21st Nov 2008 11:01
|
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 dealings |
Common |
|
being disclosed relate |
|
Date of dealing |
20/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
4,448,980 |
GBP 7.94 |
GBP 7.44 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,727,899 |
GBP 7.96 |
GBP 7.35 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
10,000 |
GBP 7.73 |
|
Long Swap |
LONG |
945 |
GBP 7.63 |
|
Long Swap |
LONG |
68,125 |
GBP 7.86 |
|
Long Swap |
LONG |
43,701 |
GBP 7.62 |
|
Long Swap |
LONG |
42,769 |
GBP 7.79 |
|
Long Swap |
LONG |
34,820 |
GBP 7.77 |
|
Long Swap |
LONG |
22,683 |
GBP 7.67 |
|
Long Swap |
LONG |
18,487 |
GBP 7.83 |
|
Long Swap |
LONG |
14,019 |
GBP 7.69 |
|
Long Swap |
LONG |
90,805 |
GBP 7.62 |
|
Long Swap |
LONG |
10,643 |
GBP 7.83 |
|
Long Swap |
LONG |
355,797 |
GBP 7.75 |
|
Long Swap |
LONG |
9,586 |
GBP 7.77 |
|
Long Swap |
LONG |
8,476 |
GBP 7.69 |
|
Long Swap |
LONG |
6,822 |
GBP 7.77 |
|
Long Swap |
LONG |
3,924 |
GBP 7.63 |
|
Long Swap |
LONG |
3,314 |
GBP 7.76 |
|
Long Swap |
LONG |
3,160 |
GBP 7.60 |
|
Long Swap |
LONG |
3,156 |
GBP 7.77 |
|
Long Swap |
LONG |
2,172 |
GBP 7.83 |
|
Long Swap |
LONG |
2,000 |
GBP 7.54 |
|
Long Swap |
LONG |
11,529 |
GBP 7.77 |
|
Long Swap |
LONG |
456,460 |
GBP 7.77 |
|
Long Swap |
LONG |
954,958 |
GBP 7.69 |
|
Long Swap |
LONG |
75,000 |
GBP 7.63 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
37,754 |
GBP 7.63 |
|
Short Swap |
SHORT |
2,000 |
GBP 7.53 |
|
Short Swap |
SHORT |
3,000 |
GBP 7.87 |
|
Short Swap |
SHORT |
3,156 |
GBP 7.84 |
|
Short Swap |
SHORT |
4,482 |
GBP 7.61 |
|
Short Swap |
SHORT |
7,500 |
GBP 7.87 |
|
Short Swap |
SHORT |
8,897 |
GBP 7.63 |
|
Short Swap |
SHORT |
10,000 |
GBP 7.72 |
|
Short Swap |
SHORT |
11,529 |
GBP 7.84 |
|
Short Swap |
SHORT |
22,683 |
GBP 7.82 |
|
Short Swap |
SHORT |
100 |
GBP 7.42 |
|
Short Swap |
SHORT |
43,701 |
GBP 7.61 |
|
Short Swap |
SHORT |
47,573 |
GBP 7.61 |
|
Short Swap |
SHORT |
75,000 |
GBP 0.00 |
|
Short Swap |
SHORT |
80,855 |
GBP 7.61 |
|
Short Swap |
SHORT |
366,440 |
GBP 7.75 |
|
Short Swap |
SHORT |
456,460 |
GBP 7.78 |
|
Short Swap |
SHORT |
954,958 |
GBP 7.71 |
|
Short Swap |
SHORT |
18,487 |
GBP 7.85 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, |
securities under |
price |
American, |
date |
|
varying etc. |
option |
European etc |
paid/received |
|
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 |
21/11/2008 |
|
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 dealings |
Common |
|
being disclosed relate |
|
Date of dealing |
20/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
12,176 |
GBP 6.43 |
GBP 6.40 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,689 |
GBP 6.42 |
GBP 6.40 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
2,795 |
GBP 6.42 |
|
Long Swap |
LONG |
1,785 |
GBP 6.42 |
|
Long Swap |
LONG |
1,273 |
GBP 6.41 |
|
Long Swap |
LONG |
1,104 |
GBP 6.41 |
|
Long Swap |
LONG |
1,000 |
GBP 6.42 |
|
Long Swap |
LONG |
429 |
GBP 6.42 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
581 |
GBP 6.37 |
|
Short Swap |
SHORT |
1,785 |
GBP 6.42 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, |
securities under |
price |
American, |
date |
|
varying etc. |
option |
European etc |
paid/received |
|
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 |
21/11/2008 |
|
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 dealings |
Common |
|
being disclosed relate |
|
Date of dealing |
20/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
1,420,314 |
GBP 21.78 |
GBP 0.02 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,478,305 |
GBP 21.76 |
