30th Sep 2008 11:42
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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 |
|
Name of EPT |
Merrill Lynch International |
|
Date of disclosure |
30 September 2008 |
|
Date of dealing |
29 September 2008 |
|
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 |
|
29 September 2008 |
|
Rio Tinto Plc - Common |
|
Lloyds TSB Group Plc - Common |
|
Axon Group Plc - Common |
|
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 |
Axon Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
29/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
31,248 |
GBP 6.83 |
GBP 6.79 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
34,064 |
GBP 6.85 |
GBP 6.78 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
12,598 |
GBP 6.79 |
|
Long Swap |
LONG |
1,002 |
GBP 6.79 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,659 |
GBP 6.83 |
|
Short Swap |
SHORT |
7,301 |
GBP 6.82 |
|
(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 |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
31,248 |
GBP 6.83 |
GBP 6.79 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
34,064 |
GBP 6.85 |
GBP 6.78 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
12,598 |
GBP 6.79 |
|
Long Swap |
LONG |
1,002 |
GBP 6.79 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,659 |
GBP 6.83 |
|
Short Swap |
SHORT |
7,301 |
GBP 6.82 |
|
(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 |
30/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
HCL EAS Limited |
|
Nature of connection # |
Advisor |
|
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 |
Rio Tinto Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
29/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,747,416 |
GBP 39.49 |
GBP 0.01 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,576,158 |
GBP 36.24 |
GBP 32.91 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
7,359 |
GBP 35.67 |
|
Long Swap |
LONG |
1,630 |
GBP 34.31 |
|
Long Swap |
LONG |
30 |
GBP 34.56 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
5 |
GBP 33.42 |
|
Short Swap |
SHORT |
100 |
GBP 33.40 |
|
Short Swap |
SHORT |
330 |
GBP 35.43 |
|
Short Swap |
SHORT |
1,310 |
GBP 33.73 |
|
Short Swap |
SHORT |
2,876 |
GBP 33.31 |
|
Short Swap |
SHORT |
16,259 |
GBP 33.66 |
|
(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 |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,747,416 |
GBP 39.49 |
GBP 0.01 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,576,158 |
GBP 36.24 |
GBP 32.91 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
7,359 |
GBP 35.67 |
|
Long Swap |
LONG |
1,630 |
GBP 34.31 |
|
Long Swap |
LONG |
30 |
GBP 34.56 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
5 |
GBP 33.42 |
|
Short Swap |
SHORT |
100 |
GBP 33.40 |
|
Short Swap |
SHORT |
330 |
GBP 35.43 |
|
Short Swap |
SHORT |
1,310 |
GBP 33.73 |
|
Short Swap |
SHORT |
2,876 |
GBP 33.31 |
|
Short Swap |
SHORT |
16,259 |
GBP 33.66 |
|
(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 |
30/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
|
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 |
Lloyds TSB Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
29/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
15,554,752 |
GBP 2.37 |
GBP 0.02 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
16,296,926 |
GBP 2.47 |
GBP 0.02 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
645,000 |
GBP 2.28 |
|
Long Swap |
LONG |
2,435 |
GBP 2.27 |
|
Long Swap |
LONG |
10,000 |
GBP 2.13 |
|
Long Swap |
LONG |
11,000 |
GBP 2.21 |
|
Long Swap |
LONG |
21,556 |
GBP 2.38 |
|
Long Swap |
LONG |
22,738 |
GBP 2.35 |
|
Long Swap |
LONG |
22,738 |
GBP 2.35 |
|
Long Swap |
LONG |
26,747 |
GBP 2.40 |
|
Long Swap |
LONG |
30,000 |
GBP 2.24 |
|
Long Swap |
LONG |
60,202 |
GBP 2.22 |
|
Long Swap |
LONG |
85,000 |
GBP 2.15 |
|
Long Swap |
LONG |
1,800 |
GBP 2.19 |
|
Long Swap |
LONG |
310,000 |
GBP 2.20 |
|
Long Swap |
LONG |
89,798 |
GBP 2.22 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,800 |
GBP 2.18 |
|
Short Swap |
SHORT |
85,000 |
GBP 2.25 |
|
Short Swap |
SHORT |
49,720 |
GBP 2.25 |
|
Short Swap |
SHORT |
32,023 |
GBP 2.25 |
|
Short Swap |
SHORT |
30,000 |
GBP 2.23 |
|
Short Swap |
SHORT |
21,556 |
GBP 2.37 |
|
Short Swap |
SHORT |
15,564 |
GBP 2.37 |
|
Short Swap |
SHORT |
12,033 |
GBP 2.18 |
|
Short Swap |
SHORT |
11,183 |
GBP 2.39 |
|
Short Swap |
SHORT |
11,000 |
GBP 2.20 |
|
Short Swap |
SHORT |
10,000 |
GBP 2.15 |
|
(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 |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
15,554,752 |
GBP 2.37 |
GBP 0.02 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
16,296,926 |
GBP 2.47 |
GBP 0.02 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
645,000 |
GBP 2.28 |
|
Long Swap |
LONG |
2,435 |
GBP 2.27 |
|
Long Swap |
LONG |
10,000 |
GBP 2.13 |
|
Long Swap |
LONG |
11,000 |
GBP 2.21 |
|
Long Swap |
LONG |
21,556 |
GBP 2.38 |
|
Long Swap |
LONG |
22,738 |
GBP 2.35 |
|
Long Swap |
LONG |
22,738 |
GBP 2.35 |
|
Long Swap |
LONG |
26,747 |
GBP 2.40 |
|
Long Swap |
LONG |
30,000 |
GBP 2.24 |
|
Long Swap |
LONG |
60,202 |
GBP 2.22 |
|
Long Swap |
LONG |
85,000 |
GBP 2.15 |
|
Long Swap |
LONG |
1,800 |
GBP 2.19 |
|
Long Swap |
LONG |
310,000 |
GBP 2.20 |
|
Long Swap |
LONG |
89,798 |
GBP 2.22 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,800 |
GBP 2.18 |
|
Short Swap |
SHORT |
85,000 |
GBP 2.25 |
|
Short Swap |
SHORT |
49,720 |
GBP 2.25 |
|
Short Swap |
SHORT |
32,023 |
GBP 2.25 |
|
Short Swap |
SHORT |
30,000 |
GBP 2.23 |
|
Short Swap |
SHORT |
21,556 |
GBP 2.37 |
|
Short Swap |
SHORT |
15,564 |
GBP 2.37 |
|
Short Swap |
SHORT |
12,033 |
GBP 2.18 |
|
Short Swap |
SHORT |
11,183 |
GBP 2.39 |
|
Short Swap |
SHORT |
11,000 |
GBP 2.20 |
|
Short Swap |
SHORT |
10,000 |
GBP 2.15 |
|
(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 |
30/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Lloyds TSB Group Plc |
|
Nature of connection # |
Advisor |
Related Shares:
LloydsRio Tinto