30th Nov 2007 12:18
Macquarie Bank Ld30 November 2007 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 Macquarie Bank LimitedCompany dealt in Rio Tinto LimitedClass of relevant security to which the Ordinary shares ISIN: AU000000RI01dealings being disclosed relate (Note 1) Date of dealing 29 November 2007 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class ofrelevant security dealt in (Note 2) Long Short Number Number (%) (%) (1) Relevant securities 429,314 0.09% (2) Derivatives (other than options) 20,097 0.00% (3) Options and agreements to purchase/sell 1,251,883 0.27% Total 1,701,294 0.37% (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 (Note 4) See Annexure A (b) Derivatives transactions (other than options) Product name, Long/short (Note 5) Number of securities (Note 6) Price per unit (Note 4) e.g. CFD See Annexure B (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product name, Writing, selling, Number of securities Exercise Type, e.g. Expiry Option money purchasing, to which the option American,e.g. call option varying etc. relates (Note 6) price European etc. date paid/received per unit (Note 4) See Annexure C (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) Stock Lending 1,246,000 124.6 USD 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 relatingto the voting rights of any relevant securities under any option referred to on this form or relating to the votingrights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form isreferenced. If none, this should be stated. Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO Date of disclosure 30 November 2007 Contact name Johanna Uy Telephone number +44 (0) 2030374339 Name of offeree/offeror with which connected Rio Tinto PlcNature of connection (Note 9) Connected principal trader Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk Annexure A Purchase/Sale Number of Securities Price per Unit (AUD)Sale 105 137.82Sale 93 137.82Sale 135 138Sale 2,000 138Sale 100 138Sale 1,683 138Sale 154 138Sale 200 138Sale 5,578 138Purchase 304 138.19Purchase 68 138.1Purchase 961 138.1Purchase 200 138.1Purchase 70 138.1Purchase 452 138.1Purchase 100 138.1Sale 796 138.12Sale 9 138.12Sale 24 138.12Sale 24 138.12Sale 24 138.12Sale 24 138.12Sale 973 138.11Sale 24 138.12Purchase 23 138.1Sale 24 138.12Sale 24 138.12Purchase 82 138.1Sale 89 138.12Sale 33 138.12Sale 24 138.12Sale 24 138.12Sale 50 138.02Sale 9 138.02Sale 9 138.02Sale 712 138Sale 1,000 138Sale 1,000 138Purchase 405 138.06Purchase 25 138.06Purchase 500 138.14Purchase 3 138.06Purchase 500 138.12Purchase 567 138.15Sale 67 138.22Sale 5 138.22Sale 100 138.22Sale 1,842 138.5Sale 106 138.5Purchase 10 138.57Purchase 974 138.57Sale 48 138.52Sale 18 138.52Sale 100 138.52Sale 100 138.52Sale 708 138.52Sale 682 138.52Sale 292 138.52Sale 100 138.55Sale 100 138.55Sale 5 138.55Sale 45 138.55Sale 200 139Sale 2,438 139Sale 2,438 139Sale 124 139Sale 26 139Sale 775 139Purchase 1,000 139Sale 5 138.47Sale 166 138.5Sale 140 138.4Sale 190 138.46Sale 125 138.46Sale 55 138.47Sale 699 138.6Sale 301 138.6Sale 717 138.6Sale 283 138.6Sale 2,317 138.5Sale 8 138.5Sale 9 138.5Sale 1,000 138.5Sale 360 138.4Sale 1,000 138.4Sale 1,107 138.4Sale 360 138.4Sale 100 139.2Sale 100 139.2Sale 95 139.2Sale 35 139.2Sale 673 138.4Sale 360 138.4Sale 224 139.2Sale 100 139.2Sale 100 139.2Sale 233 139.2Sale 987 139.2Purchase 500 139.29Purchase 265 139.5Purchase 426 139.5Sale 833 139.5Sale 500 139.4Sale 487 139.4Purchase 15 138.65Sale 300 139.35Sale 103 139.35Sale 93 139.35Sale 715 139.21Sale 1 139.21Sale 284 139.21Sale 500 138.95Sale 400 138.87Sale 100 138.98Sale 100 138.98Sale 40 138.98Sale 307 139.25Sale 976 139.21Sale 100 139.42Sale 679 139.5Sale 119 139.5Sale 139 139.5Sale 44 139.5Sale 889 139.5Sale 400 139.65Sale 924 139.65Sale 691 139.75Sale 51 139.75Sale 58 139.75Sale 56 139.75Sale 300 139.9Sale 115 139.66Purchase 