12th Nov 2008 11:49
|
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 |
11/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,052,370 |
GBP 10.99 |
GBP 10.10 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,732,855 |
GBP 10.89 |
GBP 10.06 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
13,963 |
GBP 10.58 |
|
Long Swap |
LONG |
2 |
GBP 10.61 |
|
Long Swap |
LONG |
34,981 |
GBP 10.61 |
|
Long Swap |
LONG |
33,750 |
GBP 10.28 |
|
Long Swap |
LONG |
29,686 |
GBP 10.85 |
|
Long Swap |
LONG |
26,200 |
GBP 10.38 |
|
Long Swap |
LONG |
25,079 |
GBP 10.85 |
|
Long Swap |
LONG |
23,377 |
GBP 10.51 |
|
Long Swap |
LONG |
96,360 |
GBP 10.58 |
|
Long Swap |
LONG |
14,977 |
GBP 10.36 |
|
Long Swap |
LONG |
356,680 |
GBP 10.51 |
|
Long Swap |
LONG |
10,086 |
GBP 10.28 |
|
Long Swap |
LONG |
8,250 |
GBP 10.85 |
|
Long Swap |
LONG |
8,192 |
GBP 10.46 |
|
Long Swap |
LONG |
7,086 |
GBP 10.28 |
|
Long Swap |
LONG |
4,500 |
GBP 10.34 |
|
Long Swap |
LONG |
3,165 |
GBP 10.28 |
|
Long Swap |
LONG |
170 |
GBP 10.85 |
|
Long Swap |
LONG |
90 |
GBP 10.58 |
|
Long Swap |
LONG |
20,300 |
GBP 10.36 |
|
Long Swap |
LONG |
459,565 |
GBP 10.46 |
|
Long Swap |
LONG |
60,440 |
GBP 10.85 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
20,300 |
GBP 10.36 |
|
Short Swap |
SHORT |
2,449 |
GBP 10.79 |
|
Short Swap |
SHORT |
3,165 |
GBP 10.52 |
|
Short Swap |
SHORT |
4,500 |
GBP 10.35 |
|
Short Swap |
SHORT |
8,550 |
GBP 10.72 |
|
Short Swap |
SHORT |
10,000 |
GBP 10.86 |
|
Short Swap |
SHORT |
13,963 |
GBP 10.53 |
|
Short Swap |
SHORT |
14,977 |
GBP 10.38 |
|
Short Swap |
SHORT |
17,178 |
GBP 10.67 |
|
Short Swap |
SHORT |
1,610 |
GBP 10.73 |
|
Short Swap |
SHORT |
25,764 |
GBP 10.32 |
|
Short Swap |
SHORT |
26,200 |
GBP 10.36 |
|
Short Swap |
SHORT |
30,113 |
GBP 10.52 |
|
Short Swap |
SHORT |
42,841 |
GBP 10.86 |
|
Short Swap |
SHORT |
78,817 |
GBP 10.53 |
|
Short Swap |
SHORT |
356,680 |
GBP 10.52 |
|
Short Swap |
SHORT |
459,565 |
GBP 10.47 |
|
Short Swap |
SHORT |
15,250 |
GBP 10.47 |
|
(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 |
12/11/2008 |
|
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 |
11/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
6,392 |
GBP 6.36 |
GBP 6.36 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
5,086 |
GBP 6.37 |
GBP 6.37 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,249 |
GBP 6.36 |
|
Long Swap |
LONG |
1,110 |
GBP 6.36 |
|
Long Swap |
LONG |
1,000 |
GBP 6.36 |
|
Long Swap |
LONG |
93 |
GBP 6.36 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
561 |
GBP 6.37 |
|
Short Swap |
SHORT |
2,959 |
GBP 6.37 |
|
(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 |
12/11/2008 |
|
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 |
11/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
948,055 |
GBP 27.91 |
GBP 25.64 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
849,856 |
GBP 28.25 |
GBP 25.66 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
3,343 |
GBP 27.33 |
|
Long Swap |
LONG |
30 |
GBP 26.00 |
|
Long Swap |
LONG |
17,662 |
GBP 27.33 |
|
Long Swap |
LONG |
15,492 |
GBP 27.23 |
|
Long Swap |
LONG |
7,869 |
GBP 27.33 |
|
Long Swap |
LONG |
6,448 |
GBP 26.70 |
|
Long Swap |
LONG |
30,512 |
GBP 26.71 |
|
Long Swap |
LONG |
3,367 |
GBP 27.11 |
|
Long Swap |
LONG |
37,716 |
GBP 27.33 |
|
Long Swap |
LONG |
2,915 |
GBP 27.47 |
|
Long Swap |
LONG |
2,889 |
GBP 26.76 |
|
Long Swap |
LONG |
1,000 |
GBP 25.89 |
|
Long Swap |
LONG |
940 |
GBP 26.00 |
|
Long Swap |
LONG |
370 |
GBP 27.33 |
|
Long Swap |
LONG |
332 |
GBP 27.23 |
|
Long Swap |
LONG |
3,471 |
GBP 26.71 |
|
Long Swap |
LONG |
114,933 |
GBP 26.92 |
|
Long Swap |
LONG |
218,506 |
GBP 26.70 |
|
Long Swap |
LONG |
19,207 |
GBP 27.47 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
3,963 |
GBP 26.88 |
|
Short Swap |
SHORT |
630 |
GBP 27.29 |
|
Short Swap |
SHORT |
1,000 |
GBP 25.89 |
|
Short Swap |
SHORT |
1,650 |
GBP 26.84 |
|
Short Swap |
SHORT |
1,901 |
GBP 26.77 |
|
Short Swap |
SHORT |
2,889 |
GBP 26.84 |
|
Short Swap |
SHORT |
3,471 |
GBP 27.11 |
|
Short Swap |
SHORT |
109 |
GBP 27.11 |
|
Short Swap |
SHORT |
7,869 |
GBP 26.23 |
|
Short Swap |
SHORT |
30,478 |
GBP 26.62 |
|
Short Swap |
SHORT |
110,284 |
GBP 26.84 |
|
Short Swap |
SHORT |
218,506 |
GBP 26.77 |
|
Short Swap |
SHORT |
3,367 |
GBP 27.11 |
|
(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 |
12/11/2008 |
|
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 |
11/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,384,109 |
GBP 1.86 |
GBP 1.09 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,330,235 |
GBP 1.88 |
GBP 1.76 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
470,054 |
GBP 1.80 |
|
Long Swap |
LONG |
5,000 |
GBP 1.80 |
|
Long Swap |
LONG |
13,600 |
GBP 1.77 |
|
Long Swap |
LONG |
35,895 |
GBP 1.80 |
|
Long Swap |
LONG |
38,363 |
GBP 1.84 |
|
Long Swap |
LONG |
209,849 |
GBP 1.80 |
|
Long Swap |
LONG |
3,357 |
GBP 1.84 |
|
Long Swap |
LONG |
227,237 |
GBP 1.80 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
59 |
GBP 1.80 |
|
Short Swap |
SHORT |
227,237 |
GBP 1.80 |
|
Short Swap |
SHORT |
189,956 |
GBP 1.80 |
|
Short Swap |
SHORT |
24,443 |
GBP 1.81 |
|
Short Swap |
SHORT |
19,893 |
GBP 1.80 |
|
Short Swap |
SHORT |
13,600 |
GBP 1.78 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.80 |
|
Short Swap |
SHORT |
470,054 |
GBP 1.81 |
|
(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 |
12/11/2008 |
|
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 |
Related Shares:
BHP GroupRio Tinto