26th Nov 2007 11:12
Citigroup GM Australia Pty Ltd26 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 LimitedCompany dealt in Rio Tinto LtdClass of relevant security to which the Ord/Equitydealings being disclosed relate (Note 1) Date of dealing 23 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 431,585 (0.09%) 651,742 (0.14%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell 2,952,833 (0.65%) 3,822,578 (0.84%) Total 3,384,418 (0.74%) 4,474,320 (0.98%) (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) 28600 128.77 2350 128.70 2233 128.40 1992 128.54 1208 128.66 1000 128.54 709 128.40 500 128.66 460 128.54 460 128.64 400 128.54 372 128.76 345 128.53 305 128.64 210 128.66 150 128.70 150 128.64 140 128.54 82 128.66 50 128.86 32 128.40 29 128.64 28 128.72 26 128.40 22 128.64 19 128.53 19 128.64 15 128.64 8 128.54 8 128.54 4 128.54 4 128.54Total 41,930 Sales Number of securities Price per unit (Note 4) AUD (unless stated) -1 128.67 -8 128.54 -8 128.54 -16 128.40 -56 128.66 -63 128.65 -71 128.66 -98 128.67 -99 128.67 -100 128.68 -144 128.68 -153 128.66 -217 128.65 -600 128.77 -144000 128.77Total 145,634 (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 4000 124.00 E 27-Feb-08 1.51 C purchasing 4000 124.00 E 27-Feb-08 1.51 C purchasing 4000 124.00 E 27-Feb-08 1.51 C purchasing 4000 124.00 E 27-Feb-08 1.55 C purchasing 4000 124.00 E 27-Feb-08 1.51 C selling -400 80.00 A 20-Dec-07 49.41 P purchasing -30000 110.00 E 20-Dec-07 0.08 (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 23 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-08P Option written 200000 88 A 27-Mar-08P Option written 196200 96 E 20-Dec-07P Option written 163200 100 E 20-Dec-07P Option written 148000 90 A 20-Dec-07P Option written 125000 108 A 20-Dec-07C Option purchased 123000 135 A 20-Dec-07C Option purchased 111000 94 A 29-Nov-07C Option purchased 100000 116 A 29-Nov-07P Option written 100000 90 A 27-Mar-08C Option purchased 100000 92 A 29-Nov-07P Option written 90000 110 E 20-Dec-07P Option written 87000 87 A 29-Nov-07P Option written 80000 112 A 29-Nov-07C Option purchased 75000 116 A 20-Dec-07C Option purchased 67000 108 A 20-Dec-07C Option purchased 65000 112 A 27-Mar-08P Option written 57000 110 A 20-Dec-07P Option written 55000 104 A 20-Dec-07P Option written 54000 108 A 29-Nov-07C Option purchased 53000 108 A 29-Nov-07P Option written 50979 56.15 A 11-Oct-10P Option written 50000 66 A 20-Dec-07C Option purchased 50000 94 A 20-Dec-07P Option written 50000 87 A 20-Dec-07C Option purchased 49000 104 A 29-Nov-07P Option written 40000 74.25 E 27-Jul-11P Option written 30588 56.03 E 3-Nov-08C Option purchased 25000 100 A 20-Dec-07C Option purchased 25000 110 A 29-Nov-07C Option purchased 23000 96 A 20-Dec-07C Option purchased 22000 100 A 20-Dec-07C Option purchased 14000 102 A 29-Nov-07P Option written 14000 96 A 29-Nov-07P Option written 10000 106 A 20-Dec-07C Option purchased 9000 98 A 29-Nov-07P Option written 7517 116.82 A 11-Jul-12P Option written 6789 94.91 A 23-Jun-11P Option written 6646 37.61 E 1-Oct-09P Option written 6415 77.94 E 19-Feb-10P Option written 6268 88.6 A 27-Mar-12C Option purchased 6000 119.66 A 24-Jan-08P Option written 5906 119.75 A 28-Jun-12P Option written 5780 109.19 A 30-May-12P Option written 5608 92.64 A 24-Jun-11C Option purchased 5000 100 A 29-Nov-07P Option written 5000 107.89 A 24-Jan-08C Option purchased 5000 116 A 20-Dec-07P Option written 4886 97.27 A 28-Aug-12P Option written 4420 88.07 A 23-Jun-11P Option written 4320 99.12 A 25-Apr-12C Option purchased 4000 96 A 29-Nov-07P Option written 3828 115.61 A 13-Jun-12P Option written 3801 96.12 A 23-Jun-11P Option written 3105 99.8 A 28-Apr-11C Option purchased 3000 112 A 29-Nov-07P Option written 2994 85.04 A 28-Mar-11P Option written 2862 119 A 11-Jul-12P Option written 2591 38.58 E 1-Dec-09P Option written 2269 44.08 E 30-Jun-08P Option written 2248 73.85 A 29-Dec-10P Option written 2024 98.79 E 29-Jun-10C Option purchased 2000 78.46 A 24-Sep-09P Option written 1976 160.93 A 28-Nov-12P Option written 1370 85.07 A 28-Feb-11P Option written 1273 78.5 E 30-Jun-11P Option written 1188 105.3 A 23-May-11P Option written 1152 43.37 E 28-Jun-10P Option written 1152 43.37 