691 139.25Purchase 169 139.47Purchase 5,000 137.1Sale 100 137.78Sale 4,900 137.78Sale 261 137.97Sale 400 137.97Sale 1,838 137.97Sale 1 137.97Sale 2,500 138.45Sale 5,000 139Sale 2,500 139.25Sale 1 139.47Sale 500 139.47Sale 1,642 139.47Sale 357 139.47Sale 147 139.47Sale 57 139.47Sale 63 139.47Sale 20 139.47Sale 118 139.47Sale 1,843 139.47Sale 142 139.47Sale 82 139.47Sale 28 139.47Sale 2,500 139.74Purchase 4,000 90Purchase 4,000 90Purchase 8,000 106Purchase 1,000 106Purchase 1,000 106Purchase 1,000 114Purchase 2,000 114Sale 5,000 140Sale 1,588 139.43Sale 280 139.43Sale 5 139.43Sale 4 139.43Sale 18 139.43Sale 460 139.43Sale 145 139.43Purchase 35 137.61Purchase 35 137.64Sale 23 139.18Sale 57 139.11Sale 118 139.1Sale 110 139.25Sale 58 139.25Sale 1 139.25Sale 1 139.25Sale 10 139.25Sale 2 139.25Sale 65 139.25Purchase 297 139.83Sale 100 139.71Sale 4 139.7Sale 25 139.7Sale 132 139.7Sale 316 139.66Sale 160 139.66Sale 118 139.66Sale 133 139.66Sale 108 137.65Sale 1,092 137.65Sale 800 137.65Purchase 93 137.81Purchase 1 137.92Purchase 77 137.92Purchase 45 137.92Purchase 2 137.92Sale 477 137.99Purchase 75 137.92Sale 273 137.99Sale 100 138Purchase 170 138.19Purchase 70 138.3Purchase 100 138.22Purchase 40 138.37Sale 70 138.51Sale 50 139Purchase 60 139.05Sale 500 139.2Purchase 60 139.34Sale 100 139.19Sale 100 139.19Sale 175 139.18Sale 500 139.3Sale 100 139.31Sale 400 139.31Purchase 500 139.47Sale 600 139.5Purchase 200 139.5Purchase 60 139.61Sale 100 139.57Sale 100 139.56Sale 100 139.56Sale 25 139.56Sale 4 139.56Sale 5 139.56Sale 100 139.56Sale 66 139.56Sale 113 139.53Sale 62 139.53Sale 500 139.6Sale 41 139.36Sale 159 139.36Sale 409 139.27Sale 177 138.85Sale 107 138.85Sale 16 138.85Purchase 120 138.98Sale 150 138.91Sale 1,000 139.25Sale 100 139.5Sale 70 139.42Sale 127 139.42Sale 53 139.42Sale 250 139.49Sale 170 139.58Sale 25 139.58Sale 5 139.58Sale 130 139.56Sale 120 139.56Sale 77 139.95Sale 114 140Sale 886 140Sale 1 139.9Sale 16 139.9Sale 183 139.78Sale 26 139.74Sale 21 139.74Sale 33 139.74Sale 4 139.74Sale 5 139.74Sale 11 139.74Sale 1,000 139.42Sale 83 139.52Sale 217 139.52Sale 75 139.25Purchase 30 139.25Sale 39 139.6Sale 507 139.6Purchase 110 139.6Purchase 500 139.6Purchase 100 139.6Purchase 1,500 139.6Purchase 180 139.6Purchase 1,273 139.6Purchase 100 139.6Sale 2,000 139.6Sale 1,000 139.57Sale 84 139.6Purchase 82 448.7Sale 82 448.7Purchase 8,888 OTC sale from custodian at marketTOTAL SALE 97,542TOTAL PURCHASE 49,113 Annexure B Product Name Long/short Exec Quantity Exec PriceCFD Long 1,092 137.65CFD Long 800 137.65CFD Long 108 137.65CFD Short 93 137.81CFD Short 40 138.37CFD Short 1 137.92CFD Short 77 137.92CFD Short 45 137.92CFD Short 2 137.92CFD Short 75 137.92CFD Long 477 137.99CFD Long 273 137.99CFD Long 100 138CFD Short 170 138.19CFD Short 70 138.3CFD Long 50 139CFD Short 100 138.22CFD Long 70 138.51CFD Short 60 139.05CFD Long 500 139.2CFD Short 60 139.34CFD Long 100 139.19CFD Long 100 139.19CFD Long 175 139.18CFD Long 400 139.31CFD Long 100 139.31CFD Long 500 139.3CFD Short 500 139.47CFD Long 600 139.5CFD Short 200 139.5CFD Short 60 139.61CFD Long 100 139.56CFD Long 100 139.57CFD Long 25 139.56CFD Long 4 139.56CFD Long 5 139.56CFD Long 100 139.56CFD Long 66 139.56CFD Long 100 139.56CFD Long 62 139.53CFD Long 113 139.53CFD Long 500 139.6CFD Long 41 139.36CFD Long 159 139.36CFD Long 409 139.27CFD Long 16 138.85CFD Long 107 138.85CFD Long 177 138.85CFD Short 120 138.98CFD Long 150 138.91CFD Long 1,000 139.25CFD Long 100 139.5CFD Long 70 139.42CFD Long 127 139.42CFD Long 53 139.42CFD Short 30 139.25CFD Long 250 139.49CFD Long 170 139.58CFD Long 25 139.58CFD Long 5 139.58CFD Long 130 139.56CFD Long 120 139.56CFD Long 77 139.95CFD Long 114 140CFD Long 886 140CFD Long 1 139.9CFD Long 16 139.9CFD Long 183 139.78CFD Long 26 139.74CFD Long 33 139.74CFD Long 5 139.74CFD Long 11 139.74CFD Long 4 139.74CFD Long 21 139.74CFD Long 