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EPT Disclosure

20th Jun 2008 11:00

RNS Number : 1769X
UBS Securities Australia Limited
20 June 2008
 
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
UBS Securities Australia Limited
Company dealt in
Rio Tinto Ltd
Class of relevant security to which the dealings being disclosed relate(Note 1)
Ordinary
Date of dealing
19 June 2008
 
 
2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE
 
(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2)
 

 
 
Long
Short
 
 
Number (%)
Number (%)
(1) Relevant securities
 
329082
0.70%
2647026
5.65%
(2) Derivatives (other than options)
 
 
 
(3) Options and agreements to purchase/sell
 
2102103
4.49%
1017614
2.17%
Total
 
2431185
5.19%
3664640
7.83%
 
(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
 
 
Number (%)
Number (%)
(1) Relevant securities
 
 
 
(2) Derivatives (other than options)
 
 
 
(3) Options and agreements to purchase/sell
 
 
 
Total
 
 
 
 
(c) Rights to subscribe (Note 2)
 

Class of relevant security:
 
Details
 
 
 
3. DEALINGS (Note 3)
 
(a) Purchases and sales
 

Purchase/sale
Number of securities
Price per unit (AUD) (Note 4)
Purchase
40000
139.91
Purchase
2382
137.73
Purchase
876
137.7
Purchase
812
138.25
Purchase
773
137.71
Purchase
425
137.73
Purchase
408
137.6
Purchase
366
138.83
Purchase
289
137.6
Purchase
266
137.6
Purchase
257
137.7
Purchase
233
137.73
Purchase
232
137.69
Purchase
221
139.7
Purchase
221
139.7
Purchase
209
138.83
Purchase
200
137.71
Purchase
200
137.63
Purchase
191
137.73
Purchase
184
137.7
Purchase
170
137.72
Purchase
148
137.79
Purchase
148
137.72
Purchase
137
137.73
Purchase
122
138.83
Purchase
106
138.25
Purchase
100
137.71
Purchase
80
138.25
Purchase
76
137.22
Purchase
62
137.73
Purchase
42
137.71
Purchase
39
137.71
Purchase
39
137.71
Purchase
35
137.73
Purchase
35
137.69
Purchase
19
137.79
Purchase
19
137.69
Purchase
18
137.72
Purchase
17
137.72
Purchase
15
137.69
Purchase
14
137.7
Purchase
11
137.6
Purchase
9
137.6
Purchase
9
137.6
Purchase
8
137.6
Purchase
7
137.73
Purchase
7
137.71
Purchase
7
137.73
Purchase
6
137.22
Purchase
6
137.69
Purchase
2
138.25
Purchase
2
137.73
Purchase
2
137.63
Sale
23
139.49
Sale
24
139.1
Sale
122
138.83
Sale
193
139.1
Sale
209
138.83
Sale
221
139.7
Sale
221
139.7
Sale
366
138.83
Sale
3000
138.83
Sale
3000
138.83
Sale
18436
137.51
Total purchase
50262
 
Total sale
25815
 
 
 (b) Derivatives transactions (other than options)
 

Product name,
e.g. CFD
Long/short (Note 5)
Number of securities (Note 6)
Price per unit (Note 4)
 
 
 
 
 
 
 
 
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
 

Product name, e.g. call option
Writing, selling, purchasing, varying etc.
Number of securities to which the option relates (Note 6)
Exercise price (AUD)
Type, e.g. American, European etc.
Expiry date
Option money paid/received per unit (AUD) (Note 4)
Put Option
Purchasing
25000
110
American
25-Sep-08
1.44
Put Option
Purchasing
715
139.74
American
12-Jun-13
31.61
Put Option
Purchasing
715
139.74
American
12-Jun-13
0
Put Option
Purchasing
637
139.1
American
15-Jun-11
27.03
Put Option
Purchasing
637
139.1
American
15-Jun-11
0
Put Option
Writing
637
139.1
American
15-Jun-11
0
Put Option
Writing
637
139.1
American
15-Jun-11
0
Put Option
Writing
637
139.1
American
15-Jun-11
27.03
Put Option
Writing
715
139.74
American
12-Jun-13
0
Put Option
Writing
715
139.74
American
12-Jun-13
0
Put Option
Writing
715
139.74
American
12-Jun-13
31.61
Put Option
Writing
25000
130
American
25-Sep-08
6.14
 
 
(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 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. 
 
