 0 (0%) 0 (0%)------------------------------------------ ------------------------------ --------------------------------(3) Options and agreements to purchase/sell 0 (0%) 0 (0%)------------------------------------------ ------------------------------ --------------------------------Total 0 (0%) 0 (0%)------------------------------------------ ------------------------------ --------------------------------\* T (c) Rights to subscribe (Note 2) \* TClass of relevant security: Details---------------------------------------------------------------------------------------------------------\* T 3. DEALINGS (Note 3) (a) Purchases and sales \* TPurchases Number of securities Price per unit (AUD)Purchase 753 81.51Purchase 653 81.52Purchase 3594 81.53Purchase 71 81.59Purchase 1150 81.6Purchase 941 81.61Purchase 2 81.62Purchase 460 81.63Purchase 167 81.64Purchase 1633 81.65Purchase 254 81.74Purchase 33 81.75Purchase 25 81.76Purchase 496 81.77Purchase 500 81.79Purchase 850 81.8Purchase 740 81.81Purchase 2039 81.82Purchase 5 81.84Purchase 6 81.85Purchase 500 81.91Purchase 15 81.97Purchase 85 82.01Purchase 31 82.04Purchase 2263 82.05Purchase 172 82.06Purchase 482 82.2Purchase 18 82.22Purchase 49 82.25Purchase 21 82.27Purchase 1055 82.28Purchase 600 82.3Purchase 3 82.42Purchase 31 82.44Purchase 152 82.45Purchase 10 82.47Purchase 9 82.52Purchase 300 82.53Purchase 9 82.54Purchase 174 82.55Purchase 38 82.58Purchase 31 82.59Purchase 53 82.6Purchase 19 82.61Purchase 11 82.62Purchase 4 82.63Purchase 20 82.64Purchase 12 82.65Purchase 44 82.66Purchase 43 82.67Purchase 14 82.68Purchase 10 82.69Purchase 1374 82.7Purchase 1459 82.71Purchase 19 82.72Purchase 26 82.74Purchase 25 82.75Purchase 32 82.77Purchase 9 82.85Purchase 36 82.87Purchase 477 82.88Purchase 4 82.89Purchase 6338 82.9Purchase 3390 82.91Purchase 1798 82.92Purchase 27 82.93Purchase 15 82.95Purchase 150 82.98Purchase 17 83.06Purchase 108 83.11Purchase 5 83.25Purchase 300 83.31Purchase 1422 83.32Purchase 2 83.33Purchase 174 83.34Purchase 270 83.35Purchase 81 83.91 38208\* T \* TSales Number of securities Price per unit (AUD)Sale 4017 81.12Sale 31 81.37Sale 28 81.38Sale 994 81.5Sale 6 81.51Sale 8 81.53Sale 1000 81.57Sale 16 81.61Sale 2500 81.63Sale 1710 81.64Sale 2212 81.71Sale 200 81.72Sale 158 81.73Sale 235 81.74Sale 500 81.75Sale 949 81.77Sale 500 81.78Sale 265 81.79Sale 1941 81.8Sale 500 81.81Sale 73 81.83Sale 1000 81.86Sale 285 81.87Sale 1142 81.88Sale 27 81.89Sale 47 81.9Sale 13 81.91Sale 1000 82Sale 32 82.01Sale 500 82.08Sale 728 82.1Sale 72 82.11Sale 300 82.15Sale 69 82.18Sale 43 82.24Sale 72 82.25Sale 41 82.28Sale 10 82.31Sale 13 82.33Sale 53 82.35Sale 39 82.37Sale 40 82.46Sale 14 82.55Sale 314 82.6Sale 347 82.63Sale 350 82.65Sale 2 82.84Sale 529 82.92Sale 971 82.93Sale 29 82.95Sale 1629 83Sale 30 83.01Sale 11 83.09Sale 13 83.1Sale 6 83.16Sale 18 83.23Sale 19 83.33Sale 12 83.58 27663\* T (b) Derivatives transactions (other than options) \* TProduct name, Long/short (Note 5) Number of securities (Note 6) Price per unit (Note 4) AUDe.g. CFD---------------------- --------------------- -------------------------------- -----------------------------RIOKZJ Long (buy) 1000 10.55---------------------- --------------------- -------------------------------- -----------------------------RIOKZJ Long (buy) 992 12.36---------------------- --------------------- -------------------------------- -----------------------------RIOKZJ Long (buy) 508 12.37---------------------- --------------------- -------------------------------- -----------------------------RIOKZJ Long (buy) 1476 12.44---------------------- --------------------- -------------------------------- -----------------------------RIOKZJ Long (buy) 24 12.45---------------------- --------------------- -------------------------------- -----------------------------RIOKZJ Short (sell) 57 12.15---------------------- --------------------- -------------------------------- -----------------------------RIOKZJ Short (sell) 1443 12.16---------------------- --------------------- -------------------------------- -----------------------------RIOKZJ Short (sell) 1500 12.37---------------------- --------------------- -------------------------------- -----------------------------RIOVZM Long (buy) 10000 0.14---------------------- --------------------- -------------------------------- -----------------------------RIOKZD Long (buy) 16625 3.82---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 951 91.4---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 49 91.43---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 172 91.62---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 1363 91.63---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 31 91.64---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 106 91.67---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 500 91.77---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 2000 91.86---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 740 91.87---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 500 91.89---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 496 91.91---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 4 91.92---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 260 91.93---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 1000 92.03---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 1150 92.04---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 850 92.05---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 500 92.07---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Long (buy) 5000 92.15---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 500 90.69---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 172 91.44---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 300 91.54---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 700 91.59---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 500 91.61---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 