17th Oct 2008 11:05
|
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 |
16/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,854,402 |
GBP 9.36 |
GBP 8.00 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
7,524,739 |
GBP 9.22 |
GBP 7.91 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
4,000 |
GBP 8.18 |
|
Long Swap |
LONG |
388,245 |
GBP 8.72 |
|
Long Swap |
LONG |
35,650 |
GBP 8.13 |
|
Long Swap |
LONG |
26,000 |
GBP 8.82 |
|
Long Swap |
LONG |
23,107 |
GBP 8.72 |
|
Long Swap |
LONG |
21,018 |
GBP 8.63 |
|
Long Swap |
LONG |
11,000 |
GBP 8.35 |
|
Long Swap |
LONG |
11,000 |
GBP 8.25 |
|
Long Swap |
LONG |
8,480 |
GBP 8.98 |
|
Long Swap |
LONG |
55 |
GBP 8.76 |
|
Long Swap |
LONG |
6,850 |
GBP 9.13 |
|
Long Swap |
LONG |
25,900,000 |
GBP 10.36 |
|
Long Swap |
LONG |
3,352 |
GBP 8.43 |
|
Long Swap |
LONG |
3,000 |
GBP 8.17 |
|
Long Swap |
LONG |
2,962 |
GBP 8.71 |
|
Long Swap |
LONG |
2,150 |
GBP 8.50 |
|
Long Swap |
LONG |
2,000 |
GBP 8.35 |
|
Long Swap |
LONG |
2,000 |
GBP 8.25 |
|
Long Swap |
LONG |
2,000 |
GBP 8.17 |
|
Long Swap |
LONG |
1,478 |
GBP 8.43 |
|
Long Swap |
LONG |
1,001 |
GBP 8.71 |
|
Long Swap |
LONG |
7,200 |
GBP 8.70 |
|
Long Swap |
LONG |
1,124,653 |
GBP 8.73 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
11,000 |
GBP 8.37 |
|
Short Swap |
SHORT |
1,478 |
GBP 8.41 |
|
Short Swap |
SHORT |
2,000 |
GBP 8.37 |
|
Short Swap |
SHORT |
2,000 |
GBP 8.28 |
|
Short Swap |
SHORT |
2,150 |
GBP 8.41 |
|
Short Swap |
SHORT |
2,962 |
GBP 8.86 |
|
Short Swap |
SHORT |
3,352 |
GBP 8.31 |
|
Short Swap |
SHORT |
4,000 |
GBP 8.25 |
|
Short Swap |
SHORT |
6,850 |
GBP 8.96 |
|
Short Swap |
SHORT |
7,200 |
GBP 8.96 |
|
Short Swap |
SHORT |
1,124,653 |
GBP 8.73 |
|
Short Swap |
SHORT |
10,313 |
GBP 8.73 |
|
Short Swap |
SHORT |
11,000 |
GBP 8.28 |
|
Short Swap |
SHORT |
12,489 |
GBP 8.67 |
|
Short Swap |
SHORT |
26,110 |
GBP 8.88 |
|
Short Swap |
SHORT |
28,000 |
GBP 8.78 |
|
Short Swap |
SHORT |
28,419 |
GBP 8.97 |
|
Short Swap |
SHORT |
31,872 |
GBP 8.97 |
|
Short Swap |
SHORT |
52,193 |
GBP 8.97 |
|
Short Swap |
SHORT |
388,245 |
GBP 8.73 |
|
Short Swap |
SHORT |
1,000 |
GBP 8.86 |
|
Short Swap |
SHORT |
9,010 |
GBP 8.15 |
|
(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 |
17/10/2008 |
|
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 |
16/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
26,558 |
GBP 6.28 |
GBP 6.26 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
17,726 |
GBP 6.26 |
GBP 6.26 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,821 |
GBP 6.28 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,350 |
GBP 6.25 |
|
Short Swap |
SHORT |
2,000 |
GBP 6.27 |
|
Short Swap |
SHORT |
2,000 |
GBP 6.27 |
|
(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 |
17/10/2008 |
|
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 |
16/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,510,859 |
GBP 23.91 |
GBP 19.98 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,505,694 |
GBP 23.87 |
GBP 19.85 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
473,893 |
GBP 22.20 |
|
Long Swap |
LONG |
1,356 |
GBP 22.92 |
|
Long Swap |
LONG |
1,980 |
GBP 22.92 |
|
Long Swap |
LONG |
2,110 |
GBP 21.92 |
|
Long Swap |
LONG |
2,500 |
GBP 22.84 |
|
Long Swap |
LONG |
5,380 |
GBP 22.62 |
|
Long Swap |
LONG |
6,704 |
GBP 22.04 |
|
Long Swap |
LONG |
11,170 |
GBP 22.04 |
|
Long Swap |
LONG |
138,969 |
GBP 22.02 |
|
Long Swap |
LONG |
6 |
GBP 22.53 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
146,042 |
GBP 21.93 |
|
Short Swap |
SHORT |
620 |
GBP 22.20 |
|
Short Swap |
SHORT |
25,078 |
GBP 22.57 |
|
Short Swap |
SHORT |
6,704 |
GBP 22.57 |
|
Short Swap |
SHORT |
4,760 |
GBP 22.80 |
|
Short Swap |
SHORT |
3,940 |
GBP 23.02 |
|
Short Swap |
SHORT |
3,217 |
GBP 22.57 |
|
Short Swap |
SHORT |
2,744 |
GBP 22.57 |
|
Short Swap |
SHORT |
2,500 |
GBP 22.80 |
|
Short Swap |
SHORT |
1,980 |
GBP 22.43 |
|
Short Swap |
SHORT |
1,684 |
GBP 22.43 |
|
Short Swap |
SHORT |
473,893 |
GBP 22.14 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry date |
Option |
|
selling, |
securities under |
price |
American, |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
Warrant |
Selling |
-5,000 |
£0.06 |
AMERICAN |
17-Apr-09 |
|
(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 |
17/10/2008 |
|
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 |
16/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,950,661 |
GBP 2.80 |
GBP 1.45 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,182,243 |
GBP 1.58 |
GBP 1.45 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
108,719 |
GBP 1.52 |
|
Long Swap |
LONG |
3 |
GBP 1.54 |
|
Long Swap |
LONG |
12 |
GBP 1.54 |
|
Long Swap |
LONG |
40 |
GBP 1.54 |
|
Long Swap |
LONG |
4,798 |
GBP 1.54 |
|
Long Swap |
LONG |
10,000 |
GBP 1.49 |
|
Long Swap |
LONG |
25,000 |
GBP 1.56 |
|
Long Swap |
LONG |
1 |
GBP 1.54 |
|
Long Swap |
LONG |
97,892 |
GBP 1.54 |
|
Long Swap |
LONG |
59,344 |
GBP 1.54 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
4,798 |
GBP 1.53 |
|
Short Swap |
SHORT |
329,502 |
GBP 1.52 |
|
Short Swap |
SHORT |
102,249 |
GBP 1.52 |
|
Short Swap |
SHORT |
97,816 |
GBP 1.53 |
|
Short Swap |
SHORT |
60,769 |
GBP 1.52 |
|
Short Swap |
SHORT |
59,344 |
GBP 1.55 |
|
Short Swap |
SHORT |
25,000 |
GBP 1.57 |
|
Short Swap |
SHORT |
10,000 |
GBP 1.50 |
|
(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 |
17/10/2008 |
|
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