21st Nov 2008 11:21
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 | 20 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 | 875,366 | 0.0877% | 3,319 | 0.0003% |
| (2) Derivatives (other than options) | 4,046 | 0.0004% | 56,571 | 0.0057% |
| (3) Options and agreements to purchase/sell | 414,022 | 0.0415% | 376,000 | 0.0377% |
| Total | 1,293,434 | 0.1296% | 435,890 | 0.0437% |
(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 TOTAL
Sale Sale Sale Sale Sale Sale TOTAL | 450 5,000 450 590 28 480 541 1,005 1,223 2,577 2,700 172 733 738 858 2,383 726 402 184 100 343 250 185 22,118
124,498 450 83,448 38 15,600 82,999 307,033 | 20.2200 GBP 20.5800 GBP 21.0500 GBP 21.2400 GBP 21.2700 GBP 21.3000 GBP 21.3100 GBP 21.3200 GBP 21.3300 GBP 21.3400 GBP 21.3500 GBP 21.3600 GBP 21.3700 GBP 21.3800 GBP 21.3900 GBP 21.4000 GBP 21.4100 GBP 21.4200 GBP 21.4300 GBP 21.4400 GBP 21.4700 GBP 21.4800 GBP 21.5000 GBP
20.1500 GBP 20.2200 GBP 21.0500 GBP 21.2900 GBP 21.3668 GBP 21.5000 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 | 0.1400 EUR |
| Dec 2008 Call Warrant | Long | 2000 | 0.0010 EUR |
| Dec 2009 Call Warrant | Long | 200 | 0.1200 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 | 21 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 | 3,000 | 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 | 3,000 | 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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