25th Nov 2008 10:28
|
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 |
24/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,369,692 |
GBP 9.80 |
GBP 8.22 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,154,184 |
GBP 9.80 |
GBP 8.24 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
8,000 |
GBP 9.19 |
|
Long Swap |
LONG |
480,628 |
GBP 8.94 |
|
Long Swap |
LONG |
147,532 |
GBP 9.70 |
|
Long Swap |
LONG |
36,227 |
GBP 9.17 |
|
Long Swap |
LONG |
31,640 |
GBP 8.63 |
|
Long Swap |
LONG |
18,813 |
GBP 8.94 |
|
Long Swap |
LONG |
13,322 |
GBP 9.08 |
|
Long Swap |
LONG |
11,000 |
GBP 9.29 |
|
Long Swap |
LONG |
901 |
GBP 9.02 |
|
Long Swap |
LONG |
8,448 |
GBP 8.94 |
|
Long Swap |
LONG |
1,272,720 |
GBP 9.08 |
|
Long Swap |
LONG |
7,552 |
GBP 8.32 |
|
Long Swap |
LONG |
7,318 |
GBP 8.94 |
|
Long Swap |
LONG |
5,100 |
GBP 8.32 |
|
Long Swap |
LONG |
3,000 |
GBP 8.44 |
|
Long Swap |
LONG |
2,758 |
GBP 8.81 |
|
Long Swap |
LONG |
1,000 |
GBP 9.01 |
|
Long Swap |
LONG |
990 |
GBP 8.81 |
|
Long Swap |
LONG |
942 |
GBP 8.94 |
|
Long Swap |
LONG |
10,000 |
GBP 9.33 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
10,000 |
GBP 9.22 |
|
Short Swap |
SHORT |
901 |
GBP 9.31 |
|
Short Swap |
SHORT |
901 |
GBP 9.03 |
|
Short Swap |
SHORT |
942 |
GBP 8.37 |
|
Short Swap |
SHORT |
1,000 |
GBP 9.22 |
|
Short Swap |
SHORT |
1,000 |
GBP 9.02 |
|
Short Swap |
SHORT |
3,000 |
GBP 8.37 |
|
Short Swap |
SHORT |
7,048 |
GBP 8.33 |
|
Short Swap |
SHORT |
7,552 |
GBP 8.41 |
|
Short Swap |
SHORT |
1,272,720 |
GBP 9.06 |
|
Short Swap |
SHORT |
9,099 |
GBP 9.31 |
|
Short Swap |
SHORT |
480,628 |
GBP 8.91 |
|
Short Swap |
SHORT |
15,250 |
GBP 9.06 |
|
Short Swap |
SHORT |
24,592 |
GBP 8.41 |
|
Short Swap |
SHORT |
35,618 |
GBP 9.65 |
|
Short Swap |
SHORT |
36,227 |
GBP 0.00 |
|
Short Swap |
SHORT |
65,612 |
GBP 8.65 |
|
Short Swap |
SHORT |
76,005 |
GBP 9.24 |
|
Short Swap |
SHORT |
179,390 |
GBP 9.24 |
|
Short Swap |
SHORT |
890 |
GBP 9.65 |
|
Short Swap |
SHORT |
8,000 |
GBP 9.23 |
|
(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 |
25/11/2008 |
|
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 |
24/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,335 |
GBP 6.41 |
GBP 6.41 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,639 |
GBP 6.43 |
GBP 6.39 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
2,296 |
GBP 6.41 |
|
Long Swap |
LONG |
39 |
GBP 6.41 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
2,198 |
GBP 6.43 |
|
(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 |
25/11/2008 |
|
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 |
24/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
860,101 |
GBP 24.74 |
GBP 20.98 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
898,859 |
GBP 24.55 |
GBP 20.98 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
215,532 |
GBP 22.64 |
|
Long Swap |
LONG |
3,453 |
GBP 22.51 |
|
Long Swap |
LONG |
4,035 |
GBP 21.26 |
|
Long Swap |
LONG |
4,405 |
GBP 21.32 |
|
Long Swap |
LONG |
5,726 |
GBP 22.64 |
|
Long Swap |
LONG |
16,019 |
GBP 22.51 |
|
Long Swap |
LONG |
18,032 |
GBP 21.72 |
|
Long Swap |
LONG |
584 |
GBP 23.31 |
|
Long Swap |
LONG |
134,139 |
GBP 22.51 |
|
Long Swap |
LONG |
27,368 |
GBP 21.32 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
2,347 |
GBP 21.91 |
|
Short Swap |
SHORT |
222,866 |
GBP 22.80 |
|
Short Swap |
SHORT |
135,633 |
GBP 22.62 |
|
Short Swap |
SHORT |
48,971 |
GBP 23.12 |
|
Short Swap |
SHORT |
15,373 |
GBP 21.61 |
|
Short Swap |
SHORT |
4,405 |
GBP 23.12 |
|
Short Swap |
SHORT |
4,035 |
GBP 21.36 |
|
Short Swap |
SHORT |
2,647 |
GBP 21.36 |
|
(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 |
25/11/2008 |
|
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 |
24/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,228,578 |
GBP 1.48 |
GBP 1.24 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,522,404 |
GBP 1.48 |
GBP 1.24 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
770,248 |
GBP 1.36 |
|
Long Swap |
LONG |
28,069 |
GBP 1.31 |
|
Long Swap |
LONG |
23,770 |
GBP 1.36 |
|
Long Swap |
LONG |
22,248 |
GBP 1.31 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
3,775 |
GBP 1.31 |
|
Short Swap |
SHORT |
18,473 |
GBP 1.31 |
|
Short Swap |
SHORT |
28,069 |
GBP 1.31 |
|
Short Swap |
SHORT |
56,482 |
GBP 1.37 |
|
Short Swap |
SHORT |
770,248 |
GBP 1.37 |
|
(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 |
25/11/2008 |
|
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 |
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BHP GroupLloydsRio Tinto