E 28-Jun-10P Option written 1132 83.22 A 7-Oct-11P Option written 1037 43.37 E 27-Jun-08C Option purchased 1000 106 A 26-Jun-08P Option written 869 89.44 A 7-Feb-11P Option written 765 43.96 E 30-Jun-08P Option written 700 103.7 A 15-May-12P Option written 561 89 E 9-Aug-10P Option written 514 77.8 E 30-Jun-09P Option written 464 95.75 E 29-Jun-10P Option written 454 44.08 E 30-Jun-08P Option written 405 98.1 A 25-Jun-10P Option written 392 131.14 A 11-Oct-12P Option written 388 77.2 E 27-Jun-11P Option written 337 29.61 E 25-Jun-08P Option written 332 75.22 E 24-May-10P Option written 302 82.55 E 17-May-10P Option written 290 95.75 E 28-Jun-10P Option written 266 94.08 A 28-Jul-11P Option written 254 78.6 E 7-Jul-11P Option written 236 84.55 E 9-May-11P Option written 208 95.7 E 5-Sep-12P Option written 208 95.7 E 5-Sep-12P Option written 203 98.22 E 12-Sep-12P Option written 203 98.22 E 12-Sep-12P Option written 191 78.5 E 30-Jun-11P Option written 191 78.5 E 30-Jun-11P Option written 159 94.02 A 28-Jul-11P Option written 141 93.6 A 28-Jul-11P Option written 138 92.66 A 28-Jul-11P Option written 138 72.57 E 21-Jan-08P Option purchased -203 98.22 E 12-Sep-12P Option purchased -208 95.7 E 5-Sep-12C IWarrant written -570 100 A 27-Mar-08C Barrier written -800 100 E 28-Nov-07C Option written -1000 105.01 E 20-Dec-07C Option written -1000 125 A 20-Dec-07P Option purchased -1000 94 A 26-Jun-08P Option purchased -2000 106 A 29-Nov-07C Option written -2000 107.89 A 24-Jan-08P Option purchased -2000 77 A 22-Dec-11P Option purchased -2000 90 A 29-Nov-07C IWarrant written -2250 80 A 20-Dec-07C IWarrant written -2700 59 A 23-Apr-08C SFIWarrant written -3428 54.39 A 28-Jun-12C IWarrant written -4500 70 A 27-Mar-08C IWarrant written -4770 42.5 A 23-Jun-08P Option purchased -5000 68 A 23-Dec-10C Option written -5000 90 A 20-Dec-07C IWarrant written -5149 64 A 19-Jun-09P Option purchased -8000 100 A 20-Dec-07P Option purchased -8000 98 A 29-Nov-07C IWarrant written -8360 60 A 29-Nov-07P Option purchased -10000 130 A 27-Mar-08P Option purchased -10000 82 A 20-Dec-07P Option purchased -14000 102 A 29-Nov-07P Option purchased -15000 80 A 27-Mar-08P Option purchased -16000 114 A 29-Nov-07C Barrier written -16800 110 E 27-Feb-08C Option written -18000 106 A 20-Dec-07P Option purchased -18000 74 A 26-Jun-08P Option purchased -20000 112 A 20-Dec-07C Option written -20000 114 A 29-Nov-07C Option written -23000 90 A 20-Dec-07P Option purchased -23000 90 A 20-Dec-07P Option purchased -23000 92 A 20-Dec-07C Option written -25000 115.73 A 24-Jan-08C Option written -25000 118 A 20-Dec-07C Option written -25000 120 A 29-Nov-07P Option purchased -26000 100 A 29-Nov-07P Option purchased -26000 104 A 29-Nov-07C Option written -30000 104 A 20-Dec-07C Barrier written -32000 120 E 19-Dec-07C Option written -32000 112 A 20-Dec-07C Option written -33000 85 A 22-Dec-11C Option written -34000 102 A 20-Dec-07C Option written -35000 106 A 29-Nov-07P Option purchased -44000 72 A 18-Dec-08P Option purchased -46000 119.66 A 24-Jan-08C Option written -48000 114 A 20-Dec-07P Option purchased -48000 96 A 20-Dec-07C Option written -50000 122 A 18-Dec-08C Option written -50000 87 A 20-Dec-07C Barrier written -58000 96 E 19-Dec-07P Option purchased -60000 80 A 22-Dec-11C Option written -65000 118 A 29-Nov-07P Option purchased -73000 94 A 20-Dec-07C Option written -75000 56.89 A 24-Sep-09P Option purchased -76000 75 A 22-Dec-11C Barrier written -82840 124 E 27-Feb-08P Option purchased -87000 88 A 20-Dec-07P Option purchased -93000 100 A 27-Mar-08P Option purchased -95000 102 A 20-Dec-07P Option purchased -96000 110 A 29-Nov-07C Option written -99000 110 A 20-Dec-07C Option written -100000 104 A 27-Mar-08P Option purchased -100000 110 A 27-Mar-08C Option written -100000 112 A 24-Jan-08P Option purchased -100000 84 A 27-Mar-08P Option purchased -100000 94 A 27-Mar-08P Option purchased -100000 96 A 27-Mar-08C Option written -100000 87 A 20-Dec-07P Option purchased -112000 68.66 A 24-Sep-09C Option written -145000 90 A 26-Jun-08C Barrier written -200000 90 E 19-Dec-07P Option purchased -242000 78.46 A 24-Sep-09C Option written -258000 120 E 20-Dec-07C 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