28th Nov 2007 10:04
Citigroup GM Australia Pty Ltd28 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 Citigroup Global Markets Australia Pty Limited Company dealt in Rio Tinto Ltd Class of relevant security to which the Ord/Equitydealings being disclosed relate (Note 1) Date of dealing 27 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 431,418 (0.09%) 586,921 (0.13%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell 2,952,833 (0.65%) 3,766,120 (0.82%) Total 3,384,251 (0.74%) 4,353,041 (0.95%) (b) Interests and short positions in relevant securities of the company,other than the class dealt in (Note 2) Class of relevant security: Long ShortConvertible Number Number (%) (%) (1) Relevant securities (0.00%) (0.00%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell (0.00%) (0.00%) Total (0.00%) (0.00%) (c) Rights to subscribe (Note 2) Class of relevant security: Details 3. DEALINGS (Note 3) Purchases and sales Purchase Number of securities Price per unit (Note 4) AUD (unless stated) 15000 135.15 3574 135.3 3243 135.35 2633 135.8 1917 135.75 1473 135.75 1435 135.75 1222 135.5 1119 135.75 830 135.8 797 135.38 775 135.38 767 135.5 624 135.28 607 135.41 559 135.8 500 135.27 492 135.35 487 135.35 465 135.41 453 135.38 442 135.44 441 135.44 430 135.72 403 135.36 387 135.75 386 135.39 385 135.35 378 135.34 369 135.37 355 135.56 344 135.55 340 135.36 338 135.44 336 135.37 335 135.75 329 135.41 329 135.35 321 135.77 304 135.4 303 135.39 300 135.42 297 135.38 266 135.27 260 135.26 260 135.25 238 135.41 234 135.75 194 135.28 182 135.75 180 135.34 179 135.34 172 135.41 155 135.29 153 135.41 140 135.41 134 135.41 120 135.75 109 135.35 85 135.36 69 135.34 68 135.34 66 135.28 57 135.41 54 135.41 52 135.41 19 135.8 19 135.8 19 135.38 19 135.38 16 135.75 16 135.8 16 135.34 16 135.38 14 135.27 11 135.41 8 135.36 7 135.36 3 135.75 3 135.8 3 135.49 3 135.44 3 135.34 3 135.38 2 135.38 1 135.5 1 135.3 1 136.22 1 136.22 1 136.2Total 50,456 Sales Number of securities Price per unit (Note 4) AUD (unless stated) -1 135.5 -1 135.3 -1 136 -1 136.23 -1 136.1 -1 136.1 -7 137.5 -12 135.21 -15 135.4 -19 135.8 -19 135.8 -19 135.38 -19 135.38 -31 135.3 -33 137.8 -33 137.18 -37 135.3 -43 137.49 -50 135.3 -50 137.48 -52 135.4 -58 137.25 -59 135.4 -61 137.18 -64 137.18 -64 137.18 -64 137.18 -72 135.4 -79 137.5 -84 137.49 -100 135.4 -113 135.75 -141 135.21 -150 135.3 -151 135.4 -151 135.4 -157 135.4 -166 137.8 -170 137.21 -170 137.21 -181 135.3 -195 135.4 -200 137.21 -227 137.48 -250 137.44 -250 137.58 -270 137.49 -301 135.3 -348 135.4 -350 135.21 -364 135.21 -444 135.3 -500 135.3 -603 137.49 -639 137.21 -864 137.8 -972 137.21 -996 135.21 -1000 137.25 -1000 137.8 -1003 135.3 -1028 137.21 -1055 135.3 -1116 135.3 -1184 135.4 -1361 137.21 -1376 135.4 -1443 135.21 -1466 135.3 -1500 135.4 -1606 137.8 -1606 137.8 -1606 137.8 -1824 136 -15000 135.15 -32500 135.95Total 79,147 (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 (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product name, Writing, Number of Exercise Type, e.g. Expiry Option money selling, securities to American,e.g. call option purchasing, which the option Price (AUD) European etc. date paid/received varying etc. relates (Note 6) per unit (AUD)(C = call (Note 4)option; P = put option) C selling -2396 124 E 3.36 27-Feb-08 C selling -4000 124 E 3.37 27-Feb-08 C selling -4000 124 E 3.36 27-Feb-08 C selling -4000 124 E 3.36 27-Feb-08 C selling -9604 124 E 3.36 27-Feb-08 C selling -12000 124 E 3.37 27-Feb-08 (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 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 Date of disclosure 28 November 2007 Contact name Pavla Trskova Telephone number 02890 409544 Name of offeree/offeror with which connected BHP Billiton plc Nature of connection (Note 9) Corporate Broker/Financial Advisor Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website atwww.