28th Oct 2008 11:27
|
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 |
27/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,819,022 |
GBP 8.65 |
GBP 7.87 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,160,838 |
GBP 8.61 |
GBP 7.85 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,167,523 |
GBP 8.29 |
|
Long Swap |
LONG |
619 |
GBP 8.47 |
|
Long Swap |
LONG |
2,500 |
GBP 8.48 |
|
Long Swap |
LONG |
4,696 |
GBP 8.02 |
|
Long Swap |
LONG |
5,673 |
GBP 8.16 |
|
Long Swap |
LONG |
6,000 |
GBP 8.41 |
|
Long Swap |
LONG |
10,000 |
GBP 7.88 |
|
Long Swap |
LONG |
16,000 |
GBP 8.02 |
|
Long Swap |
LONG |
17,819 |
GBP 8.17 |
|
Long Swap |
LONG |
20,928 |
GBP 8.16 |
|
Long Swap |
LONG |
23,609 |
GBP 7.99 |
|
Long Swap |
LONG |
32,870 |
GBP 8.34 |
|
Long Swap |
LONG |
34,970 |
GBP 8.47 |
|
Long Swap |
LONG |
387,716 |
GBP 8.17 |
|
Long Swap |
LONG |
279 |
GBP 8.41 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
16,000 |
GBP 8.03 |
|
Short Swap |
SHORT |
465 |
GBP 8.04 |
|
Short Swap |
SHORT |
1,354 |
GBP 8.19 |
|
Short Swap |
SHORT |
2,500 |
GBP 8.47 |
|
Short Swap |
SHORT |
4,696 |
GBP 8.17 |
|
Short Swap |
SHORT |
5,673 |
GBP 7.95 |
|
Short Swap |
SHORT |
1,173,662 |
GBP 8.28 |
|
Short Swap |
SHORT |
8,452 |
GBP 8.19 |
|
Short Swap |
SHORT |
405,583 |
GBP 8.19 |
|
Short Swap |
SHORT |
20,928 |
GBP 8.17 |
|
Short Swap |
SHORT |
21,780 |
GBP 8.32 |
|
Short Swap |
SHORT |
30,675 |
GBP 8.29 |
|
Short Swap |
SHORT |
32,870 |
GBP 0.00 |
|
Short Swap |
SHORT |
43,220 |
GBP 0.00 |
|
Short Swap |
SHORT |
279 |
GBP 8.45 |
|
Short Swap |
SHORT |
6,000 |
GBP 8.35 |
|
(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 |
28/10/2008 |
|
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 |
Axon Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
27/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
415,900 |
GBP 6.39 |
GBP 6.35 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
419,757 |
GBP 6.38 |
GBP 6.34 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
4,633 |
GBP 6.39 |
|
Long Swap |
LONG |
678 |
GBP 6.35 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
85 |
GBP 6.38 |
|
Short Swap |
SHORT |
1,322 |
GBP 6.38 |
|
Short Swap |
SHORT |
2,678 |
GBP 6.38 |
|
Short Swap |
SHORT |
5,672 |
GBP 6.38 |
|
(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 |
28/10/2008 |
|
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 |
27/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,025,468 |
GBP 22.75 |
GBP 20.34 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,046,655 |
GBP 22.61 |
GBP 20.20 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
179,180 |
GBP 21.55 |
|
Long Swap |
LONG |
1,800 |
GBP 20.80 |
|
Long Swap |
LONG |
2,000 |
GBP 22.43 |
|
Long Swap |
LONG |
2,997 |
GBP 20.80 |
|
Long Swap |
LONG |
5,500 |
GBP 21.95 |
|
Long Swap |
LONG |
9,500 |
GBP 21.87 |
|
Long Swap |
LONG |
20,972 |
GBP 22.10 |
|
Long Swap |
LONG |
1,385 |
GBP 20.80 |
|
Long Swap |
LONG |
95,786 |
GBP 21.30 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,800 |
GBP 21.95 |
|
Short Swap |
SHORT |
111,723 |
GBP 21.44 |
|
Short Swap |
SHORT |
9,500 |
GBP 21.83 |
|
Short Swap |
SHORT |
9,415 |
GBP 21.36 |
|
Short Swap |
SHORT |
5,500 |
GBP 22.20 |
|
Short Swap |
SHORT |
4,006 |
GBP 22.36 |
|
Short Swap |
SHORT |
2,000 |
GBP 22.68 |
|
Short Swap |
SHORT |
176,719 |
GBP 21.53 |
|
(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 |
28/10/2008 |
|
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 |
Lloyds TSB Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
27/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,704,072 |
GBP 1.83 |
GBP 1.54 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,640,975 |
GBP 1.80 |
GBP 1.55 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
517,035 |
GBP 1.73 |
|
Long Swap |
LONG |
11,500 |
GBP 1.75 |
|
Long Swap |
LONG |
40,296 |
GBP 1.54 |
|
Long Swap |
LONG |
44,813 |
GBP 1.54 |
|
Long Swap |
LONG |
46,162 |
GBP 1.73 |
|
Long Swap |
LONG |
49,121 |
GBP 1.65 |
|
Long Swap |
LONG |
50,782 |
GBP 1.54 |
|
Long Swap |
LONG |
68,697 |
GBP 1.65 |
|
Long Swap |
LONG |
5,000 |
GBP 1.75 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
102,456 |
GBP 1.76 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.76 |
|
Short Swap |
SHORT |
100,000 |
GBP 1.71 |
|
Short Swap |
SHORT |
92,462 |
GBP 1.76 |
|
Short Swap |
SHORT |
85,109 |
GBP 1.54 |
|
Short Swap |
SHORT |
68,697 |
GBP 1.76 |
|
Short Swap |
SHORT |
50,782 |
GBP 1.56 |
|
Short Swap |
SHORT |
43,542 |
GBP 1.76 |
|
Short Swap |
SHORT |
22,900 |
GBP 1.76 |
|
Short Swap |
SHORT |
517,035 |
GBP 1.71 |
|
(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 |
28/10/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Lloyds TSB Group Plc |
|
Nature of connection # |
Advisor |
Related Shares:
BHP GroupLloydsRio Tinto