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EPT Disclosure

28th Oct 2008 10:36

RNS Number : 8262G

UBS Securities Australia Limited

28 October 2008

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	UBS Securities Australia Limited
Company dealt in	Rio Tinto Ltd
Class of relevant security to which the dealings being disclosed relate (Note 1)	Ordinary
Date of dealing	27 October 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 (%)

(1) Relevant securities

732806

0.16%

1802035

0.39%

(2) Derivatives (other than options)

(3) Options and agreements to purchase/sell

1074817

0.24%

462368

0.10%

Total

1807623

0.40%

2264403

0.50%

(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
(2) Derivatives (other than options)
(3) Options and agreements to purchase/sell
Total

Rights to subscribe (Note 2)

Class of relevant security:

Details

3. DEALINGS (Note 3)

(a) Purchases and sales

Purchases/Sales	Number of securities	Price per unit (AUD) (Note 4)

Purchase	6333	64.65
Purchase	5071	65.5
Purchase	2782	64.04
Purchase	2772	66
Purchase	2332	64.65
Purchase	2000	64.65
Purchase	2000	65.5
Purchase	1818	65.23
Purchase	1686	64.65
Purchase	1651	64
Purchase	1527	65.5
Purchase	1500	66.8
Purchase	1500	63.19
Purchase	1366	64.73
Purchase	1347	64
Purchase	1068	64.77
Purchase	1055	65.12
Purchase	1000	64.7
Purchase	1000	64
Purchase	1000	64.34
Purchase	1000	66.3
Purchase	1000	65.2
Purchase	990	64
Purchase	945	65.33
Purchase	891	64.34
Purchase	890	64.73
Purchase	840	65.24
Purchase	800	65.91
Purchase	767	65.59
Purchase	766	64.04
Purchase	754	66.38
Purchase	746	65.5
Purchase	709	65.37
Purchase	703	65.33
Purchase	700	65.91
Purchase	697	66.38
Purchase	600	65.46
Purchase	568	65.25
Purchase	507	65.12
Purchase	500	65.27
Purchase	500	63.29
Purchase	491	65.37
Purchase	486	64.34
Purchase	460	65.27
Purchase	459	63.35
Purchase	459	63.36
Purchase	456	64.65
Purchase	440	64
Purchase	424	65.27
Purchase	424	65.33
Purchase	421	63.35
Purchase	405	63.35
Purchase	400	65.33
Purchase	384	65.5
Purchase	383	65.09
Purchase	358	63.36
Purchase	351	63.29
Purchase	348	63.29
Purchase	343	65.5
Purchase	343	63.31
Purchase	315	63.36
Purchase	300	64.77
Purchase	297	65.08
Purchase	297	63.4
Purchase	297	63.4
Purchase	297	63.17
Purchase	294	65.08
Purchase	285	65.26
Purchase	274	65.37
Purchase	273	65.09
Purchase	263	65.23
Purchase	261	65.33
Purchase	260	65.37
Purchase	250	65.12
Purchase	250	65.27
Purchase	250	64.5
Purchase	235	64.65
Purchase	233	64.7
Purchase	231	64.34
Purchase	231	65.09
Purchase	218	64.73
Purchase	218	64.73
Purchase	215	63.35
Purchase	211	66.29
Purchase	208	65.59
Purchase	207	63.36
Purchase	206	65.27
Purchase	206	65.26
Purchase	201	64.69
Purchase	197	63.4
Purchase	195	65.12
Purchase	187	65.46
Purchase	151	65.72
Purchase	150	65.37
Purchase	150	64.34
Purchase	150	66.3
Purchase	150	64.99
Purchase	139	66.3
Purchase	134	64.73
Purchase	133	63.4
Purchase	132	65.33
Purchase	131	65.33
Purchase	129	65.47
Purchase	123	64.34
Purchase	123	63.29
Purchase	120	63.29
Purchase	119	64.34
Purchase	118	64.73
Purchase	117	63.36
Purchase	111	64.65
Purchase	100	64.77
Purchase	100	65.58
Purchase	99	65.73
Purchase	91	63.17
Purchase	84	65.37
Purchase	80	65.81
Purchase	79	65.23