 
 
 
 
Is a Supplemental Form 38.5(b) attached? (Note 8) YES
 
 

Date of disclosure
20 June 2008
Contact name
Belinda Maclay
Telephone number
+61 2 93242944
 
Name of offeree/offeror with which connected
BHP Billiton PLC/BHP Billiton Limited
Nature of connection (Note 9)
Connected Advisor
 
 
Notes
 
The Notes on Form 38.5(b) can be viewed on the Takeover Panel’s website at www.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, e.g. call option
Written or purchased
Number of securities to which the option or derivative relates
Exercise price (AUD) (Note 2)
Type, e.g. American, European etc.
Expiry date
Call Option
Purchased
140000
158
American
28-Aug-08
Call Option
Purchased
137000
134
American
26-Jun-08
Call Option
Purchased
100000
170
American
18-Dec-08
Call Option
Purchased
77000
150
American
24-Jul-08
Call Option
Purchased
60000
144
American
28-Aug-08
Call Option
Purchased
44000
150
American
26-Jun-08
Call Option
Purchased
30000
144
American
25-Sep-08
Call Option
Purchased
17000
170
American
25-Sep-08
Call Option
Purchased
14000
120
European
26-Jun-08
Call Option
Purchased
12000
96
European
06-Nov-08
Call Option
Purchased
10000
136
American
26-Jun-08
Call Option
Purchased
8000
146
American
26-Jun-08
Call Option
Purchased
4000
166
American
25-Sep-08
Call Option
Purchased
3000
160
American
26-Jun-08
Call Option
Purchased
3000
170
American
18-Dec-08
Call Option
Purchased
1000
166
American
26-Jun-08
Call Option
Purchased
1000
114.74
European
19-Jun-09
Call Option
Written
2000
120
American
18-Dec-08
Call Option
Written
5000
180
American
18-Dec-08
Call Option
Written
5000
140
American
26-Jun-08
Call Option
Written
10000
180
American
26-Jun-08
Call Option
Written
12000
96
European
06-Nov-08
Call Option
Written
14000
120
European
26-Jun-08
Call Option
Written
20000
170
American
26-Jun-08
Call Option
Written
62000
138
American
26-Jun-08
Call Warrant
Written
418
120
European
26-Jun-08
Call Warrant
Written
1300
140
European
26-Jun-08
Call Warrant
Written
1550
0
European
30-Jun-14
Call Warrant
Written
2150
55
European
18-Jun-09
Call Warrant
Written
3393
100
European
06-Nov-08
Call Warrant
Written
3945
120
European
26-Jun-08
Call Warrant
Written
5952
96
European
06-Nov-08
Call Warrant
Written
8906
80
European
26-May-09
Put Option
Purchased
150000
132
American
25-Sep-08
Put Option
Purchased
150000
77
American
22-Dec-11
Put Option
Purchased
100000
90
American
26-Jun-08
Put Option
Purchased
75000
124
American
26-Jun-08
Put Option
Purchased
75000
110
American
18-Dec-08
Put Option
Purchased
60000
150
American
24-Jul-08
Put Option
Purchased
60000
130
American
28-Aug-08
Put Option
Purchased
50000
62
American
26-Jun-08
Put Option
Purchased
50000
148
American
26-Jun-08
Put Option
Purchased
50000
138
American
26-Jun-08
Put Option
Purchased
12000
144
American
26-Jun-08
Put Option
Purchased
5000
100
American
26-Jun-08
Put Option
Purchased
5000
150
American
26-Jun-08
Put Option
Purchased
5000
144
American
28-Aug-08
Put Option
Purchased
4000
144
American
26-Jun-08
Put Option
Purchased
4000
148
American
26-Jun-08
Put Option
Purchased
3000
140
American
26-Jun-08
Put Option
Purchased
2000
134
American
26-Jun-08
Put Option
Written
73
135.65
American
22-Feb-11
Put Option
Written
78
