26th Nov 2008 15:59
FORM 38.5(b)
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 | ABN AMRO BANK N.V. London Branch (Subsidiary of RFS Holding N.V.) | |
| Company dealt in | Rio Tinto Plc | |
| Class of relevant security to which the dealings being disclosed relate (Note 1) | ORD GBP 0.10 | |
| Date of dealing | 24 November 2008 |
2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE
(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2)
|
| Long | Short | ||||||
|
| Number | (%) | Number | (%) | ||||
| (1) Relevant securities | 834,533 | 0.0836% | 10,237 | 0.0005% | ||||
| (2) Derivatives (other than options) | 3,546 | 0.0004% | 56,201 | 0.0056% | ||||
| (3) Options and agreements to purchase/sell | 414,022 | 0.0415% | 376,000 | 0.0377% | ||||
| Total | 1,252,101 | 0.1255% | 442,438 | 0.0438% | ||||
(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 | 0 | 0% | 0 | 0% | ||||
| (2) Derivatives (other than options) | 0 | 0% | 0 | 0% | ||||
| (3) Options and agreements to purchase/sell | 0 | 0% | 0 | 0% | ||||
| Total | 0 | 0% | 0 | 0% | ||||
(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) | ||
| Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase TOTAL
Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale TOTAL | 936 348 316 801 308 453 356 800 9 17,004 64,908 3,592 334 789 90,954
167 392 207 187 206 661 1,011 180 926 2,709 179 385 809 1,611 179 179 206 389 206 390 392 373 388 387 559 974 738 267 272 285 558 282 278 287 273 280 385 393 375 399 78,712 5,000 334 160 103,530 | 22.3100 GBP 22.3300 GBP 22.3400 GBP 22.3500 GBP 22.3700 GBP 22.3800 GBP 22.3900 GBP 22.4000 GBP 22.4400 GBP 23.1693 GBP 24.5000 GBP 24.5100 GBP 24.5200 GBP 24.5300 GBP
22.1300 GBP 22.1600 GBP 22.1800 GBP 22.1900 GBP 22.2200 GBP 22.2800 GBP 22.2900 GBP 22.3000 GBP 22.3200 GBP 22.3347 GBP 22.3500 GBP 22.3800 GBP 22.3844 GBP 22.4000 GBP 22.4100 GBP 22.4400 GBP 22.4700 GBP 22.5800 GBP 22.6800 GBP 22.7000 GBP 22.7500 GBP 22.7900 GBP 22.8100 GBP 22.8300 GBP 23.0300 GBP 23.0400 GBP 23.0600 GBP 23.2800 GBP 23.7700 GBP 23.7800 GBP 23.8200 GBP 23.9300 GBP 23.9800 GBP 23.9900 GBP 24.0100 GBP 24.1800 GBP 24.2300 GBP 24.3100 GBP 24.3700 GBP 24.4600 GBP 24.5000 GBP 24.5133 GBP 24.5300 GBP 24.6400 GBP |
(b) Derivatives transactions (other than options)
| Product name, e.g. CFD | Long/short (Note 5) | Number of securities (Note 6) | Price per unit (Note 4) | |||
| Dec 2008 Call Warrant | Long | 250 | 0.0020 EUR |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
| Product name, e.g. call option | Writing, selling, purchasing, varying etc. | Number of securities to which the option relates (Note 6) | Exercise price | Type, e.g. American, European etc. | Expiry Date | Option money paid/received per unit (Note 4) |
(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 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. |
Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO
| Date of disclosure | 25 November 2008 | |
| Contact name | Fraser Wyeth | |
| Telephone number | +44 (0) 20 7678 0480 | |
| Name of offeree/offeror with which connected | Rio Tinto | |
| Nature of connection (Note 9) | Advisor |
Notes
The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk
SUPPLEMENTAL FORM 8
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 8.1, Form 8.1(b)(ii) or Form 8.3, as appropriate)
OPEN POSITIONS (Note 1)
| Product name, e.g. call option | Written or purchased | Number of securities to which the option or derivative relates | Exercise price (Note 2) | Type, e.g. American, European etc. | Expiry date | |||||
| Dec 2008 Put Option | Written | 1,022 | 30.3400 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Purchased | 150,000 | 38.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Purchased | 10,000 | 40.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Purchased | 1,000 | 44.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Call Option | Purchased | 1,000 | 48.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Written | 6,000 | 48.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Call Option | Purchased | 48,000 | 52.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Written | 3,000 | 52.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Call Option | Written | 58,000 | 56.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Written | 3,000 | 56.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Call Option | Written | 2,000 | 72.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2009 Put Option | Purchase | 1,000 | 40.0000 GBP | American | 18-Dec-09 | |||||
| June 2009 Call Option | Purchase | 29,000 | 48.0000 GBP | American | 19-Jun-09 | |||||
| June 2009 Put Option | Written | 10,000 | 48.0000 GBP | American | 19-Jun-09 | |||||
| June 2009 Call Option | Written | 4,000 | 56.0000 GBP | American | 19-Jun-09 | |||||
| June 2009 Put Option | Written | 13,000 | 56.0000 GBP | American | 19-Jun-09 | |||||
| Dec 2008 Call Option | Written | 75,000 | 52.0000 GBP | European | 19-Dec-08 | |||||
| Dec 2010 Put Option | Purchase | 75,000 | 56.0000 GBP | European | 17-Dec-10 | |||||
| Dec 2008 Put Option | Written | 150,000 | 38.0000 GBP | European | 19-Dec-08 | |||||
| Dec 2008 Call Option | Purchase | 150,000 | 60.0000 GBP | European | 19-Dec-08 |
Notes
1. Where there are open option positions or open derivative positions (except for CFDs), full details should be given. Full details of any existing agreements 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 Rule 8 and its Notes which can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk
Copyright Business Wire 2008
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Rio Tinto