19th Dec 2007 10:24
Citigroup GM Australia Pty Ltd19 December 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 18 December 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 834,591 (0.18%) 553,412 (0.12%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell 2,316,301 (0.50%) 2,981,455 (0.65%) Total 3,150,892 (0.68%) 3,534,867 (0.77%) (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 Convertible 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) 7675 128.6 4936 127.7 4032 129.41 3896 129.41 3454 129.41 2937 127.7 2686 129.44 2451 129.41 2000 128.5 1959 128.9 1755 128.38 1400 128.5 1390 128.37 1116 128.6 1063 127.7 1009 128.62 1000 129.41 782 129.41 767 129.41 672 129.41 520 129.41 500 128.9 500 128.9 500 127.7 500 127.7 500 129.75 478 128.62 400 129.7 375 128.4 375 128.77 375 129.95 375 129.41 361 129.41 354 128.96 318 128.38 309 129.41 280 127.45 230 127.47 209 128.6 166 127.46 166 129.46 162 129.69 140 128.61 122 128.88 122 128.88 110 127.51 100 128.5 84 129.04 63 127.7 56 129.41 40 128.61 33 129.46 30 128.37 30 129.41 26 128.9 26 129.69 24 129.45 24 129.46 22 129.46 22 129.7 21 128.96 20 128.5 17 127.46 16 127.46 16 129.93 14 129.44 14 129.44 13 128.62 9 127.47 9 129.41 8 129.41 4 128.88 2 128.2 2 129.41 2 129.41 2 129.41 1 128.74 1 128.77 1 128.87 1 128.9 1 127.7 1 127.47 1 129.41TOTAL 56,183 Sales Number of securities Price per unit (Note 4) AUD (unless stated) -1 128.75 -1 128.7 -1 129.17 -1 128.89 -1 129.13 -1 128.9 -1 129.95 -2 128.2 -2 129.04 -3 129.95 -3 130.5 -4 128.88 -4 130.41 -5 130.55 -7 129.88 -8 129.41 -10 129.3 -14 129.44 -14 129.44 -16 129.93 -16 129.93 -17 128.92 -22 130.24 -22 129.7 -22 129.46 -22 129.49 -24 129.45 -24 129.46 -24 129.35 -26 129.69 -26 129.94 -30 128.49 -32 128.9 -33 129.46 -38 129.05 -38 129.05 -40 128.7 -40 129.2 -41 129.35 -41 129.23 -44 128.88 -53 130.17 -54 129.18 -54 129.9 -65 130.05 -66 129.2 -67 130.47 -70 128.82 -70 129.95 -72 130.41 -74 128.71 -75 128.75 -76 129.41 -78 128.88 -78 129.21 -81 129.95 -81 130.15 -90 129.95 -93 129.2 -95 129.05 -97 130.23 -100 129.49 -100 130.41 -100 130.17 -103 130.17 -104 129.21 -108 130.05 -109 128.88 -109 128.75 -110 128.82 -114 129.09 -122 128.88 -122 128.88 -143 128.69 -143 128.91 -147 129.36 -160 129.4 -161 129.22 -162 129.69 -166 129.46 -166 129.04 -167 129.94 -168 129.11 -168 128.88 -178 129.18 -180 128.9 -180 128.98 -180 128.93 -180 129.17 -182 128.89 -182 129.2 -184 128.75 -197 129.11 -199 129.5 -200 128.92 -203 129.3 -212 129.16 -213 129.33 -220 128.96 -223 129.15 -230 130.1 -231 130.16 -235 130.4 -243 130.17 -243 130.2 -243 130.3 -243 130.42 -243 130.33 -243 130.38 -247 130.06 -247 129.99 -249 129.16 -250 128.49 -268 130.26 -277 129.87 -280 128.83 -284 130.1 -284 129.89 -335 128.92 -400 129.7 -463 129.41 -494 129.35 -568 128.92 -669 128.88 -952 129.41 -1000 129.41 -1021 130.23 -1579 129.41 -2451 129.41 -2686 129.44 -3433 129.41TOTAL 28,966 (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)(C = call (Note 4)option; P = put option) C Purchasing 16000 124 E 20080227 1.53 C Purchasing 15000 138 A 20080327 6.45 C Purchasing 4000 124 E 20080227 1.53 C Purchasing 4000 124 E 20080227 1.505 C Purchasing 4000 124 E 20080227 1.53 C Purchasing 4000 124 E 20080227 1.42 C Purchasing 1000 100 A 20080327 33.2 C Selling -200 100 A 20080327 33.07 C Selling -200 100 A 20080327 33.09 C Selling -200 100 A 20080327 