24th Nov 2008 10:36
|
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 |
21/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,923,749 |
GBP 8.39 |
GBP 7.78 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,207,021 |
GBP 8.37 |
GBP 7.74 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
54,080 |
GBP 7.82 |
|
Long Swap |
LONG |
736,913 |
GBP 8.01 |
|
Long Swap |
LONG |
487,399 |
GBP 8.05 |
|
Long Swap |
LONG |
92,898 |
GBP 7.91 |
|
Long Swap |
LONG |
2,000 |
GBP 7.91 |
|
Long Swap |
LONG |
58,971 |
GBP 8.10 |
|
Long Swap |
LONG |
28,647 |
GBP 7.92 |
|
Long Swap |
LONG |
24,131 |
GBP 7.90 |
|
Long Swap |
LONG |
15,250 |
GBP 8.01 |
|
Long Swap |
LONG |
8,169 |
GBP 8.03 |
|
Long Swap |
LONG |
7,000 |
GBP 7.91 |
|
Long Swap |
LONG |
6,055 |
GBP 7.85 |
|
Long Swap |
LONG |
6,000 |
GBP 7.91 |
|
Long Swap |
LONG |
76,005 |
GBP 7.90 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
58,971 |
GBP 7.97 |
|
Short Swap |
SHORT |
736,913 |
GBP 8.03 |
|
Short Swap |
SHORT |
504,016 |
GBP 8.05 |
|
Short Swap |
SHORT |
92,898 |
GBP 0.00 |
|
Short Swap |
SHORT |
90,805 |
GBP 7.94 |
|
Short Swap |
SHORT |
15,300 |
GBP 7.97 |
|
Short Swap |
SHORT |
990 |
GBP 7.97 |
|
Short Swap |
SHORT |
2,000 |
GBP 7.98 |
|
Short Swap |
SHORT |
5,100 |
GBP 7.92 |
|
Short Swap |
SHORT |
6,000 |
GBP 7.83 |
|
Short Swap |
SHORT |
6,055 |
GBP 7.98 |
|
Short Swap |
SHORT |
7,000 |
GBP 7.92 |
|
Short Swap |
SHORT |
7,318 |
GBP 8.02 |
|
Short Swap |
SHORT |
75,000 |
GBP 7.84 |
|
Short Swap |
SHORT |
8,654 |
GBP 7.98 |
|
Short Swap |
SHORT |
72,033 |
GBP 7.98 |
|
Short Swap |
SHORT |
19,993 |
GBP 7.92 |
|
Short Swap |
SHORT |
22,683 |
GBP 7.97 |
|
Short Swap |
SHORT |
24,131 |
GBP 7.94 |
|
Short Swap |
SHORT |
28,563 |
GBP 7.97 |
|
Short Swap |
SHORT |
31,897 |
GBP 7.97 |
|
Short Swap |
SHORT |
34,820 |
GBP 8.05 |
|
Short Swap |
SHORT |
42,769 |
GBP 7.98 |
|
Short Swap |
SHORT |
845 |
GBP 0.00 |
|
Short Swap |
SHORT |
8,476 |
GBP 8.03 |
|
(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 |
24/11/2008 |
|
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 |
Ennstone Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
21/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
213,125 |
GBP 0.02 |
GBP 0.02 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
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 |
24/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Marwyn Materials 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 |
Axon Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
21/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
6,688 |
GBP 6.43 |
GBP 6.43 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
19,406 |
GBP 6.42 |
GBP 6.39 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
3,268 |
GBP 6.43 |
|
Long Swap |
LONG |
982 |
GBP 6.42 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
39 |
GBP 6.42 |
|
Short Swap |
SHORT |
982 |
GBP 6.42 |
|
Short Swap |
SHORT |
1,273 |
GBP 6.42 |
|
Short Swap |
SHORT |
2,682 |
GBP 6.39 |
|
(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 |
24/11/2008 |
|
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 |
21/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,924,303 |
GBP 32.00 |
GBP 20.43 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,010,862 |
GBP 22.18 |
GBP 20.46 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
2,811 |
GBP 21.40 |
|
Long Swap |
LONG |
3,890 |
GBP 21.17 |
|
Long Swap |
LONG |
4,303 |
GBP 21.25 |
|
Long Swap |
LONG |
8,494 |
GBP 21.15 |
|
Long Swap |
LONG |
10,896 |
GBP 20.91 |
|
Long Swap |
LONG |
15,296 |
GBP 21.13 |
|
Long Swap |
LONG |
21,939 |
GBP 21.15 |
|
Long Swap |
LONG |
28,000 |
GBP 20.54 |
|
Long Swap |
LONG |
48,971 |
GBP 20.91 |
|
Long Swap |
LONG |
156,226 |
GBP 21.16 |
|
Long Swap |
LONG |
310,433 |
GBP 21.17 |
|
Long Swap |
LONG |
600 |
GBP 20.75 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
82,844 |
GBP 21.36 |
|
Short Swap |
SHORT |
175,056 |
GBP 21.27 |
|
Short Swap |
SHORT |
600 |
GBP 20.97 |
|
Short Swap |
SHORT |
28,000 |
GBP 20.86 |
|
Short Swap |
SHORT |
17,473 |
GBP 20.75 |
|
Short Swap |
SHORT |
14,864 |
GBP 20.77 |
|
Short Swap |
SHORT |
14,174 |
GBP 21.40 |
|
Short Swap |
SHORT |
10,896 |
GBP 21.36 |
|
Short Swap |
SHORT |
8,494 |
GBP 20.77 |
|
Short Swap |
SHORT |
6,132 |
GBP 21.27 |
|
Short Swap |
SHORT |
4,303 |
GBP 21.10 |
|
Short Swap |
SHORT |
3,453 |
GBP 21.44 |
|
Short Swap |
SHORT |
2,609 |
GBP 20.77 |
|
Short Swap |
SHORT |
1,122 |
GBP 21.10 |
|
Short Swap |
SHORT |
316,159 |
GBP 21.23 |
|
(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 |
24/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
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Rio Tinto