21st Nov 2008 11:22
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 | BHP Billiton Plc | |
| Class of relevant security to which the dealings being disclosed relate (Note 1) | ORD 0.50 USD | |
| Date of dealing | 20 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 | 2,516,746 | 0.1140% | 91,192 | 0.0041% | |||||
| (2) Derivatives (other than options) | 0 | 0.0000% | 80,512 | 0.0036% | |||||
| (3) Options and agreements to purchase/sell | 200,000 | 0.0091% | 1,000 | 0.0000% | |||||
| Total | 3,327,417 | 0.1508% | 145,082 | 0.0066% | |||||
(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 TOTAL
Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale TOTAL | 1,500 2,875 30,000 8,000 1,500 463 3,121 3,781 13,936 4,686 6,078 559 676 77,175
1,500 274,359 2,875 3,801 10,639 5,000 560 1,000 1,000 2,000 685 543 3,134 1,517 1,712 2,350 1,781 182,906 33,300 182,906 713,568 | 7.5000 GBP 7.5350 GBP 7.6000 GBP 7.7000 GBP 7.8050 GBP 7.8300 GBP 7.8350 GBP 7.8400 GBP 7.8450 GBP 7.8500 GBP 7.8550 GBP 7.8600 GBP 7.8650 GBP
7.5000 GBP 7.5100 GBP 7.5350 GBP 7.5400 GBP 7.5450 GBP 7.5500 GBP 7.5600 GBP 7.6050 GBP 7.6200 GBP 7.7000 GBP 7.7600 GBP 7.7650 GBP 7.7700 GBP 7.7750 GBP 7.7800 GBP 7.7850 GBP 7.7900 GBP 7.8200 GBP 7.8465 GBP 7.8700 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 Put Warrant | Short | 2000 | 1.1100 EUR | ||||
| Jun 2009 Call Warrant | Long | 300 | 0.0800 EUR | ||||
| Jun 2009 Call Warrant | Short | 200 | 0.0900 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 | 21 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 2010 Call Option | Purchased | 100,000 | 16.3500 GBP | Euro | 17-Dec-10 | ||||||
| Dec 2010 Put Option | Written | 100,000 | 16.3500 GBP | Euro | 17-Dec-10 | ||||||
| Oct 2008 Call Option | Purchased | 75,000 | 16.0000 GBP | American | 17-Oct-08 | ||||||
| June 2009 Put Option | Purchased | 1,000 | 12.000 GBP | American | 19-Jun-09 |
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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BHP Group