127
American
31-Jan-13
Put Option
Written
91
109
American
22-Jan-09
Put Option
Written
94
131.31
American
30-Jun-11
Put Option
Written
119
83.55
American
11-Aug-10
Put Option
Written
125
99.48
American
29-Jul-10
Put Option
Written
125
99.59
American
28-Jun-12
Put Option
Written
126
99.07
American
07-Sep-12
Put Option
Written
127
98.35
American
22-Jun-10
Put Option
Written
128
77.89
American
21-Jun-11
Put Option
Written
130
76.73
American
25-Jun-08
Put Option
Written
130
76.7
American
19-May-11
Put Option
Written
131
94.91
American
26-Jul-12
Put Option
Written
132
97.5
American
02-Jul-12
Put Option
Written
146
98.79
American
29-Jul-10
Put Option
Written
146
102.05
American
26-Jul-12
Put Option
Written
150
99.59
American
29-Jul-10
Put Option
Written
152
98.36
American
28-Jun-12
Put Option
Written
154
129.41
American
11-Dec-12
Put Option
Written
157
99.86
American
29-Jul-10
Put Option
Written
158
99.12
American
29-Jul-10
Put Option
Written
158
78.77
American
24-Jun-11
Put Option
Written
159
78.2
American
23-Jun-09
Put Option
Written
159
78.31
American
21-Jun-11
Put Option
Written
164
91.04
American
11-May-12
Put Option
Written
168
148.37
American
30-May-13
Put Option
Written
175
57.14
American
24-Sep-08
Put Option
Written
176
113.21
American
25-Oct-12
Put Option
Written
181
101
American
29-Jul-10
Put Option
Written
183
135.98
American
30-Jun-11
Put Option
Written
198
100.52
American
16-Jun-10
Put Option
Written
203
98.47
American
22-Jun-10
Put Option
Written
203
98.08
American
22-Jun-10
Put Option
Written
209
81.14
American
28-Apr-11
Put Option
Written
214
93.26
American
28-Jun-12
Put Option
Written
218
100.49
American
28-Jun-12
Put Option
Written
227
44.05
American
22-Jun-10
Put Option
Written
240
83.48
American
18-Apr-11
Put Option
Written
243
102.51
American
26-Jul-12
Put Option
Written
246
101.6
American
24-Jun-10
Put Option
Written
257
76.5
American
17-Jun-11
Put Option
Written
265
75.38
American
22-Jun-11
Put Option
Written
271
73.66
American
10-Jun-09
Put Option
Written
271
73.76
American
05-Jun-09
Put Option
Written
283
78.34
American
19-Oct-11
Put Option
Written
286
91.6
American
30-Aug-12
Put Option
Written
296
67.43
American
15-Sep-09
Put Option
Written
298
100.5
American
25-Jun-10
Put Option
Written
300
71.7
American
02-Jan-09
Put Option
Written
305
75.25
American
25-Jun-09
Put Option
Written
310
96.73
American
23-Jun-10
Put Option
Written
325
77.02
American
21-May-09
Put Option
Written
341
43.98
American
24-Jun-08
Put Option
Written
343
29.15
American
20-Jun-08
Put Option
Written
352
98.21
American
29-Jul-10
Put Option
Written
353
70.82
American
09-Feb-09
Put Option
Written
356
70.14
American
10-Jun-09
Put Option
Written
363
82.51
American
28-Apr-09
Put Option
Written
371
99.3
American
29-Jul-10
Put Option
Written
382
98
American
26-Jul-12
Put Option
Written
396
75.01
American
08-Mar-10
Put Option
Written
400
74.9
American
22-Jun-11
Put Option
Written
404
98.86
American
24-Jun-10
Put Option
Written
413
96.82
American
24-Jun-10
Put Option
Written
413
96.75
American
21-Jun-12
Put Option
Written
419
71.59
American
19-Jan-09
Put Option
Written
425
78.61
American
30-Jun-11
Put Option
Written
429
34.96
American
18-Jun-09
Put Option
Written
434
98.52
American
