7th Nov 2008 12:44
|
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 |
06/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,020,866 |
GBP 18.00 |
GBP 9.77 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,673,392 |
GBP 10.80 |
GBP 9.70 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
22,200 |
GBP 10.10 |
|
Long Swap |
LONG |
531,468 |
GBP 10.18 |
|
Long Swap |
LONG |
369,188 |
GBP 10.27 |
|
Long Swap |
LONG |
163,785 |
GBP 10.48 |
|
Long Swap |
LONG |
133,943 |
GBP 10.49 |
|
Long Swap |
LONG |
86,746 |
GBP 10.10 |
|
Long Swap |
LONG |
46,006 |
GBP 10.53 |
|
Long Swap |
LONG |
31,458 |
GBP 10.48 |
|
Long Swap |
LONG |
710 |
GBP 9.88 |
|
Long Swap |
LONG |
25,000 |
GBP 10.33 |
|
Long Swap |
LONG |
18,980 |
GBP 10.41 |
|
Long Swap |
LONG |
17,414 |
GBP 10.43 |
|
Long Swap |
LONG |
16,000 |
GBP 9.92 |
|
Long Swap |
LONG |
8,321 |
GBP 10.06 |
|
Long Swap |
LONG |
7,244 |
GBP 10.15 |
|
Long Swap |
LONG |
4,710 |
GBP 9.84 |
|
Long Swap |
LONG |
2,200 |
GBP 9.78 |
|
Long Swap |
LONG |
25,091 |
GBP 10.18 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
163,785 |
GBP 10.49 |
|
Short Swap |
SHORT |
7,380 |
GBP 10.29 |
|
Short Swap |
SHORT |
122 |
GBP 10.57 |
|
Short Swap |
SHORT |
710 |
GBP 9.92 |
|
Short Swap |
SHORT |
1,753 |
GBP 10.22 |
|
Short Swap |
SHORT |
2,200 |
GBP 9.94 |
|
Short Swap |
SHORT |
2,539 |
GBP 9.92 |
|
Short Swap |
SHORT |
3,367 |
GBP 10.10 |
|
Short Swap |
SHORT |
3,970 |
GBP 10.33 |
|
Short Swap |
SHORT |
531,468 |
GBP 10.22 |
|
Short Swap |
SHORT |
7,202 |
GBP 10.33 |
|
Short Swap |
SHORT |
317,100 |
GBP 10.33 |
|
Short Swap |
SHORT |
8,321 |
GBP 10.03 |
|
Short Swap |
SHORT |
18,980 |
GBP 10.48 |
|
Short Swap |
SHORT |
24,658 |
GBP 9.92 |
|
Short Swap |
SHORT |
31,458 |
GBP 10.57 |
|
Short Swap |
SHORT |
44,337 |
GBP 9.98 |
|
Short Swap |
SHORT |
50,070 |
GBP 10.49 |
|
Short Swap |
SHORT |
133,944 |
GBP 10.15 |
|
Short Swap |
SHORT |
27 |
GBP 10.31 |
|
Short Swap |
SHORT |
4,710 |
GBP 9.83 |
|
(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 |
07/11/2008 |
|
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 |
06/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,309 |
GBP 6.36 |
GBP 6.36 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,464 |
GBP 6.36 |
GBP 6.36 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
2,280 |
GBP 6.36 |
|
Long Swap |
LONG |
683 |
GBP 6.36 |
|
Long Swap |
LONG |
346 |
GBP 6.36 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,464 |
GBP 6.35 |
|
(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 |
07/11/2008 |
|
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 |
06/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,135,484 |
GBP 28.42 |
GBP 25.15 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,035,608 |
GBP 28.36 |
GBP 25.05 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
8,768 |
GBP 27.25 |
|
Long Swap |
LONG |
488 |
GBP 26.10 |
|
Long Swap |
LONG |
344,916 |
GBP 26.54 |
|
Long Swap |
LONG |
122,794 |
GBP 26.67 |
|
Long Swap |
LONG |
13,382 |
GBP 25.16 |
|
Long Swap |
LONG |
6,038 |
GBP 26.89 |
|
Long Swap |
LONG |
3,142 |
GBP 26.73 |
|
Long Swap |
LONG |
1,500 |
GBP 25.21 |
|
Long Swap |
LONG |
1,342 |
GBP 26.10 |
|
Long Swap |
LONG |
527 |
GBP 27.25 |
|
Long Swap |
LONG |
520 |
GBP 26.81 |
|
Long Swap |
LONG |
57,324 |
GBP 26.89 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
16,139 |
GBP 26.96 |
|
Short Swap |
SHORT |
25,760 |
GBP 26.96 |
|
Short Swap |
SHORT |
344,916 |
GBP 26.62 |
|
Short Swap |
SHORT |
122,794 |
GBP 26.57 |
|
Short Swap |
SHORT |
3,856 |
GBP 26.57 |
|
Short Swap |
SHORT |
520 |
GBP 25.43 |
|
Short Swap |
SHORT |
1,250 |
GBP 25.43 |
|
Short Swap |
SHORT |
1,500 |
GBP 25.31 |
|
Short Swap |
SHORT |
1,980 |
GBP 25.43 |
|
Short Swap |
SHORT |
2,951 |
GBP 26.57 |
|
Short Swap |
SHORT |
66,092 |
GBP 26.91 |
|
Short Swap |
SHORT |
3,346 |
GBP 26.93 |
|
Short Swap |
SHORT |
488 |
GBP 25.54 |
|
Short Swap |
SHORT |
6,000 |
GBP 25.36 |
|
Short Swap |
SHORT |
6,038 |
GBP 27.31 |
|
Short Swap |
SHORT |
11,219 |
GBP 26.62 |
|
Short Swap |
SHORT |
13,382 |
GBP 26.96 |
|
Short Swap |
SHORT |
13,712 |
GBP 25.54 |
|
Short Swap |
SHORT |
15,023 |
GBP 26.62 |
|
Short Swap |
SHORT |
3,142 |
GBP 26.57 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
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 |
-2,000 |
£0.07 |
AMERICAN |
17-Apr-09 |
|
(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 |
07/11/2008 |
|
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 |
06/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,585,700 |
GBP 2.04 |
GBP 1.85 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,664,822 |
GBP 2.03 |
GBP 1.82 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
23,415 |
GBP 1.91 |
|
Long Swap |
LONG |
28,766 |
GBP 1.92 |
|
Long Swap |
LONG |
73,615 |
GBP 1.96 |
|
Long Swap |
LONG |
127,417 |
GBP 1.96 |
|
Long Swap |
LONG |
145,489 |
GBP 1.96 |
|
Long Swap |
LONG |
699,747 |
GBP 1.92 |
|
Long Swap |
LONG |
10,000 |
GBP 1.84 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
145,489 |
GBP 1.97 |
|
Short Swap |
SHORT |
199,837 |
GBP 1.94 |
|
Short Swap |
SHORT |
9 |
GBP 2.00 |
|
Short Swap |
SHORT |
127,417 |
GBP 1.97 |
|
Short Swap |
SHORT |
116,079 |
GBP 2.01 |
|
Short Swap |
SHORT |
73,615 |
GBP 1.97 |
|
Short Swap |
SHORT |
22,212 |
GBP 1.87 |
|
Short Swap |
SHORT |
10,000 |
GBP 1.85 |
|
Short Swap |
SHORT |
9,673 |
GBP 2.01 |
|
Short Swap |
SHORT |
699,747 |
GBP 1.94 |
|
(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 |
07/11/2008 |
|
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 GroupLloydsRio Tinto