13th Nov 2008 10:43
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 | 12 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 | 1,117,471 | 0.1120% | 22,232 | 0.0022% | |||||
| (2) Derivatives (other than options) | 7,546 | 0.0008% | 58,781 | 0.0059% | |||||
| (3) Options and agreements to purchase/sell | 485,022 | 0.0486% | 376,000 | 0.0377% | |||||
| Total | 1,610,039 | 0.1614% | 457,013 | 0.0458% | |||||
(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 TOTAL
Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale TOTAL | 90,900 4,115 546 95,561
378 380 382 530 476 375 3,637 884 375 511 218 373 597 217 218 342 495 365 18 366 218 1,032 206 219 363 362 65,000 410 210 224 206 655 4,312 780 383 213 492 197 345 189 211 589 198 169 692 163 361 416 482 169 213 367 198 186 187 230 186 476 500 230 170 1,040 163 186 302 229 174 299 192 192 186 192 175 175 175 180 351 1,081 185 302 889 192 100,406 | 25.4459 GBP 25.4600 GBP 25.7916 GBP
24.6900 GBP 24.7200 GBP 24.7400 GBP 24.7700 GBP 24.8400 GBP 24.8500 GBP 24.9100 GBP 24.9200 GBP 24.9500 GBP 25.0200 GBP 25.0600 GBP 25.0700 GBP 25.1200 GBP 25.1400 GBP 25.1700 GBP 25.1900 GBP 25.2000 GBP 25.2300 GBP 25.2700 GBP 25.2800 GBP 25.2900 GBP 25.3100 GBP 25.3200 GBP 25.3300 GBP 25.3400 GBP 25.3800 GBP 25.3899 GBP 25.3900 GBP 25.4000 GBP 25.4100 GBP 25.4300 GBP 25.4500 GBP 25.4600 GBP 25.4700 GBP 25.4900 GBP 25.5300 GBP 25.5400 GBP 25.5600 GBP 25.5700 GBP 25.5800 GBP 25.5900 GBP 25.6000 GBP 25.6100 GBP 25.6200 GBP 25.6400 GBP 25.6600 GBP 25.6700 GBP 25.6800 GBP 25.7000 GBP 25.7100 GBP 25.7200 GBP 25.7400 GBP 25.7700 GBP 25.7900 GBP 25.8000 GBP 25.8100 GBP 25.8800 GBP 25.9000 GBP 25.9300 GBP 25.9400 GBP 25.9900 GBP 26.0000 GBP 26.0200 GBP 26.0300 GBP 26.0500 GBP 26.0600 GBP 26.0800 GBP 26.0900 GBP 26.1000 GBP 26.1700 GBP 26.2200 GBP 26.3000 GBP 26.3100 GBP 26.3200 GBP 26.3400 GBP 26.3600 GBP 26.3700 GBP 26.3800 GBP 26.3900 GBP 26.5100 GBP 26.5600 GBP 26.6000 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) |
(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 | 13 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 | 12,000 | 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 | 61,000 | 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
Related Shares:
Rio Tinto