1000 91.69---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 1142 91.81---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 285 91.82---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 1000 91.83---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 73 91.86---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 500 91.88---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 551 91.89---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 267 91.9---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 500 91.91---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 1149 91.92---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 500 91.94---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 233 91.95---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 158 91.96---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 12 91.98---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 1630 92.05---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 2500 92.06---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 1000 92.12---------------------- --------------------- -------------------------------- -----------------------------RIOKZS Short (sell) 1000 92.19---------------------- --------------------- -------------------------------- -----------------------------\* T (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying \* TProduct name, Writing, Number of Exercise Type, e.g. Expiry Option moneye.g. call option selling, securities to price American, date paid/received purchasing, which the option European per unit varying etc. relates (Note 6) etc. (Note 4)------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Dec 09 Call Purchasing 111000 120.00 American 17/12/09 6.15------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Oct 08 Put Purchasing 10000 106.00 American 30/10/08 20.81------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Nov 08 Put Purchasing 4000 106.00 American 27/11/08 21.89------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Dec 10 Put Purchasing 8000 80.00 American 23/12/10 13.69------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Dec 11 Put Purchasing 111000 68.00 American 22/12/11 11.00------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Dec 11 Put Selling 10000 68.00 American 22/12/11 9.99------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Dec 11 Put Selling 4000 68.00 American 22/12/11 9.99------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Dec 11 Put Selling 8000 68.00 American 22/12/11 9.99------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Dec 11 Put Selling 111000 85.00 American 22/12/11 19.50------------------- ---------------- ------------------- ------------- ----------- ------------ --------------\* T (ii) Exercising \* TProduct name, e.g. call option Number of securities Exercise price per unit (Note 4)---------------------------------------------------------------------------------------------------------\* T (d) Other dealings (including new securities) (Note 3) \* TNature of transaction (Note 7) Details Price per unit (if applicable) (Note 4)---------------------------------------------------------------------------------------------------------\* T 4. OTHER INFORMATION Agreements, arrangements or understandings relating to options or derivatives \* TFull 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.---------------------------------------------------------------------------------------------------------\* T Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO \* TDate of disclosure 9 October 2008------------------------------------------------------------ ---------------------------------------------Contact name Oliver Bainbridge - Kirit Devshi------------------------------------------------------------ ---------------------------------------------Telephone number (020) 7678 5898------------------------------------------------------------ ---------------------------------------------Name of offeree/offeror with which connected RIO TINTO------------------------------------------------------------ ---------------------------------------------Nature of connection (Note 9) Advisor------------------------------------------------------------ ---------------------------------------------\* T Notes: The Notes on Form 38.5(b) can be viewed on the Takeover Panel's websiteat www.thetakeoverpanel.org.uk SUPPLEMENTAL FORM 8 DETAILS OF OPEN POSITIONS (This form should be attached to Form 8.1, Form 8.1(b)(ii) or Form 8.3, as appropriate) OPEN POSITIONS (Note 1) \* TProduct name, Written or Number of Exercise price Type, e.g. Expiry datee.g. call option purchased securities to (Note 2) American, which the option European or derivative etc. relates------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 25,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 20,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 3,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 8,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 4,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 22,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 5,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 29,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Dec 08 Call Purchased 163,000 0.01 European 18/12/08------------------------ ------------- ----------------- --------------- ------------- --------------------- ------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call Written 140,000 146.00 European 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------\* T Notes 1. Where there are open option positions or open derivative positions (exceptfor CFDs), full details should be given. Full details of any existing agreementsto 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 Rule 8 and itsNotes which can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk Copyright Business Wire 2008Related Shares:
Rio Tinto