29th Oct 2008 11:08
|
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 dealings |
Common |
|
being disclosed relate |
|
Date of dealing |
28/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
3,056,925 |
GBP 9.19 |
GBP 8.26 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,976,319 |
GBP 9.13 |
GBP 8.07 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
7,157 |
GBP 9.06 |
|
Long Swap |
LONG |
70,536 |
GBP 8.71 |
|
Long Swap |
LONG |
42,823 |
GBP 8.78 |
|
Long Swap |
LONG |
26,923 |
GBP 8.48 |
|
Long Swap |
LONG |
25,000 |
GBP 8.16 |
|
Long Swap |
LONG |
10,595 |
GBP 9.01 |
|
Long Swap |
LONG |
10,052 |
GBP 8.81 |
|
Long Swap |
LONG |
48 |
GBP 8.81 |
|
Long Swap |
LONG |
8,000 |
GBP 8.51 |
|
Long Swap |
LONG |
983,636 |
GBP 8.75 |
|
Long Swap |
LONG |
6,139 |
GBP 8.75 |
|
Long Swap |
LONG |
3,547 |
GBP 8.92 |
|
Long Swap |
LONG |
3,000 |
GBP 8.22 |
|
Long Swap |
LONG |
2,914 |
GBP 8.78 |
|
Long Swap |
LONG |
2,855 |
GBP 8.78 |
|
Long Swap |
LONG |
2,728 |
GBP 8.71 |
|
Long Swap |
LONG |
952 |
GBP 8.92 |
|
Long Swap |
LONG |
9,475 |
GBP 8.55 |
|
Long Swap |
LONG |
431,170 |
GBP 8.81 |
|
Long Swap |
LONG |
131,674 |
GBP 8.78 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
14,380 |
GBP 8.93 |
|
Short Swap |
SHORT |
2,728 |
GBP 8.79 |
|
Short Swap |
SHORT |
2,914 |
GBP 9.06 |
|
Short Swap |
SHORT |
2,975 |
GBP 8.23 |
|
Short Swap |
SHORT |
3,000 |
GBP 8.23 |
|
Short Swap |
SHORT |
6,500 |
GBP 8.70 |
|
Short Swap |
SHORT |
7,157 |
GBP 8.78 |
|
Short Swap |
SHORT |
7,262 |
GBP 8.41 |
|
Short Swap |
SHORT |
10,052 |
GBP 8.97 |
|
Short Swap |
SHORT |
26,923 |
GBP 8.50 |
|
Short Swap |
SHORT |
27,631 |
GBP 8.84 |
|
Short Swap |
SHORT |
70,536 |
GBP 8.79 |
|
Short Swap |
SHORT |
131,674 |
GBP 8.78 |
|
Short Swap |
SHORT |
443,379 |
GBP 8.76 |
|
Short Swap |
SHORT |
983,636 |
GBP 8.75 |
|
Short Swap |
SHORT |
181 |
GBP 9.06 |
|
Short Swap |
SHORT |
8,000 |
GBP 8.53 |
|
(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 |
|
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 |
29/10/2008 |
|
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 dealings |
Common |
|
being disclosed relate |
|
Date of dealing |
28/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
400,930 |
GBP 6.38 |
GBP 6.35 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
397,249 |
GBP 6.37 |
GBP 6.34 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
8,143 |
GBP 6.38 |
|
Long Swap |
LONG |
2,275 |
GBP 6.36 |
|
Long Swap |
LONG |
1,706 |
GBP 6.35 |
|
Long Swap |
LONG |
947 |
GBP 6.38 |
|
Long Swap |
LONG |
884 |
GBP 6.38 |
|
Long Swap |
LONG |
92 |
GBP 6.36 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,706 |
GBP 6.36 |
|
Short Swap |
SHORT |
4,236 |
GBP 6.38 |
|
Short Swap |
SHORT |
5,624 |
GBP 6.36 |
|
(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 |
|
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 |
29/10/2008 |
|
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 dealings |
Common |
|
being disclosed relate |
|
Date of dealing |
28/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
1,149,694 |
GBP 24.69 |
GBP 21.77 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,173,969 |
GBP 24.59 |
GBP 21.79 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
341,983 |
GBP 23.54 |
|
Long Swap |
LONG |
1,069 |
GBP 23.25 |
|
Long Swap |
LONG |
2,006 |
GBP 22.97 |
|
Long Swap |
LONG |
2,500 |
GBP 23.41 |
|
Long Swap |
LONG |
2,753 |
GBP 23.84 |
|
Long Swap |
LONG |
3,081 |
GBP 23.54 |
|
Long Swap |
LONG |
3,136 |
GBP 23.71 |
|
Long Swap |
LONG |
4,404 |
GBP 23.28 |
|
Long Swap |
LONG |
9,804 |
GBP 23.54 |
|
Long Swap |
LONG |
22,500 |
GBP 23.41 |
|
Long Swap |
LONG |
24,731 |
GBP 22.97 |
|
Long Swap |
LONG |
220 |
GBP 23.46 |
|
Long Swap |
LONG |
146,652 |
GBP 23.54 |
|
Long Swap |
LONG |
37,156 |
GBP 23.46 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,069 |
GBP 23.47 |
|
Short Swap |
SHORT |
341,983 |
GBP 23.54 |
|
Short Swap |
SHORT |
150,278 |
GBP 23.54 |
|
Short Swap |
SHORT |
37,156 |
GBP 23.40 |
|
Short Swap |
SHORT |
25,000 |
GBP 24.23 |
|
Short Swap |
SHORT |
20,972 |
GBP 23.57 |
|
Short Swap |
SHORT |
17,918 |
GBP 23.57 |
|
Short Swap |
SHORT |
5,365 |
GBP 23.44 |
|
Short Swap |
SHORT |
2,973 |
GBP 24.16 |
|
Short Swap |
SHORT |
2,461 |
GBP 23.54 |
|
Short Swap |
SHORT |
2,006 |
GBP 23.57 |
|
Short Swap |
SHORT |
1,180 |
GBP 23.72 |
|
(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 |
|
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 |
29/10/2008 |
|
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 dealings |
Common |
|
being disclosed relate |
|
Date of dealing |
28/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
3,792,303 |
GBP 1.76 |
GBP 1.62 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,390,374 |
GBP 1.73 |
GBP 1.61 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,009,619 |
GBP 1.68 |
|
Long Swap |
LONG |
222,016 |
GBP 1.71 |
|
Long Swap |
LONG |
100,000 |
GBP 1.68 |
|
Long Swap |
LONG |
73,684 |
GBP 1.70 |
|
Long Swap |
LONG |
33,000 |
GBP 1.68 |
|
Long Swap |
LONG |
30,100 |
GBP 1.68 |
|
Long Swap |
LONG |
11,600 |
GBP 1.71 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
30,100 |
GBP 1.68 |
|
Short Swap |
SHORT |
33,000 |
GBP 1.68 |
|
Short Swap |
SHORT |
46,162 |
GBP 1.68 |
|
Short Swap |
SHORT |
48,435 |
GBP 1.68 |
|
Short Swap |
SHORT |
60,676 |
GBP 1.71 |
|
Short Swap |
SHORT |
73,684 |
GBP 1.70 |
|
Short Swap |
SHORT |
161,340 |
GBP 1.70 |
|
Short Swap |
SHORT |
1,009,619 |
GBP 1.68 |
|
(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 |
|
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 |
29/10/2008 |
|
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