29-Jul-10
Put Option
Written
452
44.24
American
24-Jun-08
Put Option
Written
454
44.05
American
26-Jun-08
Put Option
Written
460
109.66
American
31-Jan-13
Put Option
Written
465
98.9
American
28-Jun-12
Put Option
Written
472
90.6
American
29-Jul-10
Put Option
Written
484
103.17
American
26-Jul-12
Put Option
Written
500
160
European
26-Jun-08
Put Option
Written
509
98.07
American
29-Jul-10
Put Option
Written
510
98
American
29-Jul-10
Put Option
Written
514
77.75
American
30-Jun-11
Put Option
Written
518
96.51
American
31-May-12
Put Option
Written
524
43.89
American
24-Jun-08
Put Option
Written
528
75.48
American
29-Jun-11
Put Option
Written
538
99.08
American
26-Jul-12
Put Option
Written
547
109.66
American
27-Jan-11
Put Option
Written
555
45.04
American
22-Jun-10
Put Option
Written
561
44.56
American
25-Jun-08
Put Option
Written
562
99.67
American
29-Jul-10
Put Option
Written
564
90.39
American
22-Jun-12
Put Option
Written
566
35.33
American
22-Jun-09
Put Option
Written
567
35.27
American
19-Jun-09
Put Option
Written
573
34.9
American
18-Jun-09
Put Option
Written
576
43.4
American
23-Jun-08
Put Option
Written
591
95.3
American
29-Jul-10
Put Option
Written
598
83.69
American
22-Jun-12
Put Option
Written
600
73.45
American
30-Jun-11
Put Option
Written
601
99.71
American
25-Jun-10
Put Option
Written
626
28.75
American
23-Jun-08
Put Option
Written
628
99.44
American
29-Jul-10
Put Option
Written
634
78.7
American
27-May-09
Put Option
Written
637
139.1
American
15-Jun-11
Put Option
Written
648
97.31
American
24-Jun-09
Put Option
Written
650
92.25
American
12-Jun-12
Put Option
Written
663
75.36
American
23-Jun-11
Put Option
Written
663
75.38
American
25-Jun-09
Put Option
Written
696
99.01
American
26-Jul-12
Put Option
Written
701
42.79
American
04-Jun-10
Put Option
Written
703
85.3
American
22-Jun-12
Put Option
Written
715
139.74
American
12-Jun-13
Put Option
Written
733
102.26
American
28-Jun-12
Put Option
Written
742
53.8
American
17-Sep-08
Put Option
Written
794
75.5
American
23-Jun-11
Put Option
Written
797
43.91
American
24-Jun-08
Put Option
Written
815
98.29
American
30-Jun-08
Put Option
Written
821
103.41
American
22-Jun-12
Put Option
Written
828
98.9
American
29-Jul-10
Put Option
Written
831
96.8
American
28-Jun-12
Put Option
Written
836
99.24
American
15-Jun-10
Put Option
Written
869
75.44
American
23-Jun-11
Put Option
Written
870
97.65
American
22-Jun-12
Put Option
Written
887
98.08
American
28-Jun-12
Put Option
Written
941
42.5
American
03-Jun-10
Put Option
Written
982
74.85
American
30-Jun-11
Put Option
Written
998
140
European
26-Jun-08
Put Option
Written
1000
160
American
26-Jun-08
Put Option
Written
1000
150
American
26-Jun-08
Put Option
Written
1000
76
American
14-Jun-11
Put Option
Written
1000
76.49
American
19-Jun-09
Put Option
Written
1003
43.86
American
26-Jun-08
Put Option
Written
1008
99.09
American
18-Jun-10
Put Option
Written
1020
74.54
American
01-Aug-11
Put Option
Written
1038
76.08
American
30-Jun-11
Put Option
Written
1040
96.14
American
26-May-10
Put Option
Written
1062
98.28
American
28-Jun-12
Put Option
Written
1080
101.81
American
29-Jul-10
Put Option
Written
1083
92.25
American
28-Jun-12
Put Option
Written
1175
42.5
American
27-Jan-10
