30th Sep 2008 17:27
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 \* TName 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 ORD GBP 0.10 dealings being disclosed relate (Note 1)---------------------------------------------------------------------------------------------------------Date of dealing 29 September 2008---------------------------------------------------------------------------------------------------------\* T 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class of relevantsecurity dealt in (Note 2) \* T Long Short------------------------------------ ----------------------------------- ------------------------------------- Number (%) Number (%)------------------------------------ ----------------- ----------------- ----------------- -------------------(1) Relevant securities 1,599,090 (0.1602%) 13,484 (0.0014%)------------------------------------ ----------------- ----------------- ----------------- -------------------(2) Derivatives (other than options) 1 (0.0000%) 123,429 (0.0124%)------------------------------------ ----------------- ----------------- ----------------- -------------------(3) Options and agreements to purchase/sell 535,022 (0.0536%) 626,000 (0.0627%)------------------------------------ ----------------- ----------------- ----------------- -------------------Total 2,134,113 (0.2138%) 762,913 (0.0765%)------------------------------------ ----------------- ----------------- ----------------- -------------------\* T (b) Interests and short positions in relevant securities of the company, otherthan the class dealt in (Note 2) \* T 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%)----------------------------------------------------------------------------------------------------------\* T (c) Rights to subscribe (Note 2) \* TClass of relevant security: Details---------------------------------------------------------------------------------------------------------\* T 3. DEALINGS (Note 3) (a) Purchases and sales \* TPurchase/sale Number of securities Price per unit (Note 4)----------------------------------- ---------------------------------- ------------------------------------Purchase 8,699 33.1000 GBPPurchase 253 33.1100 GBPPurchase 221 33.1200 GBPPurchase 1,328 33.1300 GBPPurchase 158 33.1400 GBPPurchase 1,519 33.1500 GBPPurchase 3,078 33.1600 GBPPurchase 2,228 33.1700 GBPPurchase 3,060 33.1800 GBPPurchase 1,867 33.1900 GBPPurchase 323 33.2000 GBPPurchase 482 33.2100 GBPPurchase 3,321 33.2200 GBPPurchase 2,705 33.2300 GBPPurchase 125 33.2400 GBPPurchase 470 33.2500 GBPPurchase 112 33.2600 GBPPurchase 2,000 33.8300 GBPPurchase 125,702 34.6200 GBPPurchase 41,901 34.7500 GBPPurchase 1,068 34.7700 GBPPurchase 432 34.7800 GBPPurchase 3,200 34.8410 GBPPurchase 200 34.9800 GBPPurchase 100 34.9900 GBPPurchase 414 35.0000 GBPPurchase 1,600 35.0200 GBPPurchase 2,186 35.1000 GBPPurchase 360 36.4200 GBPPurchase 16,392 37.0500 GBPTOTAL 225,504 Sale 1,500 33.0200 GBPSale 29,515 33.1000 GBPSale 20,000 33.1837 GBPSale 3,000 33.3200 GBPSale 3,000 34.6100 GBPSale 506 34.7900 GBPSale 238 34.8000 GBPSale 510 34.8100 GBPSale 182 34.8200 GBPSale 533 34.8300 GBPSale 309 34.8400 GBPSale 2,900 34.8500 GBPSale 236 34.8600 GBPSale 341 34.8800 GBPSale 2 34.9200 GBPSale 150 34.9300 GBPSale 293 34.9500 GBPSale 360 36.4200 GBPSale 16,392 37.0500 GBPTOTAL 79,967----------------------------------- ---------------------------------- ------------------------------------\* T (b) Derivatives transactions (other than options) \* TProduct name, Long/short (Note 5) Number of securities (Note 6) Price per unit (Note 4)e.g. CFD---------------------- --------------------- -------------------------------- -----------------------------Dec 2009 Put Warrant Short 200 0.7100 EUR---------------------- --------------------- -------------------------------- -----------------------------Dec 2009 Call Warrant Short 5,000 0.2000 EUR---------------------- --------------------- -------------------------------- -----------------------------Dec 2009 Call Warrant Short 5,000 0.5600 EUR---------------------- --------------------- -------------------------------- -----------------------------Dec 2009 Call Warrant Short 1,500 0.5400 EUR---------------------- --------------------- -------------------------------- -----------------------------Dec 2009 Call Warrant Short 5,000 0.5000 EUR---------------------- --------------------- -------------------------------- -----------------------------Dec 2009 Call Warrant Short 300 0.2000 EUR---------------------- --------------------- -------------------------------- -----------------------------\* T (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying \* TProduct name, Writing, Number of Exercise Type, e.g. Expiry Option moneye.g. call option selling, securities to price American, date paid/received purchasing, which the European etc. per unit (Note varying etc. option relates 4) (Note 6)--------------------------------------------------------------------------------------------------------\* T (ii) Exercising \* TProduct name, e.g. call option Number of securities Exercise price per unit (Note 4)---------------------------------------------------------------------------------------------------------\* T (d) Other dealings (including new securities) (Note 3) \* TNature of transaction (Note 7) Details Price per unit (if applicable) (Note 4)---------------------------------------------------------------------------------------------------------\* T 4. OTHER INFORMATION Agreements, arrangements or understandings relating to options or derivatives \* TFull 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.---------------------------------------------------------------------------------------------------------\* T Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO \* TDate of disclosure 30 September 2008---------------------------------------------------------------------------------------------------------Contact name Fraser Wyeth---------------------------------------------------------------------------------------------------------Telephone number +44 (0) 20 7678 0480---------------------------------------------------------------------------------------------------------Name of offeree/offeror with which connected Rio Tinto Plc---------------------------------------------------------------------------------------------------------Nature of connection (Note 9) Advisor---------------------------------------------------------------------------------------------------------\* T Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website atwww.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) \* TProduct name, Written or Number of Exercise price Type, e.g. Expiry datee.g. call option purchased securities to (Note 2) American, which the option European or derivative etc. relates------------------------ ------------- ----------------- --------------- ------------- ---------------------Dec 2008 Put Option Written 1,022 30.3400 GBP American 19-Dec-08------------------------ ------------- ----------------- --------------- ------------- ---------------------Dec 2008 Put Option Purchased 150 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 10,000 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 12,000 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 75,000 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 14,000 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------------------------ ------------- ----------------- --------------- ------------- ---------------------Dec 2008 Put Option Purchase 250,000 27.0000 GBP European 19-Dec-08------------------------ ------------- ----------------- --------------- ------------- ---------------------Oct 2008 Call Option Purchase 35,000 48.0000 GBP American 17-Oct-08------------------------ ------------- ----------------- --------------- ------------- ---------------------\* T Notes 1. Where there are open option positions or open derivative positions (exceptfor CFDs), full details should be given. Full details of any existing agreementsto 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 itsNotes which can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk Copyright Business Wire 2008Related Shares:
Rio Tinto