21st Nov 2007 12:09
Citigroup GM Australia Pty Ltd21 November 2007 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 Citigroup Global Markets Australia Pty Limited Company dealt in Rio Tinto Ltd Class of relevant security to which the Ord/Equitydealings being disclosed relate (Note 1) Date of dealing 20 November 2007 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class ofrelevant security dealt in (Note 2) Long Short Number (%) Number (%) (1) Relevant securities 425,726 (0.09%) 686,074 (0.15%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell 2,982,833 (0.65%) 3,789,388 (0.83%) Total 3,408,559 (0.74%) 4,475,462 (0.98%) (b) Interests and short positions in relevant securities of the company,other than the class dealt in (Note 2) Class of relevant security: Long ShortConvertible Number (%) Number (%) (1) Relevant securities (0.00%) (0.00%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell (0.00%) (0.00%) Total (0.00%) (0.00%) (c) Rights to subscribe (Note 2) Class of relevant security: Details 3. DEALINGS (Note 3) (a) Purchases and sales Purchase Number of securities Price per unit (Note 4) AUD (unless stated) 100000 136.15 17785 136 10000 136.15 1477 136.25 1300 136 1000 136 398 136.12 398 136.19 398 136.18 398 136.18 398 136.25 398 136.26 398 136.29 316 136.19 316 136.29 310 135.9 309 136.19 267 136 259 136.12 258 136.06 242 136.32 224 136.06 220 136.09 197 136.19 194 136 175 136.12 174 136.03 170 136.1 169 136.11 163 136.12 140 134.99 139 136.12 132 136 124 135.96 107 136.12 101 136.18 100 136.18 99 136.06 99 136.19 99 136.16 99 136.16 99 136.16 89 136.19 82 136.17 81 136.26 80 135.87 80 136 80 136 80 136 80 135.99 80 135.99 80 135.99 80 136 80 136 80 136 80 136 80 136 80 136 75 136.32 65 136.11 56 136.12 54 135.91 50 136.12 48 136.29 47 136 46 136 41 134.99 41 136.12 38 136 37 136.06 33 136 33 136 32 136.11 28 135.97 24 135.99 20 135.91 19 136.02 18 136.12 18 136.12 18 136.12 18 136.12 16 136.21 15 136.12 14 135.98 14 136.18 13 135.91 13 135.91 13 136 9 135.96 9 135.96 9 135.96 9 135.96 9 135.96 9 135.95 8 136.06 6 135.96 4 136.08 4 136.06 3 136 3 136 3 136.3 3 136.32 1 135.95 1 136 1 136.11Total 141,898 Sales Number of securities Price per unit (Note 4) AUD (unless stated) -1 135.33 -1 135.95 -1 136 -1 136.11 -2 136.37 -2 136.4 -2 136.25 -3 136.32 -3 136 -3 136 -3 136.3 -4 136.08 -4 136.06 -6 135.96 -8 136.37 -8 136.06 -8 136.4 -9 135.95 -9 135.96 -9 135.96 -9 135.96 -9 135.96 -9 135.96 -9 136.25 -13 135.91 -13 135.91 -13 136 -14 135.98 -14 136.18 -15 136.39 -15 136.12 -16 136.21 -18 136.12 -18 136.12 -18 136.12 -18 136.12 -19 136.02 -20 135.91 -20 136.4 -22 136.37 -24 135.99 -28 135.97 -29 136.37 -32 136.11 -33 136 -33 136 -37 136.37 -37 136.06 -38 136 -38 136.4 -40 136.25 -41 136.12 -43 136.37 -44 136.4 -46 136 -46 136 -47 136 -47 136.25 -48 136.29 -49 136.22 -50 136.12 -54 135.91 -55 136.37 -56 136.12 -56 136.4 -60 136.25 -65 136.11 -67 136.39 -75 136.32 -80 136 -80 136 -80 135.87 -80 135.99 -80 135.99 -80 136 -80 136 -80 136 -80 136 -80 136 -80 136 -80 136 -80 135.99 -81 136.26 -82 136.17 -89 136.19 -99 136.06 -99 136.19 -99 136.16 -99 136.16 -99 136.16 -99 136.22 -100 136.18 -101 136.18 -107 136.12 -108 136.4 -111 136.39 -124 135.96 -132 136 -139 136.12 -146 136.4 -163 136.12 -169 136.11 -170 136.1 -172 135.39 -174 136.03 -175 136.12 -194 136 -197 136.19 -198 136.25 -199 135.33 -216 136.22 -220 136.09 -222 136.25 -224 136.06 -242 136.32 -258 136.06 -259 136.12 -267 136 -309 136.19 -310 136.49 -316 136.29 -316 136.19 -350 135.4 -355 136.37 -398 136.29 -398 136.12 -398 136.19 -398 136.25 -398 136.26 -398 136.18 -398 136.18 -475 136.25 -482 136.25 -500 136.37 -639 136.25 -722 136.4 -778 135.39 -1000 136.2 -1462 134.99 -1477 136.25 -1500 136.22 -1543 135.3 -1590 136.15 -1637 136.37 -1690 135.9 -1760 136.39 -1769 136.39 -1999 136.25 -2144 136.39 -2356 135.32 -3082 136.37 -3622 136.37 -4971 136.39 -10000 136.15 -20000 136.15 -40000 136.15 -100000 136Total 220,320 (b) Derivatives transactions (other than options) Product name, Long/short (Note 5) Number of securities (Note 6) Price per unit (Note 4) e.g. CFD (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product name, Writing, Number of Exercise Type, e.g. Expiry Option money selling, securities to American,e.g. call option purchasing, which the option Price (AUD) European etc. date paid/received varying etc. relates (Note 6) per unit (AUD) (Note 4) C Barrier purchasing 36252 124 E 27-Feb-08 3.37 C Barrier purchasing 26000 110 E 27-Feb-08 7.17 C Barrier purchasing 23748 124 E 27-Feb-08 3.37 P Option selling 1976 160.93 A 28-Nov-12 40.36 C IWarrant purchasing 778 88 A 29-Nov-07 47.52 C IWarrant purchasing 522 88 A 29-Nov-07 47.52 C IWarrant purchasing 310 80 A 20-Dec-07 57.07 C IWarrant purchasing 200 88 A 29-Nov-07 47.52 C IWarrant selling -310 80 A 20-Dec-07 56.21 (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 relatingto the voting rights of any relevant securities under any option referred to on this form or relating to the votingrights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form isreferenced. If none, this should be stated. Is a Supplemental Form 38.5(b) attached? (Note 8) YES Date of disclosure 20 November 2007 Contact name Pavla Trskova Telephone number 02890 409544 Name of offeree/offeror with which connected BHP Billiton plcNature of connection (Note 9) Corporate Broker/Financial Advisor Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website atwww.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, Written or Number of securities Exercise price Type, e.g. Expiry date purchased to which the option or (Note 2) American,e.g. call option derivative relates European etc. Product name, Written or Number of Exercise price Type, e.g. Expiry date purchased securities to which (Note 2) American, Europeane.g. call option the option or etc. derivative relates P Option written 300000 112 A 24-Jan-08 P Option written 200000 88 A 27-Mar-08 P Option written 196200 96 E 20-Dec-07 P Option written 163200 100 E 20-Dec-07 P Option written 148000 90 A 20-Dec-07 P Option written 125000 108 A 20-Dec-07 C Option purchased 123000 135 A 20-Dec-07 P Option written 120000 110 E 20-Dec-07 C Option purchased 111000 94 A 29-Nov-07 C Option purchased 100000 116 A 29-Nov-07 P Option written 100000 90 A 27-Mar-08 C Option purchased 100000 92 A 29-Nov-07 P Option written 87000 87 A 29-Nov-07 P Option written 80000 112 A 29-Nov-07 C Option purchased 75000 116 A 20-Dec-07 C Option purchased 67000 108 A 20-Dec-07 C Option purchased 65000 112 A 27-Mar-08 P Option written 57000 110 A 20-Dec-07 P