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EPT Disclosure

18th Sep 2008 10:29

RNS Number : 7328D
Citigroup GM Australia Pty Ltd
18 September 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

Citigroup Global Markets Australia Pty Limited

Company dealt in

Rio Tinto Ltd

Class of relevant security to which the dealings being disclosed relate (Note 1)

Ord/Equity

Date of dealing

17 September 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 

810,701  (0.18%)

 426,839  (0.09%)

(2) Derivatives (other than options)

(0.00%)

 (0.00%)

(3) Options and agreements to purchase/sell

806,793  (0.18%)

 1,634,529 (0.36%)

Total

1,617,494  (0.36%)

 2,061,368 (0.45%)

(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%)

  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)

294750

106.85

88425

106.85

44212

106.85

22106

106.85

1500

103.89

1139

103

943

103.95

814

101.94

500

103.7

491

101.91

491

101.91

491

101.8

490

102.05

490

102.05

490

102.05

490

102.05

490

102.05

490

102.05

490

102.05

490

102.05

490

102.05

490

102.03

490

102.05

490

102.03

490

102

490

102

490

102

490

102

488

102.4

487

102.59

487

102.59

487

102.56

487

102.56

487

102.56

487

102.59

487

102.59

487

102.59

487

102.59

487

102.7

486

102.78

486

102.8

486

102.8

486

102.8

486

102.8

486

102.8

486

102.8

486

102.8

486

102.8

486

102.8

484

102.56

483

102.03

482

102.5

480

104

478

101.91

478

102.58

477

102.59

462

102.78

461

102.05

459

103.33

451

102

421

102.68

413

101.89

413

101.81

411

101.77

407

103.96

401

101.8

392

102.7

390

102.05

382

102.59

381

103.98

377

103.98

371

102.34

368

102.8

350

101.9

349

102

345

102.36

341

102.5

339

101.9

330

104

330

104

309

102.35

306

105.11

306

102.34

300

103.96

294

102.4

292

103.96

287

102.85

283

102.71

280

101.89

280

105

276

101.8

272

104.74

270

102.05

258

102.8

255

103.95

255

102.79

250

101.92

248

102.59

245

102.02

244

102.59

243

102.56

230

101.91

224

103

222

104.99

221

101.76

219

102

213

103.47

207

101.89

195

102.7

192

103.35

192

102.03

187

102.57

187

102.76

185

102.05

183

103.35

183

101.82

179

102

171

102.03

170

102.75

169

104.16

165

103.87

165

102.74

152

102.57

148

102.74

145

101.89

142

101.9388

139

103.84

135

102.51

134

102.5

126

102.74

125

103.5

125

103.35

125

103.45

125

103.35

125

102.85

125

102.59

125

102.34

125

102.34

125

103.84

125

103.33

125

105

125

103.84

125

103.45

125

103.35

125

103

125

102.58

125

101.81

120

103.5

119

103.87

119

102.03

119

103.87

118

102.34

115

102.34

114

102.05

112

102.74

110

102.59

110

103.32

107

103.96

107

102.65

106

102.4

105

102.59

100

103

100

101.83

100

101.86

100

102.04

100

101.94

99

102.8

94

102.71

91

102.35

89

102.38

88

103.35

85

102.7

85

101.97

84

105.11

84

102.76

82

102

81

103.37

80

101.73

79

102.75

79

102.7

78

102.38

76

103.35

75

103.87

75

103.84

75

101.98

74

103.45

74

102.71

71

102.05

69

101.8

68

102.76

67

102.03

66

104.11

66

101.8

65

103.33

65

102.7

64

101.99

63

103.87

62

102.77

60

102.36

60

101.88

59

103.87

59

102.03

58

105

57

103.87

57

102

56

101.77

53

103.96

52

102.38

50

105.11

49

103.96

45

103.87

44

103.37

43

104.14

41

104

41

102.49

39

102.03

39

102.51

39

102.74

37

103.47

36

104.16

35

102

35

102

34

101.88

34

102.38

34

103.87

32

102.38

31

102.99

31

102.57

31

102.31

30

104.12

29

102.03

29

102.78

28

102.01

28

102.65

28

104.14

27

101.94

27

101.77

26

102.7

25

102.38

24

102.7

24

101.97

24

103.35

23

102.34

23

102.78

22

103.45

22

103.84

21

103.35

21

102.74

21

104.15

20

102.38

19

104.12

19

103.84

19

103.35

18

103.45

18

102.48

18

102.75

17

102.59

17

101.93

17

101.9

17

102.68

16

103.35

16

101.76

16

102.57

16

102.74

16

102.7

15

103.98

15

102

15

102.54

15

102.5

15

102

15

103.87

15

103.32

14

102.58

14

102.58

14

102.71

14

102.38

13

103.96

13

101.91

13

101.77

12

102.34

12

101.99

11

103.45

10

102

10

102.58

9

102.51

9

102.35

7

102.03

7

102.73

7

102.75

7

102.87

7

101.8

7

101.8

7

103.87

6

102.96

6

101.81

6

102.59

6

102.58

6

102.74

6

102.8

6

102.8

6

102.8

6

102.8

6

102.4

6

104.73

6

103.35

5

103.5

5

101.91

5

102.5

5

102.71

5

102.38

5

102.35

5

101.97

4

101.77

4

102.7

4

102.35

4

101.97

4

101.97

4

101.98

3

103.96

3

103.98

3

102.04

3

102.04

3

102.56

3

102.52

3

103.84

3

103.84

3

103.84

3

101.96

2

103.95

2

102.01

2

102.57

2

101.8

2

101.8

2

101.8

2

104.73

1

102.71

1

102.35

1

104.12

1

104.16

1

104.9

1

104.9

1

104.89

1

105

1

105

1

103.5

1

103.46

1

103.45

1

103.34

1

103.33

1

103.32

1

103

1

102.99

1

102.33

1

102.33

1

101.99

1

101.81

1

101.96

1

102.24

1

102.25

1

102.25

1

102.25

Total

506,893

Sales

Number of securities

Price per unit (Note 4)

AUD (unless stated)

-1

105

-1

102.71

-1

102.35

-1

104.11

-1

104.12

-1

104.9

-1

104.91

-1

104.75

-1

104.77

-1

104.78

-1

103.43

-1

103.43

-1

103.43

-1

103.31

-1

103.31

-1

103.32

-1

102.85

-1

102.85

-1

102.34

-1

101.8

-1

101.8

-1

101.8

-1

101.95

-1

102.25

-1

102.13

-1

102.12

-1

102.12

-2

101.78

-2

101.75

-2

101.8

-2

101.8

-2

101.8

-2

102.01

-2

102.57

-3

102.04

-3

102.04

-3

102.52

-3

102.56

-3

103.96

-3

103.98

-4

101.97

-4

101.78

-4

101.78

-4

101.98

-4

101.97

-4

102.35

-4

101.97

-4

102.7

-4

101.77

-5

101.97

-5

102.71

-5

102.5

-5

102.38

-5

102.35

-5

101.97

-5

101.91

-5

104.62

-6

101.76

-6

101.78

-6

101.81

-6

102.58

-6

102.74

-6

102.8

-6

102.8

-6

102.8

-6

102.8

-6

102.4

-6

102.59

-6

101.81

-7

105.5

-7

104.84

-7

104.71

-7

101.8

-7

101.8

-7

102.73

-7

102.75

-7

102.87

-7

102.03

-7

104.62

-8

105

-8

104.62

-9

104.28

-9

102.51

-9

102.35

-10

101.97

-10

104.29

-10

102

-10

102.58

-10

104.62

-11

101.78

-12

101.99

-12

102.34

-13

104.85

-13

104.84

-13

104

-13

101.77

-13

101.91

-13

103.96

-14

102.58

-14

102.71

-14

102.58

-14

102.38

-15

102

-15

102

-15

102.5

-15

102.54

-15

102

-15

103.98

-16

101.76

-16

102.7

-16

102.57

-16

102.74

-16

101.76

-17

105.5

-17

101.78

-17

101.87

-17

102.68

-17

101.9

-18

102.48

-18

102.75

-20

102.38

-21

102.74

-23

102.78

-23

102.34

-24

101.97

-24

102.7

-25

104.5

-25

102

-25

102.38

-26

101.78

-26

102.7

-27

101.77

-27

104.62

-28

104.29

-28

102.65

-28

102.01

-29

105.16

-29

102.78

-29

102.03

-30

102.15

-31

105

-31

102.57

-31

102.31

-32

102.38

-32

104.62

-33

105

-34

105

-34

102.38

-34

101.88

-34

104.54

-35

102

-35

102

-39

102.74

-39

102.03

-39

102.51

-40

104.84

-40

102

-41

104

-41

102.49

-46

104.56

-48

104.84

-49

105.5

-49

101.87

-49

103.96

-50

105

-50

104

-50

104

-50

102

-50

102

-52

102.38

-53

104.5

-53

103.96

-54

101.97

-54

104.5

-56

101.77

-57

104

-57

102

-58

105

-59

101.78

-59

102.03

-60

102.36

-60

101.88

-61

101.78

-62

102.77

-63

104.5

-65

102.7

-66

103.86

-66

101.8

-66

104.11

-67

102.03

-68

105

-68

101.78

-68

102.76

-69

101.8

-71

101.97

-71

102.05

-74

105

-74

102.71

-75

104.71

-78

102.38

-79

102.7

-79

102.75

-80

104

-80

101.73

-81

101.78

-82

101.78

-82

102

-84

102.76

-85

102.7

-85

101.97

-86

101.78

-89

102.38

-93

101.78

-93

101.78

-94

102.71

-95

105

-97

104.84

-99

101.78

-99

102.8

-100

105

-100

104

-100

104

-100

104

-100

104

-100

101.94

-100

102.04

-100

101.83

-100

101.86

-100

104.51

-105

102.59

-106

102.4

-107

102.65

-107

103.96

-112

102.74

-114

101.78

-114

102.05

-115

102.34

-118

102.34

-119

102.03

-119

103.87

-119

103.87

-120

101.97

-125

104.9

-125

103.84

-125

103.84

-125

103.5

-125

103.35

-125

103.33

-125

103.35

-125

103.35

-125

102.85

-125

102.59

-125

102.34

-126

102.74

-132

104.61

-134

102.5

-135

102.51

-142

101.9388

-144

104

-144

104.62

-145

101.89

-148

104.85

-148

102.74

-150

105

-152

102.57

-161

101.78

-165

102.74

-170

102.75

-171

102.03

-179

102

-183

101.87

-183

101.82

-185

102.05

-187

102.57

-187

102.76

-192

102.03

-195

102.7

-207

101.89

-209

102

-219

102

-221

105

-221

101.76

-225

105

-230

101.91

-243

102.56

-244

102.59

-245

102.02

-248

104.29

-250

105

-255

102.79

-256

104

-256

102

-258

102.8

-260

101.78

-269

102

-270

102.05

-276

101.8

-279

102

-280

105

-280

102

-280

101.89

-283

102.71

-289

105.5

-289

102

-292

103.96

-294

102.4

-300

105.5

-300

105.16

-300

103.96

-306

102.34

-307

105

-330

104.89

-330

104

-339

101.9

-341

102.5

-345

102.36

-349

102.2243

-350

101.9

-367

104.5

-368

102.8

-371

102.34

-377

103.98

-378

105

-381

103.98

-382

105.5

-382

102.59

-390

102.05

-392

102.7

-401

101.8

-405

101.78

-407

103.96

-411

101.77

-413

101.81

-413

101.89

-421

102.68

-440

104.1

-451

102

-461

102.05

-462

102.78

-465

105

-467

105

-477

102.59

-478

101.91

-478

102.58

-482

102.5

-483

102.03

-484

102.56

-486

102.8

-486

102.8

-486

102.78

-486

102.8

-486

102.8

-486

102.8

-486

102.8

-486

102.8

-486

102.8

-486

102.8

-487

102.59

-487

102.59

-487

102.59

-487

102.7

-487

102.59

-487

102.59

-487

102.56

-487

102.56

-487

102.56

-487

102.59

-488

102.4

-490

102.05

-490

102.05

-490

102.05

-490

102.05

-490

102.05

-490

102.05

-490

102.05

-490

102.03

-490

102

-490

102

-490

102

-490

102

-490

102.05

-490

102.03

-490

102.05

-490

102.05

-491

101.8

-491

101.91

-491

101.91

-500

104

-541

102

-575

104.44

-600

105

-600

105

-623

104.22

-623

104

-624

104

-624

104

-625

105

-647

104

-652

105

-949

104

-950

105

-971

105

-988

105

-1000

105

-1000

105

-1000

104.7

-1170

105

-1177

104.71

-1552

104.29

-1617

104.5

-1900

104.5

-2000

104

-2004

105

-2280

105

-2310

104

-2400

104.84

-2473

102

-3000

105

-3499

105

-4671

105.16

-7424

105

-8705

102

-14729

106.85

-25000

104.3757

-29475

106.85

-29475

106.85

-29475

106.85

-41928

104

Total

289,346

 (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

(C = call option;

 P = put 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) 

C

purchasing

8000

99.227

E

20081126

1.365

C

purchasing

6000

99.227

E

20081126

1.5

C

purchasing

4800

99.227

E

20081126

0.865

P

purchasing

-6600

100

E

20081218

1.58

C

purchasing

6000

135

E

20081218

0.475

P

selling

6600

100

E

20081218

1.6

C

selling

-4800

99.227

E

20081126

1.345

C

selling

-6000

99.227

E

20081126

1.38

C

selling

-8000

99.227

E

20081126

1.62

C

selling

-11800

99.227

E

20081126

1.235

C

selling

-120000

145

E

20081218

0.31

(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.

NONE

Is a Supplemental Form 38.5(b) attached? (Note 8) YES

Date of disclosure

18 September 2008

Contact name

Pavla Trskova

Telephone number

02890 409544

Name of offeree/offeror with which connected

BHP Billiton plc

Nature 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 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 (Note 2)

Type, e.g. American, European etc.

Expiry date

P

purchased

-6646

37.6132

E

20091001

P

purchased

-6415

77.94

E

20100219

P

purchased

-2591

38.5842

E

20091201

P

purchased

-1273

78.5

E

20110630

P

purchased

-1152

43.3704

E

20100628

P

purchased

-1152

43.3704

E

20100628

P

purchased

-561

89

E

20100809

P

purchased

-514

77.8

E

20090630

P

purchased

-464

95.75

E

20100629

P

purchased

-422

138.11

E

20120416

P

purchased

-388

77.2

E

20110627

P

purchased

-332

75.22

E

20100524

P

purchased

-302

82.55

E

20100517

P

purchased

-290

95.75

E

20100628

P

purchased

-232000

78.46

A

20090924

P

purchased

-208

95.7

E

20120905

P

purchased

-203

98.22

E

20120912

P

purchased

-191

78.5

E

20110630

P

purchased

-191

78.5

E

20110630

P

purchased

-154000

138

A

20080925

P

purchased

-112000

68.66

A

20090924

P

purchased

-100000

136

A

20080925

P

purchased

-90000

110

A

20081218

P

purchased

-71000

75

A

20111222

P

purchased

-57000

80

A

20111222

P

purchased

-50000

122

A

20081218

P

purchased

-44000

72

A

20081218

C

purchased

25000

126

A

20080925

C

purchased

25000

126

A

20080925

P

purchased

-25000

115

A

20081030

P

purchased

-15000

120

A

20081030

P

purchased

-8000

121

A

20081127

P

purchased

-5000

68

A

20101223

P

purchased

-5000

120

A

20080925

C

purchased

2000

78.46

A

20090924

P

purchased

-2000

77

A

20111222

C

purchased

1000

138

A

20081030

C

written

-1000

116

A

20081030

C

written

-2000

124

A

20080925

P

written

9000

114

A

20080925

P

written

30000

120

A

20080925

C

written

-33000

85

A

20111222

P

written

39000

58

A

20080925

C

written

-50000

122

A

20081218

C

written

-70

105

A

20081127

P

written

71

141.69

A

20130627

C

written

-75000

56.89

A

20090924

P

written

77000

132

A

20080925

P

written

77

129.41

A

20121220

P

written

78

128.75

A

20130228

P

written

79

127.31

A

20130228

P

written

81

124.35

A

20130228

P

written

87

143.31

A

20130627

P

written

88

141.79

A

20110630

P

written

88

141.69

A

20110630

P

written

90

139.04

A

20130627

P

written

99

141.75

A

20130627

P

written

107

139.59

A

20130627

P

written

115

130.34

A

20121220

P

written

117

128.71

A

20110224

P

written

130000

60

A

20080925

P

written

138

92.66

A

20110728

P

written

140000

130

A

20081218

P

written

141

93.6

A

20110728

P

written

159

94.02

A

20110728

P

written

160

131.2

A

20130328

P

written

177

140.36

A

20130627

P

written

191

78.5

E

20110630

P

written

191

78.5

E

20110630

P

written

191

78.5

E

20110630

P

written

191

78.5

E

20110630

P

written

203

98.22

E

20120912

P

written

203

98.22

E

20120912

P

written

208

95.7

E

20120905

P

written

208

95.7

E

20120905

P

written

266

94.08

A

20110728

P

written

268

135.22

A

20110412

C

written

-270

65

A

20081127

P

written

290

95.75

E

20100628

P

written

290

95.75

E

20100628

P

written

296

135.38

A

20130725

P

written

302

82.55

E

20100517

P

written

302

82.55

E

20100517

P

written

330

136.18

A

20130627

P

written

332

75.22

E

20100524

P

written

332

75.22

E

20100524

P

written

365

137

A

20130328

C

written

-385

59.227

A

20130627

P

written

388

77.2

E

20110627

P

written

388

77.2

E

20110627

P

written

392

131.14

A

20121011

P

written

400

131.96

A

20130205

P

written

405

98.1

A

20100625

P

written

422

138.11

E

20120416

P

written

422

138.11

E

20120416

P

written

464

95.75

E

20100629

P

written

464

95.75

E

20100629

P

written

514

77.8

E

20090630

P

written

514

77.8

E

20090630

P

written

561

89

E

20100809

P

written

561

89

E

20100809

P

written

725

138

A

20130228

C

written

-774

95

A

20081218

P

written

869

89.4361

A

20110207

P

written

873

137.5

A

20130725

C

written

-885

88

E

20091215

P

written

1132

83.22

A

20111007

P

written

1152

43.3704

E

20100628

P

written

1152

43.3704

E

20100628

P

written

1152

43.3704

E

20100628

P

written

1152

43.3704

E

20100628

P

written

1188

105.3

A

20110523

P

written

1273

78.5

E

20110630

P

written

1273

78.5

E

20110630

P

written

1370

85.0735

A

20110228

P

written

1592

153.6

A

20130107

P

written

1936

174.48

A

20130521

C

written

-1948

66

E

20091215

P

written

1976

160.932

A

20121128

C

written

-2000

110

A

20081218

P

written

2248

73.8533

A

20101229

C

written

-2491

85

A

20100623

P

written

2591

38.5842

E

20091201

P

written

2591

38.5842

E

20091201

P

written

2862

119

A

20120711

P

written

2994

85.04

A

20110328

P

written

3105

99.8

A

20110428

P

written

3188

115.61

A

20120613

C

written

-13120

99.227

E

20081126

P

written

3388

164.66

A

20121227

P

written

3801

96.12

A

20110623

P

written

4320

99.12

A

20120425

P

written

4420

88.07

A

20110623

P

written

4886

97.272

A

20120828

P

written

5066

109.19

A

20120530

P

written

5428

92.64

A

20110624

P

written

5810

119.75

A

20120628

P

written

6268

88.6

A

20120327

P

written

6415

77.94

E

20100219

P

written

6415

77.94

E

20100219

C

written

-6437

64

A

20090619

P

written

6528

116.82

A

20120711

P

written

6646

37.6132

E

20091001

P

written

6646

37.6132

E

20091001

P

written

6789

94.91

A

20110623

P

written

73200

100

E

20081218

C

written

-118800

115

E

20081218

C

written

-120000

145

E

20081218

C

written

-21554

58.592

A

20120628

C

written

-23500

85

E

20090730

C

written

-168000

135

E

20081218

P

written

30588

56.0324

E

20081103

P

written

40000

74.25

E

20110727

P

written

50979

56.1501

A

20101011

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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