18th Nov 2008 11:43
FORM 38.5(b)
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 | ABN AMRO BANK N.V. London Branch (Subsidiary of RFS Holding N.V.) |
| Company dealt in | Rio Tinto Plc |
| Class of relevant security to which the dealings being disclosed relate (Note 1) | ORD GBP 0.10 |
| Date of dealing | 17 November 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 | 1,111,881 | 0.1114% | 16,238 | 0.0016% | |||||
| (2) Derivatives (other than options) | 5,546 | 0.0006% | 58,711 | 0.0059% | |||||
| (3) Options and agreements to purchase/sell | 485,022 | 0.0486% | 376,000 | 0.0377% | |||||
| Total | 1,602,449 | 0.1606% | 450,949 | 0.0452% | |||||
(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 | |||||||
|
| Number | (%) | Number | (%) | |||||
| (1) Relevant securities | 0 | 0% | 0 | 0% | |||||
| (2) Derivatives (other than options) | 0 | 0% | 0 | 0% | |||||
| (3) Options and agreements to purchase/sell | 0 | 0% | 0 | 0% | |||||
| Total | 0 | 0% | 0 | 0% | |||||
(c) Rights to subscribe (Note 2)
| Class of relevant security: | Details |
3. DEALINGS (Note 3)
(a) Purchases and sales
| Purchase/sale | Number of securities | Price per unit (Note 4) | |||
| Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase TOTAL
Sale Sale Sale Sale Sale Sale TOTAL | 400 337 477 335 339 341 343 243 325 359 803 326 191 448 890 6,400 327 369 329 218 419 158 177 334 157 370 342 550 412 154 897 330 543 292 514 213 853 162 557 173 487 163 994 273 152 436 303 152 146 269 235 400 25,417
186 400 15,000 2,943 238 650 19,417 | 23.9100 GBP 24.0100 GBP 24.0600 GBP 24.0700 GBP 24.1200 GBP 24.1600 GBP 24.2300 GBP 24.2500 GBP 24.3200 GBP 24.3900 GBP 24.4200 GBP 24.4900 GBP 24.5200 GBP 24.5300 GBP 24.5600 GBP 24.5800 GBP 24.7000 GBP 24.7400 GBP 24.7700 GBP 24.8000 GBP 24.8100 GBP 24.8200 GBP 24.8300 GBP 24.8400 GBP 24.8500 GBP 24.8700 GBP 24.8900 GBP 24.9100 GBP 24.9200 GBP 24.9300 GBP 24.9400 GBP 24.9600 GBP 24.9700 GBP 24.9800 GBP 25.0100 GBP 25.0200 GBP 25.0300 GBP 25.0400 GBP 25.0500 GBP 25.0600 GBP 25.0700 GBP 25.0800 GBP 25.0900 GBP 25.1000 GBP 25.1100 GBP 25.1217 GBP 25.1300 GBP 25.1500 GBP 25.1700 GBP 25.3700 GBP 25.7600 GBP 25.8000 GBP
24.2100 GBP 24.5800 GBP 24.7116 GBP 24.9377 GBP 25.0500 GBP 25.8000 GBP |
(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) | ||||
| Dec 2008 Call Warrant | Short | 60 | 0.4200 EUR |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
| Product name, e.g. call option | Writing, selling, purchasing, varying etc. | Number of securities to which the option relates (Note 6) | Exercise price | Type, e.g. American, European etc. | Expiry Date | Option money paid/received per unit (Note 4) |
(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. |
Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO
| Date of disclosure | 18 November 2008 |
| Contact name | Fraser Wyeth |
| Telephone number | +44 (0) 20 7678 0480 |
| Name of offeree/offeror with which connected | Rio Tinto |
| Nature of connection (Note 9) | 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 8
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 8.1, Form 8.1(b)(ii) or Form 8.3, as appropriate)
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 | ||||||
| Dec 2008 Put Option | Written | 1,022 | 30.3400 GBP | American | 19-Dec-08 | ||||||
| Dec 2008 Put Option | Purchased | 150,000 | 38.0000 GBP | American | 19-Dec-08 | ||||||
| Dec 2008 Put Option | Purchased | 10,000 | 40.0000 GBP | American | 19-Dec-08 | ||||||
| Dec 2008 Put Option | Purchased | 1,000 | 44.0000 GBP | American | 19-Dec-08 | ||||||
| Dec 2008 Call Option | Purchased | 1,000 | 48.0000 GBP | American | 19-Dec-08 | ||||||
| Dec 2008 Put Option | Written | 10,000 | 48.0000 GBP | American | 19-Dec-08 | ||||||
| Dec 2008 Call Option | Purchased | 48,000 | 52.0000 GBP | American | 19-Dec-08 | ||||||
| Dec 2008 Put Option | Written | 12,000 | 52.0000 GBP | American | 19-Dec-08 | ||||||
| Dec 2008 Call Option | Written | 58,000 | 56.0000 GBP | American | 19-Dec-08 | ||||||
| Dec 2008 Put Option | Written | 61,000 | 56.0000 GBP | American | 19-Dec-08 | ||||||
| Dec 2008 Call Option | Written | 2,000 | 72.0000 GBP | American | 19-Dec-08 | ||||||
| Oct 2008 Call Option | Purchase | 35,000 | 48.0000 GBP | American | 17-Oct-08 | ||||||
| Dec 2009 Put Option | Purchase | 1,000 | 40.0000 GBP | American | 18-Dec-09 | ||||||
| June 2009 Call Option | Purchase | 29,000 | 48.0000 GBP | American | 19-Jun-09 | ||||||
| June 2009 Put Option | Written | 10,000 | 48.0000 GBP | American | 19-Jun-09 | ||||||
| June 2009 Call Option | Written | 4,000 | 56.0000 GBP | American | 19-Jun-09 | ||||||
| June 2009 Put Option | Written | 13,000 | 56.0000 GBP | American | 19-Jun-09 | ||||||
| Dec 2008 Call Option | Written | 75,000 | 52.0000 GBP | European | 19-Dec-08 | ||||||
| Dec 2010 Put Option | Purchase | 75,000 | 56.0000 GBP | European | 17-Dec-10 | ||||||
| Dec 2008 Put Option | Written | 150,000 | 38.0000 GBP | European | 19-Dec-08 | ||||||
| Dec 2008 Call Option | Purchase | 150,000 | 60.0000 GBP | European | 19-Dec-08 | ||||||
| Oct 2008 Call Option | Purchase | 250,000 | 48.0000 GBP | American | 19-Dec-08 |
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 Rule 8 and its Notes which can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk
Copyright Business Wire 2008
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Rio Tinto