Option written 55000 104 A 20-Dec-07 P Option written 54000 108 A 29-Nov-07 C Option purchased 53000 108 A 29-Nov-07 P Option written 50979 56.15 A 11-Oct-10 P Option written 50000 66 A 20-Dec-07 C Option purchased 50000 94 A 20-Dec-07 P Option written 50000 87 A 20-Dec-07 C Option purchased 49000 104 A 29-Nov-07 P Option written 40000 74.25 E 27-Jul-11 P Option written 30588 56.03 E 3-Nov-08 C Option purchased 25000 100 A 20-Dec-07 C Option purchased 25000 110 A 29-Nov-07 C Option purchased 23000 96 A 20-Dec-07 C Option purchased 22000 100 A 20-Dec-07 C Option purchased 14000 102 A 29-Nov-07 P Option written 14000 96 A 29-Nov-07 P Option written 10000 106 A 20-Dec-07 C Option purchased 9000 98 A 29-Nov-07 P Option written 7517 116.82 A 11-Jul-12 P Option written 6789 94.91 A 23-Jun-11 P Option written 6646 37.61 E 1-Oct-09 P Option written 6415 77.94 E 19-Feb-10 P Option written 6268 88.6 A 27-Mar-12 C Option purchased 6000 119.66 A 24-Jan-08 P Option written 5906 119.75 A 28-Jun-12 P Option written 5780 109.19 A 30-May-12 P Option written 5608 92.64 A 24-Jun-11 C Option purchased 5000 100 A 29-Nov-07 P Option written 5000 107.89 A 24-Jan-08 C Option purchased 5000 116 A 20-Dec-07 P Option written 4886 97.27 A 28-Aug-12 P Option written 4420 88.07 A 23-Jun-11 P Option written 4320 99.12 A 25-Apr-12 C Option purchased 4000 96 A 29-Nov-07 P Option written 3828 115.61 A 13-Jun-12 P Option written 3801 96.12 A 23-Jun-11 P Option written 3105 99.8 A 28-Apr-11 C Option purchased 3000 112 A 29-Nov-07 P Option written 2994 85.04 A 28-Mar-11 P Option written 2862 119 A 11-Jul-12 P Option written 2591 38.58 E 1-Dec-09 P Option written 2269 44.08 E 30-Jun-08 P Option written 2248 73.85 A 29-Dec-10 P Option written 2024 98.79 E 29-Jun-10 C Option purchased 2000 78.46 A 24-Sep-09 P Option written 1976 160.93 A 28-Nov-12 P Option written 1370 85.07 A 28-Feb-11 P Option written 1273 78.5 E 30-Jun-11 P Option written 1188 105.3 A 23-May-11 P Option written 1152 43.37 E 28-Jun-10 P Option written 1152 43.37 E 28-Jun-10 P Option written 1132 83.22 A 7-Oct-11 P Option written 1037 43.37 E 27-Jun-08 C Option purchased 1000 106 A 26-Jun-08 P Option written 869 89.44 A 7-Feb-11 P Option written 765 43.96 E 30-Jun-08 P Option written 700 103.7 A 15-May-12 P Option written 561 89 E 9-Aug-10 P Option written 514 77.8 E 30-Jun-09 P Option written 464 95.75 E 29-Jun-10 P Option written 454 44.08 E 30-Jun-08 P Option written 405 98.1 A 25-Jun-10 P Option written 392 131.14 A 11-Oct-12 P Option written 388 77.2 E 27-Jun-11 P Option written 337 29.61 E 25-Jun-08 P Option written 332 75.22 E 24-May-10 P Option written 302 82.55 E 17-May-10 P Option written 290 95.75 E 28-Jun-10 P Option written 266 94.08 A 28-Jul-11 P Option written 254 78.6 E 7-Jul-11 P Option written 236 84.55 E 9-May-11 P Option written 208 95.7 E 5-Sep-12 P Option written 208 95.7 E 5-Sep-12 P Option written 203 98.22 E 12-Sep-12 P Option written 203 98.22 E 12-Sep-12 P Option written 191 78.5 E 30-Jun-11 P Option written 191 78.5 E 30-Jun-11 P Option written 159 94.02 A 28-Jul-11 P Option written 141 93.6 A 28-Jul-11 P Option written 138 72.57 E 21-Jan-08 P Option written 138 92.66 A 28-Jul-11 P Option purchased -203 98.22 E 12-Sep-12 P Option purchased -208 95.7 E 5-Sep-12 C Barrier written -800 