15th Aug 2008 11:09
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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 |
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Name of EPT |
Merrill Lynch International |
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Date of disclosure |
15 August 2008 |
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Date of dealing |
14 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 |
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14 August 2008 |
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Rio Tinto Plc - Common |
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CENTRICA PLC - Common |
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BHP Billiton 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 |
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of securities under option, the exercise period (or in the case of exercise, the exercise date), the |
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exercise price and any option money paid or received. For derivatives this should include, at least, the |
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number of reference securities to which they relate (when relevant), the maturity date (or if applicable |
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the closing 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 |
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38.5(a) |
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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 |
|
Class of relevant security to which the |
Common |
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dealings being disclosed relate |
|
Date of dealing |
14/08/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
655,614 |
GBP 49.34 |
GBP 47.92 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
648,428 |
GBP 49.27 |
GBP 47.94 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
30 |
GBP 48.06 |
|
Long Swap |
LONG |
50 |
GBP 48.10 |
|
Long Swap |
LONG |
130 |
GBP 48.10 |
|
Long Swap |
LONG |
170 |
GBP 48.10 |
|
Long Swap |
LONG |
2,000 |
GBP 48.01 |
|
Long Swap |
LONG |
5,393 |
GBP 48.01 |
|
Long Swap |
LONG |
10,000 |
GBP 48.40 |
|
Long Swap |
LONG |
20,365 |
GBP 48.51 |
|
Long Swap |
LONG |
30 |
GBP 48.06 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
13,292 |
GBP 48.61 |
|
Short Swap |
SHORT |
15,563 |
GBP 48.30 |
|
Short Swap |
SHORT |
30 |
GBP 48.15 |
|
Short Swap |
SHORT |
4,468 |
GBP 48.61 |
|
Short Swap |
SHORT |
3,288 |
GBP 48.61 |
|
Short Swap |
SHORT |
1,200 |
GBP 48.82 |
|
Short Swap |
SHORT |
778 |
GBP 48.30 |
|
Short Swap |
SHORT |
600 |
GBP 48.10 |
|
Short Swap |
SHORT |
440 |
GBP 48.82 |
|
Short Swap |
SHORT |
420 |
GBP 48.82 |
|
Short Swap |
SHORT |
60 |
GBP 48.14 |
|
Short Swap |
SHORT |
50 |
GBP 48.14 |
|
Short Swap |
SHORT |
15,778 |
GBP 48.03 |
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(c) Options transactions in respect of existing securities |
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(i) Writing, selling, purchasing or varying |
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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 |
Buying |
1,100 |
£0.57 |
AMERICAN |
17-Oct-08 |
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(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 |
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other person relating to the voting rights of any relevant securities under any option referred to on this |
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form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
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any derivative 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 |
15/08/2008 |
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Contact name |
Louise Howard |
|
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 |
|
Company dealt in |
Banco Santander SA. |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
14/08/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,683,161 |
EUR 12.06 |
EUR 11.82 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,625,175 |
EUR 12.06 |
EUR 11.82 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
103,580 |
EUR 11.97 |
|
Long Swap |
LONG |
1,928 |
EUR 11.96 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
883 |
EUR 11.91 |
|
Short Swap |
SHORT |
1,335 |
EUR 11.91 |
|
Short Swap |
SHORT |
3,756 |
EUR 11.91 |
|
Short Swap |
SHORT |
3,959 |
EUR 11.91 |
|
Short Swap |
SHORT |
5,992 |
EUR 11.91 |
|
Short Swap |
SHORT |
7,496 |
EUR 11.93 |
|
Short Swap |
SHORT |
7,768 |
EUR 11.91 |
|
Short Swap |
SHORT |
8,168 |
EUR 11.95 |
|
Short Swap |
SHORT |
11,755 |
EUR 11.91 |
|
Short Swap |
SHORT |
16,848 |
EUR 11.91 |
|
Short Swap |
SHORT |
17,524 |
EUR 11.95 |
|
Short Swap |
SHORT |
32,121 |
EUR 11.95 |
|
Short Swap |
SHORT |
33,052 |
EUR 11.91 |
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(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 |
15/08/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Banco Santander SA. |
|
Nature of connection # |
Advisor |
|
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 CAPACITY |
|
(Rule 38.5(a) of The City Code on Takeovers and Mergers) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
BHP Billiton Limited |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
14/08/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
95 |
AUS 38.01 |
AUS 38.01 |
|
(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, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
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 |
15/08/2008 |
|
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) |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
14/08/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
54,623 |
GBP 11.55 |
GBP 11.40 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
96,544 |
GBP 11.57 |
GBP 11.23 |
|
(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, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
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 |
15/08/2008 |
|
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 |
|
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) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
CENTRICA PLC |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
14/08/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
116,317 |
GBP 3.15 |
GBP 3.09 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
61,755 |
GBP 3.14 |
GBP 3.09 |
|
(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, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
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 |
15/08/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
EDS S.A. |
|
Nature of connection # |
Advisor |
Related Shares:
BHP GroupBanco SantanderCentricaRio Tinto