Purchase	77	64
Purchase	71	65.27
Purchase	70	65.44
Purchase	70	64.83
Purchase	70	64.99
Purchase	70	64.94
Purchase	70	64.77
Purchase	70	64.95
Purchase	70	65.03
Purchase	70	65.37
Purchase	70	64.87
Purchase	70	64.88
Purchase	70	64.97
Purchase	70	65.2
Purchase	70	64.74
Purchase	70	64.78
Purchase	70	64.89
Purchase	70	65.07
Purchase	70	64.9
Purchase	70	65.35
Purchase	70	64.9
Purchase	70	64.75
Purchase	70	64.93
Purchase	67	64.79
Purchase	65	64.66
Purchase	50	63.31
Purchase	49	66.38
Purchase	39	63.17
Purchase	39	64.73
Purchase	35	63.36
Purchase	35	64.7
Purchase	35	65.18
Purchase	35	64.84
Purchase	35	63.99
Purchase	35	65.14
Purchase	35	65.06
Purchase	35	64.88
Purchase	35	64.99
Purchase	35	65.19
Purchase	35	65.04
Purchase	35	65.14
Purchase	35	64.86
Purchase	35	65.3
Purchase	35	64.92
Purchase	35	64.78
Purchase	35	64.99
Purchase	35	65.57
Purchase	35	65.19
Purchase	35	65.04
Purchase	35	65.19
Purchase	35	65.09
Purchase	34	65.27
Purchase	34	63.29
Purchase	34	64.89
Purchase	33	65.17
Purchase	32	64.77
Purchase	31	65.17
Purchase	29	63.4
Purchase	27	65.08
Purchase	26	63.17
Purchase	25	65.59
Purchase	25	64.86
Purchase	25	64.92
Purchase	24	63.31
Purchase	21	64.98
Purchase	20	65.09
Purchase	17	64.73
Purchase	16	64.89
Purchase	13	65.37
Purchase	13	65.72
Purchase	12	64
Purchase	12	63.29
Purchase	12	65.47
Purchase	12	64.89
Purchase	11	65.37
Purchase	11	64.98
Purchase	10	63.29
Purchase	9	64.88
Purchase	9	65.26
Purchase	9	63.36
Purchase	8	64.5
Purchase	8	65.09
Purchase	8	64.86
Purchase	8	64.92
Purchase	6	65.25
Purchase	6	65.09
Purchase	6	64.89
Purchase	4	65.37
Purchase	4	65.37
Purchase	3	65.25
Purchase	3	65.33
Purchase	3	64.98
Purchase	3	65.17
Purchase	2	63.29
Purchase	2	65.25
Purchase	2	64.79
Purchase	2	65.17
Purchase	2	64.92
Purchase	1	64.7
Purchase	1	65.49
Purchase	1	65.74
Purchase	1	65.33
Purchase	1	64.79
Purchase	1	64.8
Purchase	1	65.17
Purchase	1	64.89
Purchase	1	64.86
Purchase	1	64.89
Sale	1	65.39
Sale	1	65.27
Sale	3	65.33
Sale	5	65.27
Sale	6	65.39
Sale	7	64.32
Sale	9	65.7
Sale	10	65.27
Sale	10	65.39
Sale	11	65.68
Sale	13	65.68
Sale	26	64.1
Sale	26	64.1
Sale	30	66.89
Sale	30	65.27
Sale	33	63.92
Sale	35	65.33
Sale	36	65.33
Sale	36	64.1
Sale	38	63.92
Sale	43	65.27
Sale	45	63.33
Sale	45	65.39
Sale	47	65.39
Sale	50	65.5
Sale	57	67.35
Sale	61	65.5
Sale	61	65.27
Sale	62	65.33
Sale	62	65.27
Sale	62	64.1
Sale	65	65.39
Sale	69	65.51
Sale	75	67.2
Sale	75	65.5
Sale	105	64.3
Sale	111	64.65
Sale	125	67.11
Sale	150	65.5
Sale	150	64.3
Sale	150	64.1
Sale	167	63.2
Sale	208	65.53
Sale	235	64.65
Sale	235	64.3
Sale	249	63.33
Sale	254	66.89
Sale	292	65.53
Sale	298	65.33
Sale	300	65.5
Sale	310	64.3
Sale	396	65.39
Sale	406	65.68
Sale	409	63.47
Sale	423	65.27
Sale	430	65.39
Sale	443	64.8
Sale	471	65.27
Sale	500	66.89
Sale	500	65.53
Sale	551	67.35
Sale	564	64.65
Sale	570	65.68
Sale	618	65.51
Sale	651	64.8
Sale	850	63.48
Sale	875	65.27
Sale	903	65.5
Sale	924	63.47
Sale	935	65.27
Sale	974	67.2
Sale	1000	65.5
Sale	1000	66.89
Sale	1000	63.33
Sale	1000	64.3
Sale	1220	63.47
Sale	1392	67.35
Sale	1597	63.5
Sale	1813	65.51
Sale	1906	64.8
Sale	2000	64.65
Sale	2000	64.8
Sale	2000	65.27
Sale	3000	64.91
Sale	3566	65.33
Sale	6000	64.41
Sale	13200	64.3
Sale	18706	63.33
Total Purchase	78764
Total Sale	79377

(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)

(i) Writing, selling, purchasing or varying

Product name, e.g. call option	Written or purchased	Number of securities to which the option or derivatives relates	Exercise price (AUD) (Note2)	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

Date of disclosure	28 October 2008
Contact name	Belinda Maclay
Telephone number	+61 2 93242944
Name of offeree/offeror with which connected	BHP Billiton PLC/BHP Billiton Limited
Nature of connection (Note 9)	Connected 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 38.5(b)

DETAILS OF OPEN POSITIONS

(This form should be attached to Form 38.5(b))

OPEN POSITIONS (Note 1)

Product name, e.g. call option	Written or purchased	Number of securities to which the option or derivatives relates	Exercise price (AUD) (Note2)	Type, e.g. American, European etc.	Expiry date
Call Option	Purchased	132000	150	American	27-Nov-08
Call Option	Purchased	100000	170	American	18-Dec-08
Call Option	Purchased	50000	124	American	30-Oct-08
Call Option	Purchased	50000	100	American	30-Oct-08
Call Option	Purchased	40000	160	American	18-Dec-08
Call Option	Purchased	30000	84	American	18-Dec-08
Call Option	Purchased	20000	112	American	18-Dec-08
Call Option	Purchased	20000	114	American	18-Dec-08
Call Option	Purchased	20000	130	American	18-Dec-08
Call Option	Purchased	20000	109	American	27-Nov-08
Call Option	Purchased	20000	86	American	18-Dec-08
Call Option	Purchased	16000	80	European	26-May-09
Call Option	Purchased	15000	158	American	18-Dec-08
Call Option	Purchased	12000	96	European	06-Nov-08
Call Option	Purchased	10000	79	American	18-Dec-08
Call Option	Purchased	10000	100	American	18-Dec-08
Call Option	Purchased	4000	110	American	18-Dec-08
Call Option	Purchased	3000	170	American	18-Dec-08
Call Option	Purchased	1000	114.74	European	19-Jun-09
Call Option	Written	12000	96	European	06-Nov-08
Call Option	Written	16000	80	European	26-May-09
Call Option	Written	50000	100	American	30-Oct-08
Call Option	Written	50000	100	American	30-Oct-08
Call Warrant	Written	1000	115	European	29-Jan-09
Call Warrant	Written	1400	145	European	18-Dec-08
Call Warrant	Written	1717	0	European	30-Jun-14
Call Warrant	Written	3152	55	European	18-Jun-09
Call Warrant	Written	3893	100	European	06-Nov-08
Call Warrant	Written	7725	96	European	06-Nov-08
Call Warrant	Written	17506	80	European	26-May-09
Call Warrant	Written	32975	135	European	18-Dec-08
Put Option	Purchased	150000	77	American	22-Dec-11
Put Option	Purchased	75000	110	American	18-Dec-08
Put Option	Purchased	40000	64	American	26-Mar-09
Put Option	Written	10	72.16	American	22-Jun-12
Put Option	Written	72	136.98	American	17-Jun-13
Put Option	Written	73	135.65	American	22-Feb-11
Put Option	Written	78	127	American	31-Jan-13
Put Option	Written	91	109	American	22-Jan-09
Put Option	Written	94	131.31	American	30-Jun-11
Put Option	Written	101	122.94	American	29-Aug-13
Put Option	Written	119	83.55	American	11-Aug-10
Put Option	Written	125	99.48	American	29-Jul-10
Put Option	Written	125	99.59	American	28-Jun-12
Put Option	Written	126	99.07	American	07-Sep-12
Put Option	Written	127	98.35	American	22-Jun-10
Put Option	Written	128	77.89	American	21-Jun-11
Put Option	Written	130	76.7	American	19-May-11
Put Option	Written	131	94.91	American	26-Jul-12
Put Option	Written	132	97.5	American	02-Jul-12
Put Option	Written	146	98.79	American	29-Jul-10
Put Option	Written	146	102.05	American	26-Jul-12
Put Option	Written	150	99.59	American	29-Jul-10
Put Option	Written	152	98.36	American	28-Jun-12
Put Option	Written	154	129.41	American	11-Dec-12
Put Option	Written	157	99.86	American	29-Jul-10
Put Option	Written	158	78.77	American	24-Jun-11
Put Option	Written	158	99.12	American	29-Jul-10
Put Option	Written	159	78.2	American	23-Jun-09
Put Option	Written	159	78.31	American	21-Jun-11
Put Option	Written	164	91.04	American	11-May-12
Put Option	Written	168	148.37	American	30-May-13
Put Option	Written	176	113.21	American	25-Oct-12
Put Option	Written	181	101	American	29-Jul-10
Put Option	Written	183	135.98	American	30-Jun-11
Put Option	Written	185	96.8	American	28-Jun-12
Put Option	Written	198	100.52	American	16-Jun-10
Put Option	Written	203	98.47	American	22-Jun-10
Put Option	Written	203	98.08	American	22-Jun-10
Put Option	Written	209	81.14	American	28-Apr-11
Put Option	Written	214	93.26	American	28-Jun-12
Put Option	Written	218	100.49	American	28-Jun-12
Put Option	Written	227	44.05	American	22-Jun-10
Put Option	Written	240	83.48	American	18-Apr-11
Put Option	Written	243	102.51	American	26-Jul-12
Put Option	Written	246	101.6	American	24-Jun-10
Put Option	Written	257	76.5	American	17-Jun-11
Put Option	Written	265	75.38	American	22-Jun-11
Put Option	Written	271	73.66	American	10-Jun-09
Put Option	Written	271	73.76	American	05-Jun-09
Put Option	Written	283	78.34	American	19-Oct-11
Put Option	Written	286	91.6	American	30-Aug-12
Put Option	Written	296	67.43	American	15-Sep-09
Put Option	Written	298	100.5	American	25-Jun-10
Put Option	Written	300	71.7	American	02-Jan-09
Put Option	Written	305	75.25	American	25-Jun-09
Put Option	Written	310	96.73	American	23-Jun-10
Put Option	Written	325	77.02	American	21-May-09
Put Option	Written	342	102.42	American	29-Jun-12
Put Option	Written	352	98.21	American	29-Jul-10
Put Option	Written	353	70.82	American	09-Feb-09
Put Option	Written	356	70.14	American	10-Jun-09
Put Option	Written	363	82.51	American	28-Apr-09
Put Option	Written	371	99.3	American	29-Jul-10
Put Option	Written	382	98	American	26-Jul-12
Put Option	Written	396	75.01	American	08-Mar-10
Put Option	Written	400	74.9	American	22-Jun-11
Put Option	Written	404	98.86	American	24-Jun-10
Put Option	Written	413	96.82	American	24-Jun-10
Put Option	Written	413	96.75	American	21-Jun-12
Put Option	Written	419	71.59	American	19-Jan-09
Put Option	Written	425	78.61	American	30-Jun-11
Put Option	Written	429	34.96	American	18-Jun-09
Put Option	Written	434	98.52	American	29-Jul-10
Put Option	Written	460	109.66	American	31-Jan-13
Put Option	Written	465	98.9	American	28-Jun-12
Put Option	Written	472	90.6	American	29-Jul-10
Put Option	Written	484	103.17	American	26-Jul-12
Put Option	Written	509	98.07	American	29-Jul-10
Put Option	Written	510	98	American	29-Jul-10
Put Option	Written	514	77.75	American	30-Jun-11
Put Option	Written	518	96.51	American	31-May-12
Put Option	Written	528	75.48	American	29-Jun-11
Put Option	Written	534	88.91	American	22-Jun-12
Put Option	Written	538	99.08	American	26-Jul-12
Put Option	Written	547	109.66	American	27-Jan-11
Put Option	Written	555	45.04	American	22-Jun-10
Put Option	Written	562	99.67	American	29-Jul-10
Put Option	Written	564	90.39	American	22-Jun-12
Put Option	Written	566	35.33	American	22-Jun-09
Put Option	Written	567	35.27	American	19-Jun-09
Put Option	Written	573	34.9	American	18-Jun-09
Put Option	Written	591	95.3	American	29-Jul-10
Put Option	Written	598	83.69	American	22-Jun-12
Put Option	Written	600	73.45	American	30-Jun-11
Put Option	Written	601	99.71	American	25-Jun-10
Put Option	Written	628	99.44	American	29-Jul-10
Put Option	Written	634	78.7	American	27-May-09
Put Option	Written	637	139.1	American	15-Jun-11
Put Option	Written	648	97.31	American	24-Jun-09
Put Option	Written	650	92.25	American	12-Jun-12
Put Option	Written	663	75.36	American	23-Jun-11
Put Option	Written	663	75.38	American	25-Jun-09
Put Option	Written	696	99.01	American	26-Jul-12
Put Option	Written	703	85.3	American	22-Jun-12
Put Option	Written	715	139.74	American	12-Jun-13
Put Option	Written	733	102.26	American	28-Jun-12
Put Option	Written	794	75.5	American	23-Jun-11
Put Option	Written	821	103.41	American	22-Jun-12
Put Option	Written	828	98.9	American	29-Jul-10
Put Option	Written	836	99.24	American	15-Jun-10
Put Option	Written	859	77.44	American	30-Jun-11
Put Option	Written	869	75.44	American	23-Jun-11
Put Option	Written	870	97.65	American	22-Jun-12
Put Option	Written	887	98.08	American	28-Jun-12
Put Option	Written	941	42.5	American	03-Jun-10
Put Option	Written	982	74.85	American	30-Jun-11
Put Option	Written	1000	76.49	American	19-Jun-09
Put Option	Written	1000	76	American	14-Jun-11
Put Option	Written	1008	99.09	American	18-Jun-10
Put Option	Written	1020	74.54	American	01-Aug-11
Put Option	Written	1038	76.08	American	30-Jun-11
Put Option	Written	1040	96.14	American	26-May-10
Put Option	Written	1062	98.28	American	28-Jun-12
Put Option	Written	1067	101.45	American	26-Jul-12
Put Option	Written	1080	101.81	American	29-Jul-10
Put Option	Written	1083	92.25	American	28-Jun-12
Put Option	Written	1175	42.5	American	27-Jan-10
Put Option	Written	1257	99.37	American	28-Jun-12
Put Option	Written	1281	43.4	American	21-Jun-10
Put Option	Written	1334	74.99	American	22-Jun-11
Put Option	Written	1360	73.51	American	28-Jul-11
Put Option	Written	1418	91.6	American	29-Jul-10
Put Option	Written	1441	99.64	American	29-Jul-10
Put Option	Written	1500	78.2	American	22-Mar-10
Put Option	Written	1500	78.39	American	23-Mar-10
Put Option	Written	1512	99.17	American	25-Jun-10
Put Option	Written	1588	99.88	American	26-Jul-12
Put Option	Written	1594	100.35	American	26-Jul-12
Put Option	Written	1600	77.2	American	25-Feb-10
Put Option	Written	1628	102.26	American	24-Jun-10
Put Option	Written	1639	103.64	American	26-Jul-12
Put Option	Written	1656	77.02	American	30-Jun-11
Put Option	Written	1787	100.7	American	26-Jul-12
Put Option	Written	1902	98.51	American	28-Jun-12
Put Option	Written	2264	110.36	American	24-Jun-09
Put Option	Written	2450	76.54	American	15-Sep-09
Put Option	Written	2515	98.79	American	26-Jul-12
Put Option	Written	2716	78.99	American	28-Jul-11
Put Option	Written	2719	99.08	American	29-Jul-10
Put Option	Written	2739	94.91	American	29-Jul-10
Put Option	Written	2746	72.82	American	24-Jun-11
Put Option	Written	3013	101.81	American	26-Jul-12
Put Option	Written	3288	78	American	28-Jul-11
Put Option	Written	3628	67.79	American	29-Sep-11
Put Option	Written	3685	76.01	American	30-Jun-11
Put Option	Written	3883	77.32	American	30-Jun-11
Put Option	Written	3905	102.41	American	29-Jul-10
Put Option	Written	4313	78.23	American	30-Jun-11
Put Option	Written	4724	78.43	American	28-Jul-11
Put Option	Written	6000	116	American	29-Jan-09
Put Option	Written	8568	78.86	American	28-Jul-11
Put Option	Written	10000	120	American	29-Jan-09
Put Option	Written	10000	122	American	29-Jan-09
Put Option	Written	40000	60	American	26-Mar-09
Put Option	Written	47000	130	American	29-Jan-09
Put Option	Written	50000	120	American	18-Dec-08
Put Option	Written	50000	140	American	18-Dec-08
Put Option	Written	150000	79	American	22-Dec-11

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 Rules 8 and 38.5 and their Notes which can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk

This information is provided by RNS

The company news service from the London Stock Exchange

END

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