GBP 19.87 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,980 |
GBP 20.22 |
|
Long Swap |
LONG |
297,252 |
GBP 20.92 |
|
Long Swap |
LONG |
126,922 |
GBP 20.95 |
|
Long Swap |
LONG |
82,844 |
GBP 20.74 |
|
Long Swap |
LONG |
82,787 |
GBP 20.93 |
|
Long Swap |
LONG |
41,363 |
GBP 20.74 |
|
Long Swap |
LONG |
14,864 |
GBP 21.08 |
|
Long Swap |
LONG |
6,132 |
GBP 20.95 |
|
Long Swap |
LONG |
90 |
GBP 20.66 |
|
Long Swap |
LONG |
3,272 |
GBP 21.28 |
|
Long Swap |
LONG |
1,708 |
GBP 20.95 |
|
Long Swap |
LONG |
1,080 |
GBP 20.22 |
|
Long Swap |
LONG |
930 |
GBP 20.66 |
|
Long Swap |
LONG |
681 |
GBP 20.92 |
|
Long Swap |
LONG |
505 |
GBP 20.92 |
|
Long Swap |
LONG |
488 |
GBP 21.28 |
|
Long Swap |
LONG |
135 |
GBP 20.95 |
|
Long Swap |
LONG |
110 |
GBP 20.95 |
|
Long Swap |
LONG |
4,983 |
GBP 20.93 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
82,787 |
GBP 20.89 |
|
Short Swap |
SHORT |
5,000 |
GBP 20.29 |
|
Short Swap |
SHORT |
135 |
GBP 21.40 |
|
Short Swap |
SHORT |
2,000 |
GBP 20.29 |
|
Short Swap |
SHORT |
3,000 |
GBP 20.29 |
|
Short Swap |
SHORT |
5,000 |
GBP 20.29 |
|
Short Swap |
SHORT |
5,000 |
GBP 20.29 |
|
Short Swap |
SHORT |
5,000 |
GBP 20.29 |
|
Short Swap |
SHORT |
5,000 |
GBP 20.29 |
|
Short Swap |
SHORT |
5,000 |
GBP 20.29 |
|
Short Swap |
SHORT |
301,142 |
GBP 20.96 |
|
Short Swap |
SHORT |
5,000 |
GBP 20.29 |
|
Short Swap |
SHORT |
126,922 |
GBP 21.04 |
|
Short Swap |
SHORT |
8,255 |
GBP 21.31 |
|
Short Swap |
SHORT |
9,891 |
GBP 21.35 |
|
Short Swap |
SHORT |
10,000 |
GBP 20.96 |
|
Short Swap |
SHORT |
10,000 |
GBP 20.29 |
|
Short Swap |
SHORT |
13,752 |
GBP 20.58 |
|
Short Swap |
SHORT |
15,000 |
GBP 20.29 |
|
Short Swap |
SHORT |
41,363 |
GBP 21.35 |
|
Short Swap |
SHORT |
110 |
GBP 21.16 |
|
Short Swap |
SHORT |
5,000 |
GBP 20.29 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, |
securities under |
price |
American, |
date |
|
varying etc. |
option |
European etc |
paid/received |
|
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 |
21/11/2008 |
|
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 dealings |
Common |
|
being disclosed relate |
|
Date of dealing |
20/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
5,860,754 |
GBP 1.33 |
GBP 1.18 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
6,623,643 |
GBP 1.34 |
GBP 1.16 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,302,590 |
GBP 1.26 |
|
Long Swap |
LONG |
10,000 |
GBP 1.31 |
|
Long Swap |
LONG |
12,012 |
GBP 1.32 |
|
Long Swap |
LONG |
28,888 |
GBP 1.32 |
|
Long Swap |
LONG |
40,056 |
GBP 1.17 |
|
Long Swap |
LONG |
45,284 |
GBP 1.17 |
|
Long Swap |
LONG |
49,265 |
GBP 1.17 |
|
Long Swap |
LONG |
78,948 |
GBP 1.21 |
|
Long Swap |
LONG |
85,481 |
GBP 1.25 |
|
Long Swap |
LONG |
100,000 |
GBP 1.26 |
|
Long Swap |
LONG |
5,065 |
GBP 1.21 |
|
Long Swap |
LONG |
419,655 |
GBP 1.25 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
585 |
GBP 1.29 |
|
Short Swap |
SHORT |
872,222 |
GBP 1.24 |
|
Short Swap |
SHORT |
419,655 |
GBP 1.24 |
|
Short Swap |
SHORT |
94,549 |
GBP 1.17 |
|
Short Swap |
SHORT |
83,081 |
GBP 1.26 |
|
Short Swap |
SHORT |
78,948 |
GBP 1.29 |
|
Short Swap |
SHORT |
40,056 |
GBP 1.17 |
|
Short Swap |
SHORT |
20,000 |
GBP 1.32 |
|
Short Swap |
SHORT |
17,430 |
GBP 1.29 |
|
Short Swap |
SHORT |
10,000 |
GBP 1.31 |
|
Short Swap |
SHORT |
1,302,590 |
GBP 1.26 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, |
securities under |
price |
American, |
date |
|
varying etc. |
option |
European etc |
paid/received |
|
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 |
21/11/2008 |
|
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