20th Oct 2008 10:51
|
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 |
17/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,200,431 |
GBP 9.10 |
GBP 7.93 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,457,051 |
GBP 14.00 |
GBP 7.89 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
15,000 |
GBP 8.97 |
|
Long Swap |
LONG |
207,428 |
GBP 8.32 |
|
Long Swap |
LONG |
45,551 |
GBP 8.68 |
|
Long Swap |
LONG |
38,853 |
GBP 8.45 |
|
Long Swap |
LONG |
20,296 |
GBP 8.19 |
|
Long Swap |
LONG |
18,486 |
GBP 8.64 |
|
Long Swap |
LONG |
55 |
GBP 8.32 |
|
Long Swap |
LONG |
16,000 |
GBP 8.29 |
|
Long Swap |
LONG |
815,289 |
GBP 8.44 |
|
Long Swap |
LONG |
10,313 |
GBP 8.53 |
|
Long Swap |
LONG |
7,826 |
GBP 8.64 |
|
Long Swap |
LONG |
6,961 |
GBP 8.45 |
|
Long Swap |
LONG |
6,633 |
GBP 8.45 |
|
Long Swap |
LONG |
6,078 |
GBP 8.64 |
|
Long Swap |
LONG |
5,528 |
GBP 8.53 |
|
Long Swap |
LONG |
16,100 |
GBP 8.35 |
|
Long Swap |
LONG |
497,342 |
GBP 8.45 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
16,100 |
GBP 8.37 |
|
Short Swap |
SHORT |
55 |
GBP 0.00 |
|
Short Swap |
SHORT |
690 |
GBP 8.08 |
|
Short Swap |
SHORT |
3,778 |
GBP 8.41 |
|
Short Swap |
SHORT |
5,580 |
GBP 8.25 |
|
Short Swap |
SHORT |
6,078 |
GBP 8.65 |
|
Short Swap |
SHORT |
6,633 |
GBP 8.63 |
|
Short Swap |
SHORT |
815,289 |
GBP 8.46 |
|
Short Swap |
SHORT |
16,000 |
GBP 8.29 |
|
Short Swap |
SHORT |
20,670 |
GBP 8.41 |
|
Short Swap |
SHORT |
26,312 |
GBP 8.64 |
|
Short Swap |
SHORT |
45,551 |
GBP 8.69 |
|
Short Swap |
SHORT |
207,428 |
GBP 0.00 |
|
Short Swap |
SHORT |
497,342 |
GBP 8.44 |
|
Short Swap |
SHORT |
45 |
GBP 8.45 |
|
Short Swap |
SHORT |
15,000 |
GBP 8.95 |
|
(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 |
-8,500,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Selling |
-5,000,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
(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 |
20/10/2008 |
|
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 |
17/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
30,018 |
GBP 6.32 |
GBP 6.27 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
19,277 |
GBP 6.30 |
GBP 6.26 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
2,054 |
GBP 6.30 |
|
Long Swap |
LONG |
2,000 |
GBP 6.29 |
|
Long Swap |
LONG |
2,000 |
GBP 6.29 |
|
Long Swap |
LONG |
1,406 |
GBP 6.31 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
3,959 |
GBP 6.28 |
|
(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 |
20/10/2008 |
|
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 |
17/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,335,304 |
GBP 23.00 |
GBP 19.58 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,259,208 |
GBP 22.98 |
GBP 19.63 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
907,965 |
GBP 21.28 |
|
Long Swap |
LONG |
410 |
GBP 22.00 |
|
Long Swap |
LONG |
1,498 |
GBP 21.30 |
|
Long Swap |
LONG |
2,000 |
GBP 22.06 |
|
Long Swap |
LONG |
2,306 |
GBP 22.06 |
|
Long Swap |
LONG |
3,414 |
GBP 22.70 |
|
Long Swap |
LONG |
5,183 |
GBP 21.30 |
|
Long Swap |
LONG |
5,500 |
GBP 21.19 |
|
Long Swap |
LONG |
5,717 |
GBP 21.22 |
|
Long Swap |
LONG |
5,814 |
GBP 21.54 |
|
Long Swap |
LONG |
9,562 |
GBP 21.54 |
|
Long Swap |
LONG |
178,515 |
GBP 21.22 |
|
Long Swap |
LONG |
57 |
GBP 22.68 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
172,963 |
GBP 21.14 |
|
Short Swap |
SHORT |
6 |
GBP 20.71 |
|
Short Swap |
SHORT |
11,805 |
GBP 21.02 |
|
Short Swap |
SHORT |
11,170 |
GBP 20.71 |
|
Short Swap |
SHORT |
7,806 |
GBP 21.54 |
|
Short Swap |
SHORT |
5,814 |
GBP 20.71 |
|
Short Swap |
SHORT |
5,552 |
GBP 21.12 |
|
Short Swap |
SHORT |
5,230 |
GBP 21.64 |
|
Short Swap |
SHORT |
5,183 |
GBP 21.14 |
|
Short Swap |
SHORT |
2,110 |
GBP 21.64 |
|
Short Swap |
SHORT |
2,000 |
GBP 21.89 |
|
Short Swap |
SHORT |
1,920 |
GBP 21.64 |
|
Short Swap |
SHORT |
1,027 |
GBP 20.34 |
|
Short Swap |
SHORT |
907,965 |
GBP 21.31 |
|
(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 |
-1,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Selling |
-3,999,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Selling |
-2,500,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
(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 |
20/10/2008 |
|
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 |
17/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
5,379,716 |
GBP 2.80 |
GBP 1.53 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,520,956 |
GBP 2.80 |
GBP 1.52 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
311,210 |
GBP 1.55 |
|
Long Swap |
LONG |
229,982 |
GBP 1.56 |
|
Long Swap |
LONG |
124,500 |
GBP 1.54 |
|
Long Swap |
LONG |
64,003 |
GBP 1.56 |
|
Long Swap |
LONG |
46,353 |
GBP 1.56 |
|
Long Swap |
LONG |
25,934 |
GBP 1.55 |
|
Long Swap |
LONG |
16,219 |
GBP 1.58 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
27 |
GBP 1.55 |
|
Short Swap |
SHORT |
76 |
GBP 1.56 |
|
Short Swap |
SHORT |
20,843 |
GBP 1.54 |
|
Short Swap |
SHORT |
62,572 |
GBP 1.56 |
|
Short Swap |
SHORT |
64,003 |
GBP 1.56 |
|
Short Swap |
SHORT |
124,500 |
GBP 1.54 |
|
(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 |
20/10/2008 |
|
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