8th Sep 2008 10:45
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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 |
08 September 2008 |
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Date of dealing |
05 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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05 September 2008 |
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Rio Tinto Plc - Common |
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Rio Tinto Limited - Common |
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Imperial Energy Corporation Plc - Common |
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Banco Santander SA. - Common |
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FORM 38.5 |
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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 |
|
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 |
|
dealings being disclosed relate |
|
Date of dealing |
05/09/2008 |
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2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
992,524 |
GBP 46.18 |
GBP 42.90 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
950,634 |
GBP 45.80 |
GBP 42.85 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
400 |
GBP 43.16 |
|
Long Swap |
LONG |
657 |
GBP 43.44 |
|
Long Swap |
LONG |
1,550 |
GBP 44.09 |
|
Long Swap |
LONG |
3,100 |
GBP 44.09 |
|
Long Swap |
LONG |
3,250 |
GBP 44.09 |
|
Long Swap |
LONG |
6,500 |
GBP 44.09 |
|
Long Swap |
LONG |
6,992 |
GBP 43.21 |
|
Long Swap |
LONG |
10,337 |
GBP 45.35 |
|
Long Swap |
LONG |
223 |
GBP 43.46 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
9,600 |
GBP 43.88 |
|
Short Swap |
SHORT |
9,783 |
GBP 43.50 |
|
Short Swap |
SHORT |
20 |
GBP 44.40 |
|
Short Swap |
SHORT |
8,878 |
GBP 44.21 |
|
Short Swap |
SHORT |
6,500 |
GBP 43.60 |
|
Short Swap |
SHORT |
4,150 |
GBP 43.66 |
|
Short Swap |
SHORT |
3,934 |
GBP 43.14 |
|
Short Swap |
SHORT |
3,100 |
GBP 43.60 |
|
Short Swap |
SHORT |
930 |
GBP 43.66 |
|
Short Swap |
SHORT |
520 |
GBP 44.44 |
|
Short Swap |
SHORT |
404 |
GBP 44.21 |
|
Short Swap |
SHORT |
190 |
GBP 44.43 |
|
Short Swap |
SHORT |
11,467 |
GBP 43.14 |
|
(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 |
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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 |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
08/09/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
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FORM 38.5 |
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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) |
|
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 |
05/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,665,190 |
EUR 11.33 |
EUR 10.97 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,328,644 |
EUR 11.32 |
EUR 10.97 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
128,545 |
EUR 11.10 |
|
Long Swap |
LONG |
27,070 |
EUR 11.14 |
|
Long Swap |
LONG |
200 |
EUR 11.16 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
200 |
EUR 11.16 |
|
Short Swap |
SHORT |
789 |
EUR 11.15 |
|
Short Swap |
SHORT |
15,087 |
EUR 11.15 |
|
Short Swap |
SHORT |
17,580 |
EUR 11.15 |
|
Short Swap |
SHORT |
239,642 |
EUR 11.14 |
|
(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 |
08/09/2008 |
|
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- |
|
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 |
Rio Tinto Limited |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
05/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
9,120 |
AUS |
AUS |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
9,120 |
AUS |
AUS |
|
(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 |
08/09/2008 |
|
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 |
05/09/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
599,978 |
GBP 11.70 |
GBP 11.16 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
575,956 |
GBP 11.64 |
GBP 11.25 |
|
(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 |
08/09/2008 |
|
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