33.09 C Selling -200 100 A 20080327 33.09 C Selling -1200 100 A 20080327 33.09 C Selling -1200 124 E 20080227 1.63 C Selling -4000 124 E 20080227 1.2 C Selling -6000 120 E 20080327 3.99 C Selling -10908 120 E 20080327 3.97 C Selling -13092 120 E 20080327 3.99 C Selling -15000 114 A 20071220 14.68 (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 19 December 2007 Contact name Selina Campbell Telephone number 02890 409538 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 38.5(b) DETAILS OF OPEN POSITIONS (This form should be attached to Form 38.5(b)) OPEN POSITIONS (Note 1) 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 20080124 P Option Written 200000 88 A 20080327 P Option Written 196200 96 E 20071220 P Option Written 163200 100 E 20071220 P Option Written 148000 90 A 20071220 P Option Written 125000 108 A 20071220 C Option Purchased 123000 135 A 20071220 P Option Written 100000 90 A 20080327 P Option Written 90000 110 E 20071220 C Option Purchased 75000 116 A 20071220 C Option Purchased 67000 108 A 20071220 C Option Purchased 65000 112 A 20080327 P Option Written 57000 110 A 20071220 P Option Written 55000 104 A 20071220 P Option Written 50979 56.1501 A 20101011 P Option Written 50000 66 A 20071220 P Option Written 50000 87 A 20071220 C Option Purchased 50000 94 A 20071220 C Option Purchased 50000 132 A 20071220 P Option Written 40000 74.25 E 20110727 P Option Written 30588 56.0324 E 20081103 C Option Purchased 25000 100 A 20071220 C Option Purchased 23000 96 A 20071220 C Option Purchased 22000 100 A 20071220 C Option Purchased 15000 138 A 20080327 P Option Written 10000 106 A 20071220 P Option Written 7517 116.82 A 20120711 P Option Written 6789 94.91 A 20110623 P Option Written 6646 37.6132 E 20091001 P Option Written 6415 77.94 E 20100219 P Option Written 6268 88.6 A 20120327 C Option Purchased 6000 119.66 A 20080124 P Option Written 5906 119.75 A 20120628 P Option Written 5780 109.19 A 20120530 P Option Written 5608 92.64 A 20110624 P Option Written 5000 107.89 A 20080124 C Option Purchased 5000 116 A 20071220 P Option Written 4886 97.272 A 20120828 P Option Written 4420 88.07 A 20110623 P Option Written 4320 99.12 A 20120425 P Option Written 3828 115.61 A 20120613 P Option Written 3801 96.12 A 20110623 P Option Written 3468 164.66 A 20121227 P Option Written 3105 99.8 A 20110428 P Option Written 3000 116 A 20071220 P Option Written 2994 85.04 A 20110328 P Option Written 2862 119 A 20120711 P Option Written 2591 38.5842 E 20091201 P Option Written 2269 44.0766 E 20080630 P Option Written 2248 73.8533 A 20101229 P Option Written 2024 98.79 E 20100629 C Option Purchased 2000 78.46 A 20090924 P Option Written 1976 160.932 A 20121128 P Option Written 1370 85.0735 A 20110228 P Option Written 1273 78.5 E 20110630 P Option Written 1188 105.3 A 20110523 P Option Written 1152 43.3704 E 20100628 P Option Written 1152 43.3704 E 20100628 P Option Written 1132 83.22 A 20111007 P Option Written 1037 43.3704 E 20080627 C Option Purchased 1000 106 A 20080626 P Option Written 869 89.4361 A 20110207 P Option Written 765 43.9589 E 20080630 P Option Written 700 103.7 A 20120515 P Option Written 561 89 E 20100809 P Option Written 514 77.8 E 20090630 P Option Written 464 95.75 E 20100629 P Option Written 454 44.0766 E 20080630 P Option Written 405 98.1 A 20100625 P Option Written 392 131.14 A 20121011 P Option