7th Aug 2008 10:52
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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 |
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Date of disclosure |
07 August 2008 |
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Date of dealing |
06 August 2008 |
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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 |
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06 August 2008 |
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Rio Tinto Plc - Common |
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Imperial Energy Corporation Plc - Common |
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British Energy Group Plc - Common |
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Banco Santander SA. - Common |
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AMENDMENT |
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state which element(s) of previous disclosure was incorrect: |
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In the case of option business or dealings in derivatives full details should be given on a separate sheet |
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so that the nature of the dealings can be fully understood. For options this should include the number |
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of securities under option, the exercise period (or in the case of exercise, the exercise date), the |
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exercise price and any option money paid or received. For derivatives this should include, at least, the |
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number of reference securities to which they relate (when relevant), the maturity date (or if applicable |
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the closing out date) and the reference price. |
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For full details of disclosure requirements see Rules 8 and 38 of the Code. If in doubt contact the |
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Monitoring Section of the Panel, Tel. No:0207 638 0129 |
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FORM |
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38.5(a) |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
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(Rule 38.5 of The City Code on Takeovers and Mergers) |
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1. KEY INFORMATION |
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Name of exempt principal trader |
Merrill Lynch International |
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Company dealt in |
Rio Tinto Plc |
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Class of relevant security to which the |
Common |
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dealings being disclosed relate |
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Date of dealing |
06/08/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
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Total number of securities |
Highest price paid |
Lowest price paid |
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purchased |
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465,675 |
GBP 49.40 |
GBP 48.38 |
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Total number of securities sold |
Highest price received |
Lowest price received |
|
545,591 |
GBP 49.21 |
GBP 48.31 |
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(b) Derivatives transactions (other than options) |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
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eg. CFD |
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Long Swap |
LONG |
29,567 |
GBP 49.04 |
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Long Swap |
LONG |
10,000 |
GBP 48.52 |
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Long Swap |
LONG |
7,780 |
GBP 49.03 |
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Long Swap |
LONG |
2,886 |
GBP 48.84 |
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Long Swap |
LONG |
1,260 |
GBP 49.02 |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
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eg. CFD |
|
Short Swap |
SHORT |
5 |
GBP 48.72 |
|
Short Swap |
SHORT |
29 |
GBP 48.73 |
|
Short Swap |
SHORT |
160 |
GBP 48.71 |
|
Short Swap |
SHORT |
200 |
GBP 48.73 |
|
Short Swap |
SHORT |
373 |
GBP 48.73 |
|
Short Swap |
SHORT |
1,280 |
GBP 48.73 |
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Short Swap |
SHORT |
1,401 |
GBP 48.71 |
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Short Swap |
SHORT |
4,333 |
GBP 48.72 |
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Short Swap |
SHORT |
10,000 |
GBP 48.71 |
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Short Swap |
SHORT |
20,140 |
GBP 48.72 |
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(c) Options transactions in respect of existing securities |
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(i) Writing, selling, purchasing or varying |
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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 |
Buying |
1,000 |
£0.59 |
AMERICAN |
17-Oct-08 |
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(ii) Exercising |
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Product name |
Number of securities under |
Exercise price |
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eg call option |
option |
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3. OTHER INFORMATION |
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Agreements, arrangements or understandings relating to options or derivatives |
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Full details of any agreement, arrangement or understanding between the person disclosing and any |
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other person relating to the voting rights of any relevant securities under any option referred to on this |
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form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
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any derivative referred to on this form is referenced. If none, this should be stated. |
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NONE |
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Date of disclosure |
07/08/2008 |
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Contact name |
Louise Howard |
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Telephone number |
+44 20 7996 2121 |
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Name of offeree/offeror with whom connected |
BHP Billiton Plc |
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Nature of connection # |
Advisor |
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FORM 38.5 |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
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(Rule 38.5 of The City Code on Takeovers and Mergers) |
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1. KEY INFORMATION |
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Name of exempt principal trader |
Merrill Lynch International |
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Company dealt in |
Banco Santander SA. |
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Class of relevant security to which the |
Common |
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dealings being disclosed relate |
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Date of dealing |
06/08/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
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Total number of securities |
Highest price paid |
Lowest price paid |
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purchased |
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2,558,414 |
EUR 12.43 |
EUR 12.17 |
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Total number of securities sold |
Highest price received |
Lowest price received |
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13,060,935 |
EUR 12.44 |
EUR 12.17 |
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(b) Derivatives transactions (other than options) |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
163,333 |
GBP 9.76 |
|
Long Swap |
LONG |
148,800,000 |
EUR 12.40 |
|
Long Swap |
LONG |
41,953 |
EUR 12.30 |
|
Long Swap |
LONG |
27,134 |
EUR 12.30 |
|
Long Swap |
LONG |
21,837 |
EUR 12.33 |
|
Long Swap |
LONG |
11,896 |
EUR 12.41 |
|
Long Swap |
LONG |
6,573 |
EUR 12.30 |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
94 |
EUR 12.44 |
|
Short Swap |
SHORT |
9,417 |
EUR 12.30 |
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Short Swap |
SHORT |
16,670 |
EUR 12.30 |
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Short Swap |
SHORT |
35,608 |
EUR 12.25 |
|
Short Swap |
SHORT |
87,822 |
EUR 12.37 |
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(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 |
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3. OTHER INFORMATION |
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Agreements, arrangements or understandings relating to options or derivatives |
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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. |
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NONE |
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Date of disclosure |
07/08/2008 |
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Contact name |
Louise Howard |
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Telephone number |
+44 20 7996 2121 |
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Name of offeree/offeror with whom connected |
Banco Santander SA. |
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Nature of connection # |
Advisor |
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FORM 38.5(a) |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITH |
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RECOGNISED INTERMEDIARY STATUS DEALING IN CLIENT- |
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SERVICING CAPACITY |
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(Rule 38.5(a) of The City Code on Takeovers and Mergers) |
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1. KEY INFORMATION |
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Name of exempt principal trader |
Merrill Lynch International |
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Company dealt in |
Imperial Energy Corporation Plc |
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Class of relevant security to which the |
Common |
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dealings being disclosed relate |
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Date of dealing |
06/08/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
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Total number of securities |
Highest price paid |
Lowest price paid |
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purchased |
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100,870 |
GBP 1,070.00 |
GBP 10.70 |
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Total number of securities sold |
Highest price received |
Lowest price received |
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106,784 |
GBP 1,070.00 |
GBP 10.70 |
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(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
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 |
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3. OTHER INFORMATION |
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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 |
07/08/2008 |
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Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Imperial Energy Corporation Plc |
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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 |
British Energy Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
06/08/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
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purchased |
|
126,696 |
GBP 7.15 |
GBP 6.95 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
101,426 |
GBP 7.14 |
GBP 6.96 |
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(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
7,228 |
GBP 7.05 |
|
Long Swap |
LONG |
480 |
GBP 7.15 |
|
Long Swap |
LONG |
140 |
GBP 7.15 |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,310 |
GBP 7.10 |
|
Short Swap |
SHORT |
1,740 |
GBP 7.14 |
|
Short Swap |
SHORT |
3,300 |
GBP 7.13 |
|
Short Swap |
SHORT |
8,390 |
GBP 7.10 |
|
Short Swap |
SHORT |
11,198 |
GBP 7.10 |
|
Short Swap |
SHORT |
16,800 |
GBP 7.09 |
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(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 |
07/08/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
EDF S.A |
|
Nature of connection # |
Advisor |
Related Shares:
Banco SantanderRio Tinto