27th Nov 2007 13:29
Citigroup GM Australia Pty Ltd27 November 2007 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 Citigroup Global Markets Australia Pty Limited Company dealt in Rio Tinto Ltd Class of relevant security to which the Ord/Equitydealings being disclosed relate (Note 1) Date of dealing 26 November 2007 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class ofrelevant security dealt in (Note 2) Long Short Number (%) Number (%) (1) Relevant securities 426,043 (0.09%) 537,855 (0.12%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell 2,952,833 (0.65%) 3,730,120 (0.82%) Total 3,378,876 (0.74%) 4,267,975 (0.94%) (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 Convertible Number (%) Number (%) (1) Relevant securities (0.00%) (0.00%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell (0.00%) (0.00%) Total (0.00%) (0.00%) (c) Rights to subscribe (Note 2) Class of relevant security: Details 3. DEALINGS (Note 3) (a) Purchases and sales Purchase Number of securities Price per unit (Note 4) AUD (unless stated) 116000 128.77 6459 138.00 5000 136.59 5000 138.00 2340 138.00 2235 138.00 1945 138.00 1100 137.67 1017 136.59 939 136.59 733 136.59 609 138.00 500 136.59 500 136.59 397 138.00 366 138.00 289 136.59 274 138.00 200 137.66 191 136.59 189 138.00 81 138.41 78 137.99 72 136.59 27 138.51 27 138.51 9 136.59 3 136.15 1 136.04 1 136.04 1 136.04 1 136.24 1 136.29 1 136.29 1 137.65 1 137.65 1 137.60 1 138.00 1 137.25 1 137.24 1 137.24 1 137.26 1 137.23 1 138.56 1 138.31 1 138.45 1 138.45 1 138.45 1 138.52 1 138.52Total 146,602 Sales Number of securities Price per unit (Note 4) AUD (unless stated) -1 136.05 -1 136.05 -1 136.05 -1 136.25 -1 136.26 -1 136.26 -1 137.61 -1 137.61 -1 137.61 -1 138.00 -1 137.25 -1 137.25 -1 137.25 -1 137.25 -1 137.25 -1 138.56 -1 138.24 -1 138.42 -1 138.42 -1 138.43 -1 138.53 -1 138.52 -3 136.05 -4 135.98 -6 137.26 -6 138.40 -7 138.51 -10 137.39 -20 137.29 -20 138.51 -21 137.26 -25 137.50 -27 135.96 -27 138.51 -28 136.04 -30 137.63 -42 136.50 -49 135.60 -68 137.50 -69 137.50 -70 137.63 -73 135.91 -75 138.40 -77 137.27 -78 137.25 -80 137.50 -85 137.50 -98 137.29 -100 135.96 -100 137.63 -100 137.63 -118 136.15 -123 137.27 -130 138.67 -138 136.50 -178 136.16 -179 137.26 -180 136.50 -180 137.29 -184 136.83 -190 135.88 -190 137.39 -194 137.26 -200 135.91 -200 136.59 -224 137.30 -260 136.16 -277 136.50 -317 137.63 -322 136.16 -374 137.26 -390 135.73 -500 137.50 -510 137.38 -512 137.26 -520 137.84 -582 136.50 -632 136.15 -653 135.96 -701 137.29 -723 135.98 -749 137.35 -850 135.88 -937 137.40 -1000 136.16 -1000 137.45 -1012 136.04 -1235 138.00 -1265 138.00 -1500 137.39 -1513 137.63 -1563 137.40 -1710 138.00 -1890 137.50 -2781 136.50 -2951 135.60 -5000 137.50Total 38,257 (b) Derivatives transactions (other than options) Product name, Long/short (Note 5) Number of securities (Note 6) Price per unit (Note 4) e.g. CFD (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product name, Writing, Number of Exercise Type, e.g. Expiry Option money selling, securities to American,e.g. call option purchasing, which the option Price (AUD) European etc. date paid/received varying etc. relates (Note 6) per unit (AUD)(C = call (Note 4)option; P = put option) C purchasing 120000 115.00 E 27-Feb-08 6.27 C purchasing 20000 124.00 E 27-Feb-08 3.58 C purchasing 16000 120.00 E 19-Dec-07 4.25 C purchasing 16000 124.00 E 27-Feb-08 3.53 C purchasing 16000 124.00 E 27-Feb-08 3.58 C purchasing 12000 124.00 E 27-Feb-08 3.51 C purchasing 8000 110.00 E 27-Feb-08 7.60 C purchasing 6000 120.00 E 19-Dec-07 4.26 C purchasing 4000 124.00 E 27-Feb-08 3.58 C purchasing 2840 124.00 E 27-Feb-08 3.75 C purchasing 2500 80.00 A 20-Dec-07 58.54 C purchasing 2000 120.00 E 19-Dec-07 4.72 C purchasing 2000 124.00 E 27-Feb-08 4.24 C purchasing 1500 60.00 A 29-Nov-07 77.30 C purchasing 886 60.00 A 29-Nov-07 77.30 C purchasing 799 60.00 A 29-Nov-07 77.30 C purchasing 749 60.00 A 29-Nov-07 77.30 C purchasing 727 80.00 A 20-Dec-07 56.55 C purchasing 510 60.00 A 29-Nov-07 77.30 C purchasing 273 80.00 A 20-Dec-07 56.34 C purchasing 224 60.00 A 29-Nov-07 77.30 C purchasing 200 60.00 A 29-Nov-07 76.54 C purchasing 200 60.00 A 29-Nov-07 77.30 C purchasing 200 60.00 A 29-Nov-07 77.30 C purchasing 200 60.00 A 29-Nov-07 77.30 C purchasing 200 60.00 A 29-Nov-07 77.30 C purchasing 200 60.00 A 29-Nov-07 77.28 C selling -1750 80.00 A 20-Dec-07 57.17 C selling -20000 124.00 E 27-Feb-08 3.99 C selling -120000 115.00 E 27-Feb-08 6.06 (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 relatingto the voting rights of any relevant securities under any option referred to on this form or relating to the votingrights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form isreferenced. If none, this should be stated. Is a Supplemental Form 38.5(b) attached? (Note 8) YES Date of disclosure 27 November 2007 Contact name Pavla Trskova Telephone number 02890 409544 Name of offeree/offeror with which connected BHP Billiton plcNature of connection (Note 9) Corporate Broker/Financial Advisor Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk SUPPLEMENTAL FORM 38.5(b) DETAILS OF OPEN POSITIONS (This form should be attached to Form 38.5(b)) OPEN POSITIONS (Note 1) Product name, Written or Number of Exercise price Type, e.g. Expiry date purchased securities to which (Note 2) American, Europeane.g. call option the option or etc. derivative relates P Option written 300000 112 A 24-Jan-08 P Option written 200000 88 A 27-Mar-08 P Option written 196200 96 E 20-Dec-07 P Option written 163200 100 E 20-Dec-07 P Option written 148000 90 A 20-Dec-07 P Option written 125000 108 A 20-Dec-07 C Option purchased 123000 135 A 20-Dec-07 C Option purchased 111000 94 A 29-Nov-07 C Option purchased 100000 116 A 29-Nov-07 P Option written 100000 90 A 27-Mar-08 C Option purchased 100000 92 A 29-Nov-07 P Option written 90000 110 E 20-Dec-07 P Option written 87000 87 A 29-Nov-07 P Option written 80000 112 A 29-Nov-07 C Option purchased 75000 116 A 20-Dec-07 C Option purchased 67000 108 A 20-Dec-07 C Option purchased 65000 112 A 27-Mar-08 P Option written 57000 110 A 20-Dec-07 P Option written 55000 104 A 20-Dec-07 P Option written 54000 108 A 29-Nov-07 C Option purchased 53000 108 A 29-Nov-07 P Option written 50979 56.15 A 11-Oct-10 P Option written 50000 66 A 20-Dec-07 C Option purchased 50000 94 A 20-Dec-07 P Option written 50000 87 A 20-Dec-07 C Option purchased 49000 104 A 29-Nov-07 P Option written 40000 74.25 E 27-Jul-11 P Option written 30588 56.03 E 3-Nov-08 C Option purchased 25000 100 A 20-Dec-07 C Option purchased 25000 110 A 29-Nov-07 C Option purchased 23000 96 A 20-Dec-07 C Option purchased 22000 100 A 20-Dec-07 C Option purchased 14000 102 A 29-Nov-07 P Option written 14000 96 A 29-Nov-07 P Option written 10000 106 A 20-Dec-07 C Option purchased 9000 98 A 29-Nov-07 P Option written 7517 116.82 A 11-Jul-12 P Option written 6789 94.91 A 23-Jun-11 P Option written 6646 37.61 E 1-Oct-09 P Option written 6415 77.94 E 19-Feb-10 P Option written 6268 88.6 A 27-Mar-12 C Option purchased 6000 119.66 A 24-Jan-08 P Option written 5906 119.75 A 28-Jun-12 P Option written 5780 109.19 A 30-May-12 P Option written 5608 92.64 A 24-Jun-11 C Option purchased 5000 100 A 29-Nov-07 P Option written 5000 107.89 A 24-Jan-08 C Option purchased 5000 116 A 20-Dec-07 P Option written 4886 97.27 A 28-Aug-12 P Option written 4420 88.07 A 23-Jun-11 P Option written 4320 99.12 A 25-Apr-12 C Option purchased 4000 96 A 29-Nov-07 P Option written 3828 115.61 A 13-Jun-12 P Option written 3801 96.12 A 23-Jun-11 P Option written 3105 99.8 A 28-Apr-11 C Option purchased 3000 112 A 29-Nov-07 P Option written 2994 85.04 A 28-Mar-11 P Option written 2862 119 A 11-Jul-12 P Option written 2591 38.58 E 1-Dec-09 P Option written 2269 44.08 E 30-Jun-08 P Option written 2248 73.85 A 29-Dec-10 P Option written 2024 98.79 E 29-Jun-10 C Option purchased 2000 78.46 A 24-Sep-09 P Option written 1976 160.93 A 28-Nov-12 P Option written 1370 85.07 A 28-Feb-11 P Option written 1273 78.5 E 30-Jun-11 P Option written 1188 105.3 A 23-May-11 P Option written 1152 43.37 E 28-Jun-10 P Option written 1152 43.37 E 28-Jun-10 P Option written 1132 83.22 A 7-Oct-11 P Option written 1037 43.37 E 27-Jun-08 C Option purchased 1000 106 A 26-Jun-08 P Option written 869 89.44 A 7-Feb-11 P Option written 765 43.96 E 30-Jun-08 P Option written 700 103.7 A 15-May-12 P Option written 561 89 E 9-Aug-10 P Option written 514 77.8 E 30-Jun-09 P Option written 464 95.75 E 29-Jun-10 P Option written 454 44.08 E 30-Jun-08 P Option written 405 98.1 A 25-Jun-10 P Option written 392 131.14 A 11-Oct-12 P Option written 388 77.2 E 27-Jun-11 P Option written 337 29.61 E 25-Jun-08 P Option written 332 75.22 E 24-May-10 P Option written 302 82.55 E 17-May-10 P Option written 290 95.75 E 28-Jun-10 P Option written 266 94.08 A 28-Jul-11 P Option written 254 78.6 E 7-Jul-11 P Option written 236 84.55 E 9-May-11 P Option written 208 95.7 E 5-Sep-12 P Option written 208 95.7 E 5-Sep-12 P Option written 203 98.22 E 12-Sep-12 P Option written 203 98.22 E 12-Sep-12 P Option written 191 78.5 E 30-Jun-11 P Option written 191 78.5 E 30-Jun-11 P Option written 159 94.02 A 28-Jul-11 P Option written 141 93.6 A 28-Jul-11 P Option written 138 72.57 E 21-Jan-08 P Option written 138 92.66 A 28-Jul-11 P Option purchased -203 98.22 E 12-Sep-12 P Option purchased -208 95.7 E 5-Sep-12 C IWarrant written -500 80 A 20-Dec-07 C IWarrant written -570 100 A 27-Mar-08 C Barrier written -800 100 E 28-Nov-07 C Option written -1000 105.01 E 20-Dec-07 C Option written -1000 125 A 20-Dec-07 P Option purchased -1000 94 A 26-Jun-08 P Option purchased -2000 106 A 29-Nov-07 C Option written -2000 107.89 A 24-Jan-08 P Option purchased -2000 77 A 22-Dec-11 P Option purchased -2000 90 A 29-Nov-07 C IWarrant written -2492 60 A 29-Nov-07 C IWarrant written -2700 59 A 23-Apr-08 C SFIWarrant written -3428 54.39 A 28-Jun-12 C IWarrant written -4500 70 A 27-Mar-08 C IWarrant written -4770 42.5 A 23-Jun-08 P Option purchased -5000 68 A 23-Dec-10 C Option written -5000 90 A 20-Dec-07 C IWarrant written -5149 64 A 19-Jun-09 C Barrier written -8000 120 E 19-Dec-07 P Option purchased -8000 100 A 20-Dec-07 P Option purchased -8000 98 A 29-Nov-07 C Barrier written -8800 110 E 27-Feb-08 P Option purchased -10000 130 A 27-Mar-08 P Option purchased -10000 82 A 20-Dec-07 P Option purchased -14000 102 A 29-Nov-07 P Option purchased -15000 80 A 27-Mar-08 P Option purchased -16000 114 A 29-Nov-07 C Option written -18000 106 A 20-Dec-07 P Option purchased -18000 74 A 26-Jun-08 P Option purchased -20000 112 A 20-Dec-07 C Option written -20000 114 A 29-Nov-07 C Option written -23000 90 A 20-Dec-07 P Option purchased -23000 90 A 20-Dec-07 P Option purchased -23000 92 A 20-Dec-07 C Option written -25000 115.73 A 24-Jan-08 C Option written -25000 118 A 20-Dec-07 C Option written -25000 120 A 29-Nov-07 P Option purchased -26000 100 A 29-Nov-07 P Option purchased -26000 104 A 29-Nov-07 C Barrier written -30000 124 E 27-Feb-08 C Option written -30000 104 A 20-Dec-07 C Option written -32000 112 A 20-Dec-07 C Option written -33000 85 A 22-Dec-11 C Option written -34000 102 A 20-Dec-07 C Option written -35000 106 A 29-Nov-07 P Option purchased -44000 72 A 18-Dec-08 P Option purchased -46000 119.66 A 24-Jan-08 C Option written -48000 114 A 20-Dec-07 P Option purchased -48000 96 A 20-Dec-07 C Option written -50000 122 A 18-Dec-08 C Option written -50000 87 A 20-Dec-07 C Barrier written -58000 96 E 19-Dec-07 P Option purchased -60000 80 A 22-Dec-11 C Option written -65000 118 A 29-Nov-07 P Option purchased -73000 94 A 20-Dec-07 C Option written -75000 56.89 A 24-Sep-09 P Option purchased -76000 75 A 22-Dec-11 P Option purchased -87000 88 A 20-Dec-07 P Option purchased -93000 100 A 27-Mar-08 P Option purchased -95000 102 A 20-Dec-07 P Option purchased -96000 110 A 29-Nov-07 C Option written -99000 110 A 20-Dec-07 C Option written -100000 104 A 27-Mar-08 P Option purchased -100000 110 A 27-Mar-08 C Option written -100000 112 A 24-Jan-08 P Option purchased -100000 84 A 27-Mar-08 P Option purchased -100000 94 A 27-Mar-08 P Option purchased -100000 96 A 27-Mar-08 C Option written -100000 87 A 20-Dec-07 P Option purchased -112000 68.66 A 24-Sep-09 C Option written -145000 90 A 26-Jun-08 C Barrier written -200000 90 E 19-Dec-07 P Option purchased -242000 78.46 A 24-Sep-09 C Option written -258000 120 E 20-Dec-07 C Option written -300000 100 E 20-Dec-07 Notes 1. Where there are open option positions or open derivative positions (exceptfor CFDs), full details should be given. Full details of any existingagreements 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 Rules 8 and 38.5and their Notes which can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto