23rd Oct 2008 11:34
|
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 |
22/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,136,565 |
GBP 9.11 |
GBP 8.65 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,206,537 |
GBP 9.32 |
GBP 8.72 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
824,959 |
GBP 8.91 |
|
Long Swap |
LONG |
1,000 |
GBP 8.78 |
|
Long Swap |
LONG |
1,000 |
GBP 8.96 |
|
Long Swap |
LONG |
2,980 |
GBP 8.84 |
|
Long Swap |
LONG |
4,633 |
GBP 8.86 |
|
Long Swap |
LONG |
7,113 |
GBP 9.06 |
|
Long Swap |
LONG |
7,208 |
GBP 9.02 |
|
Long Swap |
LONG |
7,350 |
GBP 8.84 |
|
Long Swap |
LONG |
14,500 |
GBP 8.85 |
|
Long Swap |
LONG |
16,106 |
GBP 9.05 |
|
Long Swap |
LONG |
26,110 |
GBP 8.84 |
|
Long Swap |
LONG |
194,784 |
GBP 8.97 |
|
Long Swap |
LONG |
889 |
GBP 9.06 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
194,784 |
GBP 8.96 |
|
Short Swap |
SHORT |
889 |
GBP 9.04 |
|
Short Swap |
SHORT |
16,650 |
GBP 8.91 |
|
Short Swap |
SHORT |
16,106 |
GBP 9.01 |
|
Short Swap |
SHORT |
14,500 |
GBP 8.84 |
|
Short Swap |
SHORT |
9,492 |
GBP 8.96 |
|
Short Swap |
SHORT |
8,990 |
GBP 8.98 |
|
Short Swap |
SHORT |
7,143 |
GBP 8.96 |
|
Short Swap |
SHORT |
7,113 |
GBP 9.01 |
|
Short Swap |
SHORT |
6,047 |
GBP 8.83 |
|
Short Swap |
SHORT |
4,633 |
GBP 8.96 |
|
Short Swap |
SHORT |
3,332 |
GBP 8.96 |
|
Short Swap |
SHORT |
1,000 |
GBP 8.80 |
|
Short Swap |
SHORT |
1,000 |
GBP 8.97 |
|
Short Swap |
SHORT |
824,959 |
GBP 8.90 |
|
(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 |
23/10/2008 |
|
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 |
22/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
781 |
GBP 6.33 |
GBP 6.33 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
12,756 |
GBP 6.34 |
GBP 6.32 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
781 |
GBP 6.33 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
582 |
GBP 6.32 |
|
Short Swap |
SHORT |
1,009 |
GBP 6.32 |
|
Short Swap |
SHORT |
2,000 |
GBP 6.32 |
|
Short Swap |
SHORT |
3,834 |
GBP 6.32 |
|
Short Swap |
SHORT |
5,331 |
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 |
23/10/2008 |
|
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 |
22/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,468,592 |
GBP 25.82 |
GBP 23.41 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,400,814 |
GBP 24.88 |
GBP 23.35 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
311,095 |
GBP 24.11 |
|
Long Swap |
LONG |
1,012 |
GBP 24.04 |
|
Long Swap |
LONG |
2,000 |
GBP 23.76 |
|
Long Swap |
LONG |
4,414 |
GBP 24.28 |
|
Long Swap |
LONG |
4,994 |
GBP 24.11 |
|
Long Swap |
LONG |
6,618 |
GBP 24.50 |
|
Long Swap |
LONG |
7,203 |
GBP 24.55 |
|
Long Swap |
LONG |
8,493 |
GBP 24.04 |
|
Long Swap |
LONG |
13,433 |
GBP 24.55 |
|
Long Swap |
LONG |
911 |
GBP 24.47 |
|
Long Swap |
LONG |
63,232 |
GBP 24.50 |
|
Long Swap |
LONG |
33,944 |
GBP 24.55 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
23 |
GBP 23.63 |
|
Short Swap |
SHORT |
319,477 |
GBP 24.17 |
|
Short Swap |
SHORT |
63,232 |
GBP 24.41 |
|
Short Swap |
SHORT |
12,000 |
GBP 24.53 |
|
Short Swap |
SHORT |
8,493 |
GBP 24.41 |
|
Short Swap |
SHORT |
7,345 |
GBP 23.89 |
|
Short Swap |
SHORT |
7,203 |
GBP 24.15 |
|
Short Swap |
SHORT |
2,000 |
GBP 23.67 |
|
Short Swap |
SHORT |
1,012 |
GBP 24.49 |
|
Short Swap |
SHORT |
791 |
GBP 24.49 |
|
(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 |
23/10/2008 |
|
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 |
22/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,148,462 |
GBP 1.75 |
GBP 1.68 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,249,563 |
GBP 1.79 |
GBP 1.68 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
354,636 |
GBP 1.73 |
|
Long Swap |
LONG |
144,939 |
GBP 1.73 |
|
Long Swap |
LONG |
134,084 |
GBP 1.74 |
|
Long Swap |
LONG |
47,664 |
GBP 1.73 |
|
Long Swap |
LONG |
22,900 |
GBP 1.75 |
|
Long Swap |
LONG |
8,939 |
GBP 1.74 |
|
Long Swap |
LONG |
127 |
GBP 1.73 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1 |
GBP 1.73 |
|
Short Swap |
SHORT |
2 |
GBP 1.73 |
|
Short Swap |
SHORT |
10 |
GBP 1.73 |
|
Short Swap |
SHORT |
47,664 |
GBP 1.73 |
|
Short Swap |
SHORT |
79,133 |
GBP 1.71 |
|
Short Swap |
SHORT |
137,270 |
GBP 1.71 |
|
Short Swap |
SHORT |
144,939 |
GBP 1.74 |
|
Short Swap |
SHORT |
354,636 |
GBP 1.73 |
|
(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 |
23/10/2008 |
|
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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