19th Nov 2008 10:48
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
18/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,820,496 |
GBP 8.84 |
GBP 8.18 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,265,447 |
GBP 15.00 |
GBP 8.19 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
7,026 |
GBP 8.58 |
|
Long Swap |
LONG |
1,000 |
GBP 8.77 |
|
Long Swap |
LONG |
347,956 |
GBP 8.58 |
|
Long Swap |
LONG |
172,078 |
GBP 8.55 |
|
Long Swap |
LONG |
80,855 |
GBP 8.71 |
|
Long Swap |
LONG |
44,319 |
GBP 8.69 |
|
Long Swap |
LONG |
28,563 |
GBP 8.54 |
|
Long Swap |
LONG |
12,681 |
GBP 8.50 |
|
Long Swap |
LONG |
461,880 |
GBP 8.60 |
|
Long Swap |
LONG |
6,857 |
GBP 8.58 |
|
Long Swap |
LONG |
6,184 |
GBP 8.58 |
|
Long Swap |
LONG |
5,300 |
GBP 8.67 |
|
Long Swap |
LONG |
4,931 |
GBP 8.51 |
|
Long Swap |
LONG |
4,774 |
GBP 8.60 |
|
Long Swap |
LONG |
2,000 |
GBP 8.58 |
|
Long Swap |
LONG |
14,273 |
GBP 8.60 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
347,956 |
GBP 8.58 |
|
Short Swap |
SHORT |
6,184 |
GBP 8.63 |
|
Short Swap |
SHORT |
1,000 |
GBP 8.76 |
|
Short Swap |
SHORT |
1,475 |
GBP 8.54 |
|
Short Swap |
SHORT |
2,000 |
GBP 8.63 |
|
Short Swap |
SHORT |
2,800 |
GBP 8.55 |
|
Short Swap |
SHORT |
3,020 |
GBP 8.55 |
|
Short Swap |
SHORT |
3,456 |
GBP 8.51 |
|
Short Swap |
SHORT |
461,880 |
GBP 8.62 |
|
Short Swap |
SHORT |
4,724 |
GBP 8.70 |
|
Short Swap |
SHORT |
296 |
GBP 8.51 |
|
Short Swap |
SHORT |
7,026 |
GBP 8.55 |
|
Short Swap |
SHORT |
31,416 |
GBP 8.72 |
|
Short Swap |
SHORT |
37,752 |
GBP 8.58 |
|
Short Swap |
SHORT |
37,796 |
GBP 8.70 |
|
Short Swap |
SHORT |
49,694 |
GBP 8.73 |
|
Short Swap |
SHORT |
172,032 |
GBP 8.54 |
|
Short Swap |
SHORT |
3,760 |
GBP 8.46 |
|
(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 |
|
Put option |
sale |
300 |
15GBP |
American |
19 Dec 2008 |
|
(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 |
19/11/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
18/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,166 |
GBP 6.41 |
GBP 6.38 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,124 |
GBP 6.41 |
GBP 6.41 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,347 |
GBP 6.42 |
|
Long Swap |
LONG |
783 |
GBP 6.39 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
309 |
GBP 6.41 |
|
Short Swap |
SHORT |
344 |
GBP 6.41 |
|
Short Swap |
SHORT |
471 |
GBP 6.41 |
|
(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 |
19/11/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
18/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
510,127 |
GBP 24.70 |
GBP 22.92 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
807,707 |
GBP 44.00 |
GBP 22.90 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
114,182 |
GBP 23.80 |
|
Long Swap |
LONG |
482 |
GBP 24.31 |
|
Long Swap |
LONG |
569 |
GBP 23.92 |
|
Long Swap |
LONG |
1,027 |
GBP 23.80 |
|
Long Swap |
LONG |
1,928 |
GBP 23.68 |
|
Long Swap |
LONG |
16,713 |
GBP 23.35 |
|
Long Swap |
LONG |
20,681 |
GBP 23.35 |
|
Long Swap |
LONG |
42,477 |
GBP 23.89 |
|
Long Swap |
LONG |
91,524 |
GBP 23.83 |
|
Long Swap |
LONG |
1 |
GBP 24.31 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
103,484 |
GBP 23.88 |
|
Short Swap |
SHORT |
482 |
GBP 23.88 |
|
Short Swap |
SHORT |
60,282 |
GBP 24.41 |
|
Short Swap |
SHORT |
40,743 |
GBP 23.88 |
|
Short Swap |
SHORT |
15,607 |
GBP 24.38 |
|
Short Swap |
SHORT |
7,714 |
GBP 24.38 |
|
Short Swap |
SHORT |
3,944 |
GBP 23.88 |
|
Short Swap |
SHORT |
3,008 |
GBP 24.38 |
|
Short Swap |
SHORT |
2,355 |
GBP 24.38 |
|
Short Swap |
SHORT |
1,677 |
GBP 24.32 |
|
Short Swap |
SHORT |
1,342 |
GBP 23.81 |
|
Short Swap |
SHORT |
123,364 |
GBP 23.81 |
|
(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 |
|
Put option |
purchase |
200 |
44 |
American |
19 Dec 2008 |
|
(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 |
19/11/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
18/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,342,816 |
GBP 1.48 |
GBP 1.30 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,404,927 |
GBP 1.46 |
GBP 1.28 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,000 |
GBP 1.41 |
|
Long Swap |
LONG |
5,000 |
GBP 1.29 |
|
Long Swap |
LONG |
9,144 |
GBP 1.41 |
|
Long Swap |
LONG |
10,000 |
GBP 1.31 |
|
Long Swap |
LONG |
12,505 |
GBP 1.47 |
|
Long Swap |
LONG |
14,000 |
GBP 1.30 |
|
Long Swap |
LONG |
17,576 |
GBP 1.36 |
|
Long Swap |
LONG |
30,000 |
GBP 1.31 |
|
Long Swap |
LONG |
35,730 |
GBP 1.38 |
|
Long Swap |
LONG |
42,200 |
GBP 1.32 |
|
Long Swap |
LONG |
46,417 |
GBP 1.47 |
|
Long Swap |
LONG |
1,022,542 |
GBP 1.38 |
|
Long Swap |
LONG |
689 |
GBP 1.41 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
30,756 |
GBP 1.48 |
|
Short Swap |
SHORT |
1,022,542 |
GBP 1.38 |
|
Short Swap |
SHORT |
9,387 |
GBP 1.33 |
|
Short Swap |
SHORT |
689 |
GBP 1.39 |
|
Short Swap |
SHORT |
2,886 |
GBP 1.33 |
|
Short Swap |
SHORT |
4,500 |
GBP 1.38 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.31 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.31 |
|
Short Swap |
SHORT |
339,790 |
GBP 1.33 |
|
Short Swap |
SHORT |
5,445 |
GBP 1.33 |
|
Short Swap |
SHORT |
42,877 |
GBP 1.38 |
|
Short Swap |
SHORT |
12,505 |
GBP 1.48 |
|
Short Swap |
SHORT |
12,625 |
GBP 1.38 |
|
Short Swap |
SHORT |
14,000 |
GBP 1.31 |
|
Short Swap |
SHORT |
15,661 |
GBP 1.48 |
|
Short Swap |
SHORT |
16,261 |
GBP 1.33 |
|
Short Swap |
SHORT |
639 |
GBP 1.38 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.29 |
|
(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 |
19/11/2008 |
|
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