100 E 28-Nov-07 C Option written -1000 105.01 E 20-Dec-07 C Option written -1000 125 A 20-Dec-07 P Option purchased -1000 94 A 26-Jun-08 C IWarrant written -1070 100 A 27-Mar-08 C IWarrant written -1850 80 A 20-Dec-07 P Option purchased -2000 106 A 29-Nov-07 C Option written -2000 107.89 A 24-Jan-08 P Option purchased -2000 77 A 22-Dec-11 P Option purchased -2000 90 A 29-Nov-07 C IWarrant written -3050 59 A 23-Apr-08 C SFIWarrant written -3428 54.39 A 28-Jun-12 C IWarrant written -4500 70 A 27-Mar-08 C IWarrant written -4770 42.5 A 23-Jun-08 P Option purchased -5000 68 A 23-Dec-10 C Option written -5000 90 A 20-Dec-07 C IWarrant written -5149 64 A 19-Jun-09 P Option purchased -8000 100 A 20-Dec-07 P Option purchased -8000 98 A 29-Nov-07 C IWarrant written -8360 60 A 29-Nov-07 P Option purchased -10000 82 A 20-Dec-07 P Option purchased -14000 102 A 29-Nov-07 P Option purchased -15000 80 A 27-Mar-08 C Barrier written -16000 110 E 27-Feb-08 P Option purchased -16000 114 A 29-Nov-07 C Option written -18000 106 A 20-Dec-07 P Option purchased -18000 74 A 26-Jun-08 P Option purchased -20000 112 A 20-Dec-07 C Option written -20000 114 A 29-Nov-07 C Option written -23000 90 A 20-Dec-07 P Option purchased -23000 90 A 20-Dec-07 P Option purchased -23000 92 A 20-Dec-07 C Option written -25000 115.73 A 24-Jan-08 C Option written -25000 118 A 20-Dec-07 C Option written -25000 120 A 29-Nov-07 P Option purchased -26000 100 A 29-Nov-07 P Option purchased -26000 104 A 29-Nov-07 C Option written -30000 104 A 20-Dec-07 C Barrier written -32000 120 E 19-Dec-07 C Option written -32000 112 A 20-Dec-07 C Option written -33000 85 A 22-Dec-11 C Option written -34000 102 A 20-Dec-07 C Option written -35000 106 A 29-Nov-07 P Option purchased -44000 72 A 18-Dec-08 P Option purchased -46000 119.66 A 24-Jan-08 C Option written -48000 114 A 20-Dec-07 P Option purchased -48000 96 A 20-Dec-07 C Option written -50000 122 A 18-Dec-08 C Option written -50000 87 A 20-Dec-07 C Barrier written -58000 96 E 19-Dec-07 C Barrier written -60000 124 E 27-Feb-08 P Option purchased -60000 80 A 22-Dec-11 C Option written -65000 118 A 29-Nov-07 P Option purchased -73000 94 A 20-Dec-07 C Option written -75000 56.89 A 24-Sep-09 P Option purchased -76000 75 A 22-Dec-11 P Option purchased -87000 88 A 20-Dec-07 P Option purchased -93000 100 A 27-Mar-08 P Option purchased -95000 102 A 20-Dec-07 P Option purchased -96000 110 A 29-Nov-07 C Option written -99000 110 A 20-Dec-07 C Option written -100000 104 A 27-Mar-08 P Option purchased -100000 110 A 27-Mar-08 C Option written -100000 112 A 24-Jan-08 P Option purchased -100000 84 A 27-Mar-08 P Option purchased -100000 94 A 27-Mar-08 P Option purchased -100000 96 A 27-Mar-08 C Option written -100000 87 A 20-Dec-07 P Option purchased -112000 68.66 A 24-Sep-09 C Option written -145000 90 A 26-Jun-08 C Barrier written -200000 90 E 19-Dec-07 P Option purchased -242000 78.46 A 24-Sep-09 C Option written -258000 120 E 20-Dec-07 C Option written -300000 100 E 20-Dec-07 Notes 1. Where there are open option positions or open derivative positions (exceptfor CFDs), full details should be given. Full details of any existingagreements 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 itsNotes which can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto