18th Aug 2008 12:03
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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 MERGERS |
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Name of EPT |
Merrill Lynch International |
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Date of disclosure |
18 August 2008 |
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Date of dealing |
15 August 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 companies: |
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15 August 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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AMENDMENT |
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state which element(s) of previous disclosure was incorrect: |
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In the case of option business or dealings in derivatives full details should be given on a separate sheet |
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so that the nature of the dealings can be fully understood. For options this should include the number of |
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securities under option, the exercise period (or in the case of exercise, the exercise date), the exercise |
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price and any option money paid or received. For derivatives this should include, at least, the number of |
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reference securities to which they relate (when relevant), the maturity date (or if applicable the closing |
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out date) and the reference price. |
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For full details of disclosure requirements see Rules 8 and 38 of the Code. If in doubt contact the |
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Monitoring Section of the Panel, Tel. No:0207 638 0129 |
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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 |
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Name of exempt principal trader |
Merrill Lynch International |
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Company dealt in |
Rio Tinto Plc |
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Class of relevant security to which the dealings |
Common |
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being disclosed relate |
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Date of dealing |
15/08/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
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Total number of securities purchased |
Highest price paid |
Lowest price paid |
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509,926 |
GBP 47.47 |
GBP 46.01 |
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Total number of securities sold |
Highest price received |
Lowest price received |
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547,480 |
GBP 47.57 |
GBP 46.04 |
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(b) Derivatives transactions (other than options) |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
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Long Swap |
LONG |
16,550 |
GBP 47.34 |
|
Long Swap |
LONG |
30 |
GBP 46.69 |
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Long Swap |
LONG |
30 |
GBP 46.74 |
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Long Swap |
LONG |
60 |
GBP 46.74 |
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Long Swap |
LONG |
140 |
GBP 46.30 |
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Long Swap |
LONG |
220 |
GBP 46.79 |
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Long Swap |
LONG |
745 |
GBP 47.34 |
|
Long Swap |
LONG |
1,854 |
GBP 47.33 |
|
Long Swap |
LONG |
10,000 |
GBP 46.94 |
|
Long Swap |
LONG |
20 |
GBP 46.74 |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
10,000 |
GBP 47.34 |
|
Short Swap |
SHORT |
20 |
GBP 46.70 |
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Short Swap |
SHORT |
8,282 |
GBP 46.83 |
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Short Swap |
SHORT |
3,703 |
GBP 46.83 |
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Short Swap |
SHORT |
3,481 |
GBP 46.96 |
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Short Swap |
SHORT |
2,000 |
GBP 46.83 |
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Short Swap |
SHORT |
1,200 |
GBP 46.31 |
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Short Swap |
SHORT |
460 |
GBP 47.25 |
|
Short Swap |
SHORT |
130 |
GBP 46.70 |
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Short Swap |
SHORT |
30 |
GBP 46.70 |
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Short Swap |
SHORT |
10,000 |
GBP 47.34 |
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(c) Options transactions in respect of existing securities |
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Product name |
Writing, selling, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, |
securities under |
price |
American, |
date |
|
varying etc. |
option |
European etc |
paid/received |
|
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 other |
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person relating to the voting rights of any relevant securities under any option referred to on this form or |
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relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative |
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referred to on this form is referenced. If none, this should be stated. |
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NONE |
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Date of disclosure |
18/08/2008 |
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Contact name |
Louise Howard |
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Telephone number |
+44 20 7996 2121 |
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Name of offeree/offeror with whom connected |
BHP Billiton Plc |
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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) |
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1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
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Company dealt in |
Banco Santander SA. |
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Class of relevant security to which the dealings |
Common |
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being disclosed relate |
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Date of dealing |
15/08/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
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Total number of securities purchased |
Highest price paid |
Lowest price paid |
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17,218,775 |
EUR 12.04 |
EUR 11.87 |
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Total number of securities sold |
Highest price received |
Lowest price received |
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497,230 |
EUR 12.03 |
EUR 11.87 |
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(b) Derivatives transactions (other than options) |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
87,475 |
EUR 11.96 |
|
Long Swap |
LONG |
26,800 |
EUR 11.96 |
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Long Swap |
LONG |
15,380 |
EUR 11.93 |
|
Long Swap |
LONG |
8,680 |
EUR 11.93 |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
4,203 |
EUR 11.95 |
|
Short Swap |
SHORT |
15,390 |
EUR 11.95 |
|
Short Swap |
SHORT |
47,807 |
EUR 11.95 |
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(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, |
securities under |
price |
American, |
date |
|
varying etc. |
option |
European etc |
paid/received |
|
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
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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 |
18/08/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Banco Santander SA. |
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Nature of connection # |
Advisor |
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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 |
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CAPACITY |
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(Rule 38.5(a) of The City Code on Takeovers and Mergers) |
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1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Rio Tinto Limited |
|
Class of relevant security to which the dealings |
Common |
|
being disclosed relate |
|
Date of dealing |
15/08/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
5,600 |
AUS 117.31 |
AUS 117.31 |
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Total number of securities sold |
Highest price received |
Lowest price received |
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5,600 |
AUS |
AUS |
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(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, selling, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, |
securities under |
price |
American, |
date |
paid/received |
|
varying etc. |
option |
European 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 |
18/08/2008 |
|
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) |
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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 dealings |
Common |
|
being disclosed relate |
|
Date of dealing |
15/08/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
222,991 |
GBP 11.55 |
GBP 11.36 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
218,335 |
GBP 11.59 |
GBP 11.38 |
|
(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, selling, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, |
securities under |
price |
American, |
date |
paid/received |
|
varying etc. |
option |
European 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 |
18/08/2008 |
|
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