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, Written or Number of Exercise price Type, e.g. Expiry date purchased securities to which (Note 2) American, Europeane.g. call option the option or etc. derivative relates P written 300000 112 A 24-Jan-08 P written 200000 88 A 27-Mar-08 P written 196200 96 E 20-Dec-07 P written 163200 100 E 20-Dec-07 P written 148000 90 A 20-Dec-07 P written 125000 108 A 20-Dec-07 C purchased 123000 135 A 20-Dec-07 C purchased 111000 94 A 29-Nov-07 C purchased 100000 92 A 29-Nov-07 C purchased 100000 116 A 29-Nov-07 P written 100000 90 A 27-Mar-08 P written 90000 110 E 20-Dec-07 P written 87000 87 A 29-Nov-07 P written 80000 112 A 29-Nov-07 C purchased 75000 116 A 20-Dec-07 C purchased 67000 108 A 20-Dec-07 C purchased 65000 112 A 27-Mar-08 P written 57000 110 A 20-Dec-07 P written 55000 104 A 20-Dec-07 P written 54000 108 A 29-Nov-07 C purchased 53000 108 A 29-Nov-07 P written 50979 56.15 A 11-Oct-10 C purchased 50000 94 A 20-Dec-07 P written 50000 66 A 20-Dec-07 P written 50000 87 A 20-Dec-07 C purchased 49000 104 A 29-Nov-07 P written 40000 74.25 E 27-Jul-11 P written 30588 56.03 E 3-Nov-08 C purchased 25000 100 A 20-Dec-07 C purchased 25000 110 A 29-Nov-07 C purchased 23000 96 A 20-Dec-07 C purchased 22000 100 A 20-Dec-07 C purchased 14000 102 A 29-Nov-07 P written 14000 96 A 29-Nov-07 P written 10000 106 A 20-Dec-07 C purchased 9000 98 A 29-Nov-07 P written 7517 116.82 A 11-Jul-12 P written 6789 94.91 A 23-Jun-11 P written 6646 37.61 E 1-Oct-09 P written 6415 77.94 E 19-Feb-10 P written 6268 88.6 A 27-Mar-12 C purchased 6000 119.66 A 24-Jan-08 P written 5906 119.75 A 28-Jun-12 P written 5780 109.19 A 30-May-12 P written 5608 92.64 A 24-Jun-11 C purchased 5000 116 A 20-Dec-07 C purchased 5000 100 A 29-Nov-07 P written 5000 107.89 A 24-Jan-08 P written 4886 97.27 A 28-Aug-12 P written 4420 88.07 A 23-Jun-11 P written 4320 99.12 A 25-Apr-12 C purchased 4000 96 A 29-Nov-07 P written 3828 115.61 A 13-Jun-12 P written 3801 96.12 A 23-Jun-11 P written 3105 99.8 A 28-Apr-11 C purchased 3000 112 A 29-Nov-07 P written 2994 85.04 A 28-Mar-11 P written 2862 119 A 11-Jul-12 P written 2591 38.58 E 1-Dec-09 P written 2269 44.08 E 30-Jun-08 P written 2248 73.85 A 29-Dec-10 P written 2024 98.79 E 29-Jun-10 C purchased 2000 78.46 A 24-Sep-09 P written 1976 160.93 A 28-Nov-12 P written 1370 85.07 A 28-Feb-11 P written 1273 78.5 E 30-Jun-11 P written 1188 105.3 A 23-May-11 P written 1152 43.37 E 28-Jun-10 P written 1152 43.37 E 28-Jun-10 P written 1132 83.22 A 7-Oct-11 P written 1037 43.37 E 27-Jun-08 C purchased 1000 106 A 26-Jun-08 P written 869 89.44 A 7-Feb-11 P written 765 43.96 E 30-Jun-08 P written 700 103.7 A 15-May-12 P written 561 89 E 9-Aug-10 P written 514 77.8 E 30-Jun-09 P written 464 95.75 E 29-Jun-10 P written 454 44.08 E 30-Jun-08 P written 405 98.1 A 25-Jun-10 P written 392 131.14 A 11-Oct-12 P written 388 77.2 E 27-Jun-11 P written 