10th Sep 2008 11:33
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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 |
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Name of EPT |
Merrill Lynch International |
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Date of disclosure |
10 September 2008 |
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Date of dealing |
09 September 2008 |
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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 |
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09 September 2008 |
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Rio Tinto Plc - Common |
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Imperial Energy Corporation Plc - Common |
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BHP Billiton Limited - Common |
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Banco Santander SA. - Common |
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FORM |
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38.5(a) |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
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(Rule 38.5 of The City Code on Takeovers and Mergers) |
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1. KEY INFORMATION |
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Name of exempt principal trader |
Merrill Lynch International |
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Company dealt in |
Rio Tinto Plc |
|
Class of relevant security to which the |
Common |
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dealings being disclosed relate |
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Date of dealing |
09/09/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
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Total number of securities |
Highest price paid |
Lowest price paid |
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purchased |
|
953,280 |
GBP 44.54 |
GBP 41.79 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
906,427 |
GBP 44.54 |
GBP 41.76 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
38,325 |
GBP 42.84 |
|
Long Swap |
LONG |
40 |
GBP 42.20 |
|
Long Swap |
LONG |
295 |
GBP 42.15 |
|
Long Swap |
LONG |
1,252 |
GBP 44.11 |
|
Long Swap |
LONG |
1,550 |
GBP 42.80 |
|
Long Swap |
LONG |
3,250 |
GBP 42.80 |
|
Long Swap |
LONG |
20 |
GBP 42.17 |
|
Long Swap |
LONG |
24,715 |
GBP 42.84 |
|
Long Swap |
LONG |
20,000 |
GBP 44.32 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
657 |
GBP 41.79 |
|
Short Swap |
SHORT |
24,715 |
GBP 44.18 |
|
Short Swap |
SHORT |
20,000 |
GBP 44.49 |
|
Short Swap |
SHORT |
17,344 |
GBP 44.18 |
|
Short Swap |
SHORT |
10,337 |
GBP 44.18 |
|
Short Swap |
SHORT |
6,087 |
GBP 44.18 |
|
Short Swap |
SHORT |
2,060 |
GBP 44.11 |
|
(c) Options transactions in respect of existing securities |
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(i) Writing, selling, purchasing or varying |
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Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry date |
Option |
|
selling, |
securities under |
price |
American, |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
Warrant |
Selling |
-5,000 |
£0.19 |
AMERICAN |
17-Oct-08 |
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(ii) Exercising |
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Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
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3. OTHER INFORMATION |
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Agreements, arrangements or understandings relating to options or derivatives |
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Full details of any agreement, arrangement or understanding between the person disclosing and any |
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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 |
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any derivative referred to on this form is referenced. If none, this should be stated. |
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NONE |
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Date of disclosure |
10/09/2008 |
|
Contact name |
Louise Howard |
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Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
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Nature of connection # |
Advisor |
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FORM 38.5 |
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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 |
Banco Santander SA. |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
09/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,392,471 |
EUR 11.89 |
EUR 11.00 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,754,024 |
EUR 11.88 |
EUR 11.51 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
45,400 |
EUR 11.81 |
|
Long Swap |
LONG |
34,104 |
EUR 11.73 |
|
Long Swap |
LONG |
33,459 |
EUR 11.70 |
|
Long Swap |
LONG |
31,400 |
EUR 11.71 |
|
Long Swap |
LONG |
30,598 |
EUR 11.70 |
|
Long Swap |
LONG |
18,089 |
EUR 11.70 |
|
Long Swap |
LONG |
16,542 |
EUR 11.70 |
|
Long Swap |
LONG |
3,940 |
EUR 11.70 |
|
Long Swap |
LONG |
3,850 |
EUR 11.67 |
|
Long Swap |
LONG |
3,603 |
EUR 11.70 |
|
Long Swap |
LONG |
550 |
EUR 11.66 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
61 |
EUR 11.70 |
|
Short Swap |
SHORT |
11,337 |
EUR 11.73 |
|
Short Swap |
SHORT |
23,193 |
EUR 11.73 |
|
Short Swap |
SHORT |
105,362 |
EUR 11.78 |
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(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 |
10/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Banco Santander SA. |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITH |
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RECOGNISED INTERMEDIARY STATUS DEALING IN CLIENT- |
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SERVICING CAPACITY |
|
(Rule 38.5(a) of The City Code on Takeovers and Mergers) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
BHP Billiton Limited |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
09/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,230 |
AUS 45.31 |
AUS 45.31 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,230 |
AUS 45.31 |
AUS 45.31 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
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 |
10/09/2008 |
|
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(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITH |
|
RECOGNISED INTERMEDIARY STATUS DEALING IN CLIENT- |
|
SERVICING CAPACITY |
|
(Rule 38.5(a) of The City Code on Takeovers and Mergers) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Imperial Energy Corporation Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
09/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
23,787 |
GBP 11.70 |
GBP 11.45 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
103,462 |
GBP 11.70 |
GBP 11.46 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
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 |
10/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Imperial Energy Corporation Plc |
|
Nature of connection # |
Advisor |
Related Shares:
Banco SantanderRio Tinto