21st Oct 2008 10:47
|
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 |
20/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
6,357,459 |
GBP 9.75 |
GBP 9.17 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
6,351,670 |
GBP 9.75 |
GBP 9.14 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
6,000 |
GBP 9.49 |
|
Long Swap |
LONG |
325,770 |
GBP 9.43 |
|
Long Swap |
LONG |
104,018 |
GBP 9.45 |
|
Long Swap |
LONG |
80,277 |
GBP 9.49 |
|
Long Swap |
LONG |
21,944 |
GBP 9.25 |
|
Long Swap |
LONG |
12,785 |
GBP 9.49 |
|
Long Swap |
LONG |
11,756 |
GBP 9.33 |
|
Long Swap |
LONG |
45 |
GBP 9.49 |
|
Long Swap |
LONG |
7,590 |
GBP 9.63 |
|
Long Swap |
LONG |
1,123,591 |
GBP 9.46 |
|
Long Swap |
LONG |
4,798 |
GBP 9.24 |
|
Long Swap |
LONG |
3,000 |
GBP 9.44 |
|
Long Swap |
LONG |
2,888 |
GBP 9.33 |
|
Long Swap |
LONG |
2,728 |
GBP 9.45 |
|
Long Swap |
LONG |
2,515 |
GBP 9.34 |
|
Long Swap |
LONG |
374 |
GBP 9.49 |
|
Long Swap |
LONG |
139 |
GBP 9.43 |
|
Long Swap |
LONG |
9,495 |
GBP 9.47 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
6,000 |
GBP 9.54 |
|
Short Swap |
SHORT |
1,001 |
GBP 9.36 |
|
Short Swap |
SHORT |
2,000 |
GBP 9.34 |
|
Short Swap |
SHORT |
2,000 |
GBP 9.34 |
|
Short Swap |
SHORT |
2,515 |
GBP 9.34 |
|
Short Swap |
SHORT |
2,835 |
GBP 9.45 |
|
Short Swap |
SHORT |
2,888 |
GBP 9.22 |
|
Short Swap |
SHORT |
3,000 |
GBP 9.43 |
|
Short Swap |
SHORT |
1,123,591 |
GBP 9.46 |
|
Short Swap |
SHORT |
4,735 |
GBP 9.50 |
|
Short Swap |
SHORT |
330,568 |
GBP 9.46 |
|
Short Swap |
SHORT |
7,590 |
GBP 9.45 |
|
Short Swap |
SHORT |
9,495 |
GBP 9.47 |
|
Short Swap |
SHORT |
11,756 |
GBP 9.34 |
|
Short Swap |
SHORT |
12,785 |
GBP 9.42 |
|
Short Swap |
SHORT |
34,118 |
GBP 9.46 |
|
Short Swap |
SHORT |
104,018 |
GBP 9.36 |
|
Short Swap |
SHORT |
41 |
GBP 9.22 |
|
Short Swap |
SHORT |
4,000 |
GBP 9.34 |
|
(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 |
21/10/2008 |
|
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 |
20/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
287 |
GBP 6.28 |
GBP 6.28 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,189 |
GBP 6.34 |
GBP 6.28 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
418 |
GBP 6.34 |
|
Short Swap |
SHORT |
2,284 |
GBP 6.34 |
|
(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 |
21/10/2008 |
|
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 |
20/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,954,547 |
GBP 24.94 |
GBP 23.39 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,970,111 |
GBP 25.45 |
GBP 23.37 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
7,368 |
GBP 24.49 |
|
Long Swap |
LONG |
36,457 |
GBP 23.59 |
|
Long Swap |
LONG |
151,358 |
GBP 24.14 |
|
Long Swap |
LONG |
330,013 |
GBP 24.13 |
|
Long Swap |
LONG |
6,137 |
GBP 24.07 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
5,116 |
GBP 23.95 |
|
Short Swap |
SHORT |
330,013 |
GBP 24.17 |
|
Short Swap |
SHORT |
151,358 |
GBP 24.21 |
|
Short Swap |
SHORT |
10,400 |
GBP 24.21 |
|
Short Swap |
SHORT |
520 |
GBP 23.55 |
|
Short Swap |
SHORT |
5,018 |
GBP 24.02 |
|
Short Swap |
SHORT |
2,844 |
GBP 24.21 |
|
Short Swap |
SHORT |
1,498 |
GBP 23.95 |
|
Short Swap |
SHORT |
1,021 |
GBP 24.21 |
|
Short Swap |
SHORT |
1,008 |
GBP 23.77 |
|
Short Swap |
SHORT |
835 |
GBP 24.08 |
|
Short Swap |
SHORT |
34,648 |
GBP 23.55 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
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 |
5,000 |
£0.17 |
AMERICAN |
17-Apr-09 |
|
(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 |
21/10/2008 |
|
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 |
20/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,177,030 |
GBP 1.74 |
GBP 1.64 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,024,554 |
GBP 1.74 |
GBP 1.63 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
102,456 |
GBP 1.68 |
|
Long Swap |
LONG |
75,098 |
GBP 1.70 |
|
Long Swap |
LONG |
29,980 |
GBP 1.67 |
|
Long Swap |
LONG |
20,741 |
GBP 1.65 |
|
Long Swap |
LONG |
20,681 |
GBP 1.66 |
|
Long Swap |
LONG |
9,387 |
GBP 1.70 |
|
Long Swap |
LONG |
5,568 |
GBP 1.67 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1 |
GBP 1.67 |
|
Short Swap |
SHORT |
2 |
GBP 1.67 |
|
Short Swap |
SHORT |
6 |
GBP 1.67 |
|
Short Swap |
SHORT |
18 |
GBP 1.67 |
|
Short Swap |
SHORT |
20,741 |
GBP 1.66 |
|
Short Swap |
SHORT |
26,249 |
GBP 1.66 |
|
Short Swap |
SHORT |
29,980 |
GBP 1.67 |
|
(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 |
21/10/2008 |
|
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