337 29.61 E 25-Jun-08 P written 332 75.22 E 24-May-10 P written 302 82.55 E 17-May-10 P written 290 95.75 E 28-Jun-10 P written 266 94.08 A 28-Jul-11 P written 254 78.6 E 7-Jul-11 P written 236 84.55 E 9-May-11 P written 208 95.7 E 5-Sep-12 P written 208 95.7 E 5-Sep-12 P written 203 98.22 E 12-Sep-12 P written 203 98.22 E 12-Sep-12 P written 191 78.5 E 30-Jun-11 P written 191 78.5 E 30-Jun-11 P written 159 94.02 A 28-Jul-11 P written 141 93.6 A 28-Jul-11 P written 138 72.57 E 21-Jan-08 P written 138 92.66 A 28-Jul-11 P purchased -203 98.22 E 12-Sep-12 P purchased -208 95.7 E 5-Sep-12 C written -500 80 A 20-Dec-07 C written -570 100 A 27-Mar-08 C written -800 100 E 28-Nov-07 P purchased -1000 94 A 26-Jun-08 C written -1000 125 A 20-Dec-07 C written -1000 105.01 E 20-Dec-07 P purchased -2000 90 A 29-Nov-07 P purchased -2000 106 A 29-Nov-07 P purchased -2000 77 A 22-Dec-11 C written -2000 107.89 A 24-Jan-08 C written -2492 60 A 29-Nov-07 C written -2700 59 A 23-Apr-08 C written -3428 54.39 A 28-Jun-12 C written -4500 70 A 27-Mar-08 C written -4770 42.5 A 23-Jun-08 P purchased -5000 68 A 23-Dec-10 C written -5000 90 A 20-Dec-07 C written -5149 64 A 19-Jun-09 P purchased -8000 98 A 29-Nov-07 P purchased -8000 100 A 20-Dec-07 C written -8000 120 E 19-Dec-07 C written -8800 110 E 27-Feb-08 P purchased -10000 82 A 20-Dec-07 P purchased -10000 130 A 27-Mar-08 P purchased -14000 102 A 29-Nov-07 P purchased -15000 80 A 27-Mar-08 P purchased -16000 114 A 29-Nov-07 P purchased -18000 74 A 26-Jun-08 C written -18000 106 A 20-Dec-07 P purchased -20000 112 A 20-Dec-07 C written -20000 114 A 29-Nov-07 P purchased -23000 92 A 20-Dec-07 P purchased -23000 90 A 20-Dec-07 C written -23000 90 A 20-Dec-07 C written -25000 118 A 20-Dec-07 C written -25000 120 A 29-Nov-07 C written -25000 115.73 A 24-Jan-08 P purchased -26000 100 A 29-Nov-07 P purchased -26000 104 A 29-Nov-07 C written -30000 104 A 20-Dec-07 C written -32000 112 A 20-Dec-07 C written -33000 85 A 22-Dec-11 C written -34000 102 A 20-Dec-07 C written -35000 106 A 29-Nov-07 P purchased -44000 72 A 18-Dec-08 P purchased -46000 119.66 A 24-Jan-08 P purchased -48000 96 A 20-Dec-07 C written -48000 114 A 20-Dec-07 C written -50000 122 A 18-Dec-08 C written -50000 87 A 20-Dec-07 C written -58000 96 E 19-Dec-07 P purchased -60000 80 A 22-Dec-11 C written -65000 118 A 29-Nov-07 C written -66000 124 E 27-Feb-08 P purchased -73000 94 A 20-Dec-07 C written -75000 56.89 A 24-Sep-09 P purchased -76000 75 A 22-Dec-11 P purchased -87000 88 A 20-Dec-07 P purchased -93000 100 A 27-Mar-08 P purchased -95000 102 A 20-Dec-07 P purchased -96000 110 A 29-Nov-07 C written -99000 110 A 20-Dec-07 P purchased -100000 110 A 27-Mar-08 P purchased -100000 94 A 27-Mar-08 P purchased -100000 84 A 27-Mar-08 P purchased -100000 96 A 27-Mar-08 C written -100000 104 A 27-Mar-08 C written -100000 112 A 24-Jan-08 C written -100000 87 A 20-Dec-07 P purchased -112000 68.66 A 24-Sep-09 C written -145000 90 A 26-Jun-08 C written -200000 90 E 19-Dec-07 P purchased -242000 78.46 A 24-Sep-09 C written -258000 120 E 20-Dec-07 C written -300000 100 E 20-Dec-07 Notes 1. Where there are open option positions or open derivative positions (exceptfor CFDs), full details should be given. Full details of any existingagreements 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 38.5and their Notes which can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto