29th Sep 2008 15:20
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FORM 38.5 (SUMMARY) |
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Lodge with Company Announcements Office and the Panel. Use a separate form for each class of |
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securities in which dealings have been made. |
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CONNECTED EXEMPT PRINCIPLE TRADER: |
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DISCLOSURE UNDER RULE 38.5 OF THE CITY CODE ON TAKEOVERS AND |
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Name of EPT |
Merrill Lynch International |
|
Date of disclosure |
29 September 2008 |
|
Date of dealing |
26 September 2008 |
|
Telephone number |
020 7996 2121 |
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Please see attached disclosure of dealings under Rule 38.5 in the securities of the following |
|
26 September 2008 |
|
HBOS Plc - Common |
|
Banco Santander SA. - Common |
|
Lloyds TSB Group Plc - Common |
|
Rio Tinto Plc - Common |
|
FORM |
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38.5(a) |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
(Rule 38.5 of The City Code on Takeovers and Mergers) |
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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 |
26/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
513,254 |
GBP 39.66 |
GBP 37.05 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
548,290 |
GBP 39.03 |
GBP 37.15 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
136,629 |
GBP 37.75 |
|
Long Swap |
LONG |
5,385 |
GBP 37.65 |
|
Long Swap |
LONG |
1,500 |
GBP 37.06 |
|
Long Swap |
LONG |
600 |
GBP 37.65 |
|
Long Swap |
LONG |
540 |
GBP 37.47 |
|
Long Swap |
LONG |
540 |
GBP 37.47 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
965 |
GBP 37.41 |
|
Short Swap |
SHORT |
1,500 |
GBP 37.41 |
|
Short Swap |
SHORT |
4,451 |
GBP 37.73 |
|
Short Swap |
SHORT |
5,463 |
GBP 37.41 |
|
Short Swap |
SHORT |
5,700 |
GBP 37.58 |
|
Short Swap |
SHORT |
143,988 |
GBP 37.73 |
|
(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 |
-11,200 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
11,200 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
14,000 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Buying |
29,500 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Buying |
78,330 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
2,000,000 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
2,500,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
13,000,000 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Buying |
14,000,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Buying |
11,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Selling |
-29,500 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Selling |
-1,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Selling |
-11,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Selling |
-1,100 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
1,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
3,500,000 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
3,999,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
9,000,000 |
£0.00 |
AMERICAN |
18-Sep-09 |
|
Warrant |
Selling |
-42,050 |
£0.00 |
AMERICAN |
18-Sep-09 |
|
Warrant |
Selling |
-30,000 |
£0.00 |
AMERICAN |
18-Sep-09 |
|
Warrant |
Selling |
-78,330 |
£0.00 |
AMERICAN |
17-Oct-08 |
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(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 |
29/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
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FORM 38.5 |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
(Rule 38.5 of The City Code on Takeovers and Mergers) |
|
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 |
26/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,786,164 |
GBP 2.63 |
GBP 2.49 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,145,191 |
GBP 2.65 |
GBP 2.49 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
133,847 |
GBP 2.60 |
|
Long Swap |
LONG |
3 |
GBP 2.56 |
|
Long Swap |
LONG |
10 |
GBP 2.56 |
|
Long Swap |
LONG |
32 |
GBP 2.56 |
|
Long Swap |
LONG |
5,000 |
GBP 2.52 |
|
Long Swap |
LONG |
8,719 |
GBP 2.63 |
|
Long Swap |
LONG |
30,000 |
GBP 2.53 |
|
Long Swap |
LONG |
30,000 |
GBP 2.55 |
|
Long Swap |
LONG |
50,777 |
GBP 2.58 |
|
Long Swap |
LONG |
65,000 |
GBP 2.53 |
|
Long Swap |
LONG |
73,755 |
GBP 2.58 |
|
Long Swap |
LONG |
1 |
GBP 2.56 |
|
Long Swap |
LONG |
115,906 |
GBP 2.58 |
|
Long Swap |
LONG |
157,662 |
GBP 2.54 |
|
Long Swap |
LONG |
75,000 |
GBP 2.55 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
5,000 |
GBP 2.52 |
|
Short Swap |
SHORT |
166,683 |
GBP 2.57 |
|
Short Swap |
SHORT |
157,662 |
GBP 2.54 |
|
Short Swap |
SHORT |
75,000 |
GBP 2.54 |
|
Short Swap |
SHORT |
73,755 |
GBP 2.59 |
|
Short Swap |
SHORT |
65,000 |
GBP 2.53 |
|
Short Swap |
SHORT |
34,852 |
GBP 2.57 |
|
Short Swap |
SHORT |
30,000 |
GBP 2.53 |
|
Short Swap |
SHORT |
30,000 |
GBP 2.54 |
|
Short Swap |
SHORT |
9,334 |
GBP 2.60 |
|
(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 |
29/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Lloyds TSB Group Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5 |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
(Rule 38.5 of The City Code on Takeovers and Mergers) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
HBOS Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
26/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
15,884,305 |
GBP 1.78 |
GBP 1.73 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
16,188,785 |
GBP 1.82 |
GBP 1.73 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
266,168 |
GBP 1.78 |
|
Long Swap |
LONG |
187,305 |
GBP 1.78 |
|
Long Swap |
LONG |
47,352 |
GBP 1.78 |
|
Long Swap |
LONG |
44,461 |
GBP 1.78 |
|
Long Swap |
LONG |
28,191 |
GBP 1.87 |
|
Long Swap |
LONG |
10,000 |
GBP 1.72 |
|
Long Swap |
LONG |
5,000 |
GBP 1.71 |
|
Long Swap |
LONG |
600 |
GBP 1.75 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
308 |
GBP 1.75 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.73 |
|
Short Swap |
SHORT |
10,000 |
GBP 1.74 |
|
Short Swap |
SHORT |
47,040 |
GBP 1.75 |
|
Short Swap |
SHORT |
146,432 |
GBP 1.75 |
|
Short Swap |
SHORT |
231,766 |
GBP 1.78 |
|
Short Swap |
SHORT |
266,168 |
GBP 1.78 |
|
(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 |
29/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Lloyds TSB Group Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5 |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
(Rule 38.5 of The City Code on Takeovers and Mergers) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Banco Santander SA. |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
26/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
995,761 |
EUR 11.04 |
EUR 10.64 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,123,331 |
EUR 11.03 |
EUR 10.63 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
316,018 |
EUR 10.78 |
|
Long Swap |
LONG |
142,197 |
EUR 10.57 |
|
Long Swap |
LONG |
60,710 |
EUR 10.81 |
|
Long Swap |
LONG |
674 |
EUR 10.97 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,280 |
EUR 10.81 |
|
Short Swap |
SHORT |
2,500 |
EUR 10.91 |
|
Short Swap |
SHORT |
2,560 |
EUR 10.91 |
|
Short Swap |
SHORT |
2,580 |
EUR 10.91 |
|
Short Swap |
SHORT |
5,140 |
EUR 10.91 |
|
Short Swap |
SHORT |
6,512 |
EUR 10.80 |
|
Short Swap |
SHORT |
23,167 |
EUR 10.81 |
|
Short Swap |
SHORT |
24,447 |
EUR 10.81 |
|
Short Swap |
SHORT |
76,417 |
EUR 10.84 |
|
Short Swap |
SHORT |
279,496 |
EUR 10.80 |
|
(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 |
29/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Banco Santander SA. |
|
Nature of connection # |
Advisor |
Related Shares:
Banco SantanderLloydsRio Tinto