Written 388 77.2 E 20110627 P Option Written 337 29.61 E 20080625 P Option Written 332 75.22 E 20100524 P Option Written 302 82.55 E 20100517 P Option Written 290 95.75 E 20100628 P Option Written 266 94.08 A 20110728 P Option Written 254 78.6 E 20110707 P Option Written 236 84.55 E 20110509 P Option Written 208 95.7 E 20120905 P Option Written 208 95.7 E 20120905 P Option Written 203 98.22 E 20120912 P Option Written 203 98.22 E 20120912 P Option Written 191 78.5 E 20110630 P Option Written 191 78.5 E 20110630 P Option Written 159 94.02 A 20110728 P Option Written 141 93.6 A 20110728 P Option Written 138 72.5685 E 20080121 P Option Written 138 92.66 A 20110728 C IWarrant Written -200 65 A 20081127 P Option Purchased -203 98.22 E 20120912 P Option Purchased -208 95.7 E 20120905 C Barrier Written -600 110 E 20080227 P Option Purchased -1000 94 A 20080626 C IWarrant Written -1000 80 A 20071220 C Option Written -1000 105.01 E 20071220 C Option Written -1000 125 A 20071220 P Option Purchased -2000 77 A 20111222 C Option Written -2000 107.89 A 20080124 C IWarrant Written -2700 59 A 20080423 P Option Purchased -3000 132 A 20071220 C SFIWarrant Written -3473 54.3931 A 20120628 C Barrier Written -4000 96 E 20071219 C IWarrant Written -4570 100 A 20080327 C IWarrant Written -4770 42.5 A 20080623 P Option Purchased -5000 68 A 20101223 C IWarrant Written -5000 70 A 20080327 C Option Written -5000 90 A 20071220 C IWarrant Written -7131 64 A 20090619 P Option Purchased -8000 100 A 20071220 P Option Purchased -10000 82 A 20071220 P Option Purchased -10000 130 A 20080327 C Barrier Written -14600 124 E 20080227 P Option Purchased -15000 80 A 20080327 P Option Purchased -18000 74 A 20080626 C Option Written -18000 106 A 20071220 P Option Purchased -20000 112 A 20071220 P Option Purchased -23000 90 A 20071220 P Option Purchased -23000 92 A 20071220 C Option Written -23000 90 A 20071220 C Option Written -25000 118 A 20071220 C Option Written -25000 115.73 A 20080124 C Option Written -30000 104 A 20071220 C Option Written -30000 120 E 20080327 C Option Written -32000 112 A 20071220 C Option Written -33000 85 A 20111222 C Option Written -34000 102 A 20071220 P Option Purchased -44000 72 A 20081218 P Option Purchased -46000 119.66 A 20080124 P Option Purchased -48000 96 A 20071220 C Option Written -50000 87 A 20071220 C Option Written -50000 122 A 20081218 P Option Purchased -60000 80 A 20111222 C Option Written -63000 114 A 20071220 P Option Purchased -73000 94 A 20071220 C Option Written -75000 56.89 A 20090924 P Option Purchased -76000 75 A 20111222 P Option Purchased -87000 88 A 20071220 P Option Purchased -93000 100 A 20080327 P Option Purchased -95000 102 A 20071220 C Option Written -99000 110 A 20071220 C Option Written -100000 87 A 20071220 P Option Purchased -100000 94 A 20080327 C Option Written -100000 104 A 20080327 P Option Purchased -100000 84 A 20080327 C Option Written -100000 112 A 20080124 P Option Purchased -100000 110 A 20080327 P Option Purchased -100000 96 A 20080327 P Option Purchased -112000 68.66 A 20090924 C Barrier Written -120000 90 E 20071219 C Option Written -145000 90 A 20080626 P Option Purchased -242000 78.46 A 20090924 C Option Written -258000 120 E 20071220 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 Rules 8 and 38.5and their Notes 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