1,000 139.42CFD Long 83 139.52CFD Long 217 139.52CFD Long 75 139.25 Annexure C Product Name Writing, selling, Number of Exercise Type Expiry date Option money purchasing, securities to price (AUD) paid/received varying etc which option per unit relates (AUD)Put Option Selling 10 132 American 20071129 0.01Put Option Selling 50 140 American 20071129 0.01Put Option Selling 110 135 American 20071129 0.01Put Option Selling 100 135 American 20071129 0.01Call Option Selling 80 90 American 20071129 0.01Call Option Selling 30 114 American 20071129 0.01Put Option Selling 110 130 American 20071129 0.01Call Option Selling 110 106 American 20071129 0.01Call Warrant Purchasing 5,000 115 European 20071129 4.08Call Warrant Purchasing 10,000 140 European 20080124 1.75Call Warrant Selling 2,000 118 European 20071220 3.57Call Warrant Purchasing 2,000 118 European 20071220 3.67Put Warrant Purchasing 1,000 110 European 20080124 0.205Put Warrant Selling 10,000 120 European 20071220 0.18Put Warrant Selling 10,000 120 European 20071220 0.15Put Warrant Purchasing 10,000 120 European 20071220 0.145Call Warrant Purchasing 3,000 100 European 20071220 6.56Call Warrant Purchasing 725 112 European 20071220 4.75Call Warrant Selling 13,000 150 European 20080327 1.765Call Warrant Purchasing 1,000 110 European 20080124 5.26Instalment warrant Purchasing 10,000 80 European 20161117 67.18Instalment warrant Purchasing 1,000 80 European 20161117 68.25Instalment warrant Purchasing 1,000 80 European 20161117 68.25Instalment warrant Selling 700 80 European 20161117 68.64Instalment warrant Purchasing 1,000 80 European 20161117 68.61Instalment warrant Purchasing 700 80 European 20161117 68.84Instalment warrant Selling 700 80 European 20161117 68.38Instalment warrant Purchasing 10,470 80 European 20161117 52.3162Instalment warrant Purchasing 1,000 87.8885 European 20080630 57.07Instalment warrant Purchasing 250 75 European 20080327 66.17Instalment warrant Purchasing 27,746 60 European 20161117 0.01Instalment warrant Purchasing 1,000 105 European 20080124 35.68Instalment warrant Purchasing 2,000 105 European 20080124 36Instalment warrant Purchasing 1,000 105 European 20080124 36.05Instalment warrant Purchasing 1,000 105 European 20080124 36.05Instalment warrant Purchasing 2,500 105 European 20080124 36.5Instalment warrant Purchasing 2,500 105 European 20080124 36.5Instalment warrant Purchasing 1,000 105 European 20080124 36.5Instalment warrant Purchasing 1,000 105 European 20080124 36.62Instalment warrant Purchasing 10,000 90 European 20080327 51.94Instalment warrant Purchasing 1,891 90 European 20080327 52.9Instalment warrant Purchasing 1,000 63 European 20160519 79.56Instalment warrant Purchasing 500 63 European 20160519 79.31Instalment warrant Purchasing 100 63 European 20160519 79.78Instalment warrant Purchasing 400 63 European 20160519 80Instalment warrant Purchasing 300 63 European 20160519 80.26Instalment warrant Selling 1,000 100 European 20071220 39.79Instalment warrant Selling 500 100 European 20071220 40.01Instalment warrant Purchasing 400 100 European 20071220 39.59Instalment warrant Purchasing 100 100 European 20071220 39.7Instalment warrant Selling 10,470 80 European 20161117 52.3162Instalment warrant Selling 2,000 47 European 20160519 93.4Instalment warrant Purchasing 1,000 47 European 20160519 93.45Instalment warrant Purchasing 1,000 47 European 20160519 93.41Instalment warrant Purchasing 140 47 European 20160519 94.33Instalment warrant Selling 100 120 European 20090630 41.04Call Warrant Purchasing 40,000 115 European 20071129 ExpiryInstalment warrant Purchasing 200 50.7106 European 20160630 95.11Instalment warrant Selling 300 50.7106 European 20160630 95.81Instalment warrant Purchasing 250 49.607 European 20170630 96.64Instalment warrant Selling 27,746 60 European 20161117 0.01 This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto