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FORM 38.5 (b)
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS
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WITHOUT RECOGNISED INTERMEDIARY STATUS, OR WITH RI STATUS
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BUT NOT DEALING IN A CLIENT-SERVING CAPACITY
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(Rule 38.5(b) of the Takeover Code)
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1. KEY INFORMATION
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Name of exempt principal trader
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Credit Suisse Equities (Australia) Limited
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Company dealt in
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Rio Tinto Limited
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Class of relevant security to which the dealings being disclosed relate (Note 1)
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Ordinary Shares
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Date of dealing
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12-11-2008
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2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE
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(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2)
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Long
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Short
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Number
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(%)
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Number
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(%)
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(1) Relevant securities
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1911487
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0.418
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(2) Derivatives (other than options)
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(3) Options and agreements to purchase/sell
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Total
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1911487
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0.418
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(b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 2)
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Class Of Relevant Security : Ordinary Shares
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Long
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Short
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(1) Relevant Securities
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(2) Derivatives (other than options)
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(3) Options and agreements to purchasesell
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Total
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(c) Rights to subscribe (Note 2)
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Class of relevant security:
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Details
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3. DEALINGS (Note 3)
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(a) Purchases and sales
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Purchase/sale
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Number of securities
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Price per unit (Note 4)
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Purchase
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1
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75.33
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Purchase
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1
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75.07
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Purchase
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30,000
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75.06
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Sale
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-46
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74.86
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Sale
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-85
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74.80
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Sale
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-79
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74.56
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Sale
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-26
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74.75
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Sale
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-90
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74.55
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Sale
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-90
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74.43
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Sale
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-88
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74.67
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Sale
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-593
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74.80
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Sale
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-35,000
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74.80
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Sale
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-351
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74.80
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Sale
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-351
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74.80
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Sale
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-351
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74.80
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Sale
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-174
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74.80
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Sale
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-11
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74.80
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Sale
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-1,039
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74.80
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Sale
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-12,023
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74.80
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Sale
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-25
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74.85
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Sale
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-10
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74.86
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Sale
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-21
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74.86
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Sale
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-5
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74.86
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Sale
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-36,628
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74.80
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Sale
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-14
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74.80
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Sale
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-500
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74.80
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Sale
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-100
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74.80
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Sale
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-2,000
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74.80
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Sale
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-10,000
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74.80
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Sale
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-723
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74.80
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Sale
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-35
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75.00
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Sale
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-47,990
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74.80
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Sale
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-1,000
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74.80
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Sale
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-10
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74.80
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Sale
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-14
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74.80
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Sale
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-7
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74.80
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Sale
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-979
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74.80
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Sale
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-8,768
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74.80
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Sale
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-20,000
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74.80
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Sale
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-1
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74.80
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Sale
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-1
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74.80
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Sale
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-20
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74.80
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Sale
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-20,000
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74.80
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Sale
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-690
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74.80
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Sale
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-35
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74.88
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Sale
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-13
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74.88
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Sale
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-7
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74.89
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Sale
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-280
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74.89
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Sale
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-100
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74.89
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Sale
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-139
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75.00
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Sale
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-2,000
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75.00
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Sale
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-35
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75.03
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Sale
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-104
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75.03
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Sale
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-125
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75.05
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Sale
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-690
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75.16
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Sale
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-25
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75.16
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Sale
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-69
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75.16
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Sale
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-29
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75.20
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Sale
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-32
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75.21
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Sale
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-14
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75.23
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Sale
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-3
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75.24
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Sale
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-14
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75.25
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Sale
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-76
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75.25
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Sale
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-79
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75.25
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Sale
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-100
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75.26
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Sale
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-1,000
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75.00
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Sale
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-25
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75.00
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Sale
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-165
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74.99
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Sale
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-35
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74.99
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Sale
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-12
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74.94
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Sale
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-35
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74.94
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Sale
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-7
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74.94
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Sale
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-446
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74.94
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Sale
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-300
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74.97
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Sale
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-200
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75.00
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Sale
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-35
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75.00
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Sale
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-740
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75.00
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Sale
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-865
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74.75
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Sale
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-100
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74.75
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Sale
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-35
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74.75
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Sale
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-1,400
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74.65
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Sale
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-100
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74.66
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Sale
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-1,000
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74.76
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Sale
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-554
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74.76
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Sale
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-35
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74.76
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Sale
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-411
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74.80
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Sale
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-1
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74.70
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Sale
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-999
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74.70
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Sale
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-1
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74.60
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Sale
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-390
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74.60
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Sale
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-35
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74.60
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Sale
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-35
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74.60
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Sale
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-4
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74.60
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Sale
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-35
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74.60
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Sale
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-82
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74.50
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Sale
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-165
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74.50
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Sale
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-52
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74.50
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Sale
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-10
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74.50
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Sale
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-1
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74.50
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Sale
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-88
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74.50
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Sale
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-35
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74.62
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Sale
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-500
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74.62
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Sale
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-35
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74.62
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Sale
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-10
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74.62
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Sale
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-22
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74.62
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Sale
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-1,561
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74.56
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Sale
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-35
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74.56
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Sale
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-58
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74.56
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Sale
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-10
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74.56
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Sale
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-7
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74.56
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Sale
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-250
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74.56
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Sale
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-344
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74.61
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Sale
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-35
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74.61
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Sale
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-121
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74.61
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Sale
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-1,000
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74.78
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Sale
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-452
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74.75
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Sale
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-22
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74.75
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Sale
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-38
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74.74
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Sale
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-104
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74.74
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Sale
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-104
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74.74
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Sale
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-40
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74.74
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Sale
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-26
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74.74
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Sale
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-380
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74.74
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Sale
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-90
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74.74
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Sale
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-7
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74.74
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Sale
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-24
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74.74
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Sale
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-35
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74.55
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Sale
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-4
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74.55
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Sale
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-21
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74.55
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Sale
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-148
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74.55
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Sale
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-11
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74.55
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Sale
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-1,305
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74.55
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Sale
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-32
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74.40
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Sale
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-100
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74.40
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Sale
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-766
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74.41
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Sale
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-7
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74.42
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Sale
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-106
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74.42
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Sale
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-7
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74.43
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Sale
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-1,000
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74.43
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Sale
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-70
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74.50
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Sale
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-100
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74.50
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Sale
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-2,000
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74.50
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Sale
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-500
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74.50
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Sale
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-7
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74.51
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Sale
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-369
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74.51
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Sale
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-119
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74.53
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Sale
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-578
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74.55
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Sale
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-22
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74.58
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Sale
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-5
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74.64
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Sale
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-677
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74.64
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Sale
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-1
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74.65
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Sale
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-4
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74.65
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Sale
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-13
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74.65
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Sale
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-356
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74.51
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Sale
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-2,000
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74.50
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Sale
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-845
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74.57
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Sale
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-155
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74.57
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Sale
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-7
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74.58
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Sale
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-500
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74.58
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Sale
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-338
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74.59
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Sale
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-4
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74.67
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Sale
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-7
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74.67
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Sale
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-104
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74.67
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Sale
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-10
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74.67
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Sale
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-754
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74.67
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Sale
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-245
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75.35
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Sale
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-30
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75.35
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Sale
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-11
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75.35
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Sale
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-137
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75.35
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Sale
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-409
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75.35
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Sale
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-1
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75.07
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Sale
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-1,000
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75.39
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Sale
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-57
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73.75
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Sale
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-100
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73.75
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Sale
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-113
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73.75
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TOTAL BUYS: 30002
TOTAL SELLS: 233805
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(b) Derivatives transactions (other than options)
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Product name, e.g. CFD
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Long/short (Note 5)
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Number of securities (Note 6)
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Price per unit (Note 4)
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(c) Options transactions in respect of existing securities
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(i) Writing, selling, purchasing or varying
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Product name,e.g. call option
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Writing, selling, purchasing, varying etc.
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Number of securities to which the option relates (Note 6)
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Exercise price
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Type, e.g. American, European etc.
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Expiry date
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Option money paid/received per unit (Note 4)
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(ii) Exercising
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Product name, e.g. call option
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Number of securities
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Exercise price per unit (Note 4)
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(d) Other dealings (including new securities) (Note 3)
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Nature of transaction (Note 7)
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Details
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Price per unit (if applicable) (Note 4)
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4. OTHER INFORMATION
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Agreements, arrangements or understandings relating to options or derivatives
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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.
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Is a Supplemental Form 38.5(b) attached? (Note 8) No
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|
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Date of disclosure
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13-11-2008
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Contact name
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Carolyn Collins; Simon Crawley
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Telephone number
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44 20 7888 0241
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Name of offeree/offeror with which connected
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Rio Tinto Plc
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Nature of connection (Note 9)
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ADVISOR
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Notes
The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk.
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