Put Option
Written
1257
99.37
American
28-Jun-12
Put Option
Written
1281
43.4
American
21-Jun-10
Put Option
Written
1291
77.44
American
30-Jun-11
Put Option
Written
1334
74.99
American
22-Jun-11
Put Option
Written
1360
73.51
American
28-Jul-11
Put Option
Written
1407
44.42
American
25-Jun-08
Put Option
Written
1418
91.6
American
29-Jul-10
Put Option
Written
1441
99.64
American
29-Jul-10
Put Option
Written
1500
78.2
American
22-Mar-10
Put Option
Written
1500
78.39
American
23-Mar-10
Put Option
Written
1512
99.17
American
25-Jun-10
Put Option
Written
1558
48.13
American
25-Jun-08
Put Option
Written
1588
99.88
American
26-Jul-12
Put Option
Written
1594
100.35
American
26-Jul-12
Put Option
Written
1600
77.2
American
25-Feb-10
Put Option
Written
1628
102.26
American
24-Jun-10
Put Option
Written
1639
103.64
American
26-Jul-12
Put Option
Written
1656
77.02
American
30-Jun-11
Put Option
Written
1787
100.7
American
26-Jul-12
Put Option
Written
1806
101.45
American
26-Jul-12
Put Option
Written
1902
98.51
American
28-Jun-12
Put Option
Written
2000
150
American
18-Dec-08
Put Option
Written
2000
130
European
26-Jun-08
Put Option
Written
2264
110.36
American
24-Jun-09
Put Option
Written
2450
76.54
American
28-Jul-11
Put Option
Written
2515
98.79
American
26-Jul-12
Put Option
Written
2716
78.99
American
28-Jul-11
Put Option
Written
2719
99.08
American
29-Jul-10
Put Option
Written
2739
94.91
American
29-Jul-10
Put Option
Written
2746
72.82
American
24-Jun-11
Put Option
Written
3000
142
American
26-Jun-08
Put Option
Written
3013
101.81
American
26-Jul-12
Put Option
Written
3628
67.79
American
29-Sep-11
Put Option
Written
3685
76.01
American
30-Jun-11
Put Option
Written
3883
77.32
American
30-Jun-11
Put Option
Written
3905
102.41
American
29-Jul-10
Put Option
Written
4058
78
American
28-Jul-11
Put Option
Written
4313
78.23
American
30-Jun-11
Put Option
Written
4931
78.43
American
28-Jul-11
Put Option
Written
5000
180
American
18-Dec-08
Put Option
Written
6000
116
American
29-Jan-09
Put Option
Written
8721
78.86
American
28-Jul-11
Put Option
Written
10000
120
American
29-Jan-09
Put Option
Written
10000
122
American
29-Jan-09
Put Option
Written
16695
102.42
American
29-Jun-12
Put Option
Written
25000
130
American
25-Sep-08
Put Option
Written
46000
110
American
25-Sep-08
Put Option
Written
50000
120
American
18-Dec-08
Put Option
Written
50000
126
American
26-Jun-08
Put Option
Written
51000
150
American
18-Dec-08
Put Option
Written
82000
130
American
29-Jan-09
Put Option
Written
100000
140
American
18-Dec-08
Put Option
Written
100000
140
American
26-Jun-08
Put Option
Written
145000
134
American
26-Jun-08
Put Option
Written
150000
79
American
22-Dec-11
Put Option
Written
200000
80
American
26-Jun-08
Put Option
Written
232000
66
American
26-Jun-08
 
 
Notes
 
1. Where there are open option positions or open derivative positions (except for CFDs), full details should be given. Full details of any existing agreements 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 38.5 and their Notes which can be viewed on the Takeover Panel’s website at www.thetakeoverpanel.org.uk
 
 
This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
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