14th Dec 2007 16:47
Citigroup Derivatives Markets Inc14 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 Derivatives Markets Inc Company dealt in Rio Tinto plc Class of relevant security to which the Ordinary Shares (Dealt in the form of ADRs)dealings being disclosed relate (Note 1) Date of dealing 13 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 (0.00%) 19,147 (0.00%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell 276,400 (0.00%) 254,600 (0.00%) Total 276,400 (0.00%) 273,747 (0.00%) (b) Interests and short positions in relevant securities of thecompany, 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) USD (unless stated) 100 432.45 100 442.66 100 442.53 100 442.53 100 432.5 100 441.58 100 441.99 100 441.69 100 442.19 100 432.6 100 432.44 100 440.81 100 440.81Total 1500 Sales Number of securities Price per unit (Note 4) USD (unless stated) TotalSales Number of securities Price per unit (Note 4) USD (unless stated) -4 443.09 -96 443.09 -96 443.09 -100 439.09Total 496 (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 (USD) European etc. date paid/received varying etc. relates (Note 6) per unit (USD)(C = call; (Note 4) P = put)C Purchasing 4000 480 AMERICAN 2007-12-22 2C Purchasing 1200 470 AMERICAN 2007-12-22 3C Purchasing 800 470 AMERICAN 2007-12-22 3.1P Purchasing 500 330 AMERICAN 2008-01-19 1.9C Purchasing 400 480 AMERICAN 2008-01-19 13.1C Purchasing 300 460 AMERICAN 2008-01-19 22.2P Purchasing 100 400 AMERICAN 2007-12-22 3C Purchasing 100 480 AMERICAN 2008-01-19 12.9C Purchasing 100 470 AMERICAN 2008-01-19 15.6C Purchasing 100 480 AMERICAN 2008-01-19 11.6P Purchasing 100 370 AMERICAN 2008-04-19 20.1P Purchasing 100 400 AMERICAN 2008-04-19 29.8C Purchasing 100 450 AMERICAN 2007-12-22 10.5P Purchasing 100 530 AMERICAN 2007-12-22 83.5C Selling -100 480 AMERICAN 2007-12-22 2C Selling -100 480 AMERICAN 2007-12-22 2.25C Selling -100 460 AMERICAN 2007-12-22 6.3C Selling -100 460 AMERICAN 2007-12-22 6.3C Selling -100 460 AMERICAN 2007-12-22 6.3C Selling -100 460 AMERICAN 2007-12-22 6.3C Selling -100 430 AMERICAN 2007-12-22 14.8C Selling -100 440 AMERICAN 2007-12-22 12.4C Selling -100 430 AMERICAN 2008-01-19 38.7P Selling -100 390 AMERICAN 2007-12-22 2.05P Selling -100 390 AMERICAN 2007-12-22 2.25P Selling -100 450 AMERICAN 2008-01-19 36.2C Selling -100 450 AMERICAN 2008-07-19 62.5C Selling -100 550 AMERICAN 2008-01-19 2.7C Selling -100 550 AMERICAN 2008-01-19 2.7C Selling -100 470 AMERICAN 2007-12-22 3C Selling -100 450 AMERICAN 2007-12-22 8.8C Selling -100 480 AMERICAN 2008-01-19 15.3C Selling -100 550 AMERICAN 2008-01-19 2.7C Selling -100 550 AMERICAN 2008-01-19 2.7P Selling -100 420 AMERICAN 2007-12-22 6.8P Selling -100 430 AMERICAN 2007-12-22 12C Selling -200 600 AMERICAN 2008-04-19 7.8C Selling -200 460 AMERICAN 2008-04-19 43.7C Selling -200 460 AMERICAN 2007-12-22 6.3C Selling -200 450 AMERICAN 2007-12-22 11C Selling -200 450 AMERICAN 2007-12-22 8.6C Selling -300 460 AMERICAN 2007-12-22 6.3P Selling -300 450 AMERICAN 2007-12-22 21.3C Selling -400 470 AMERICAN 2007-12-22 3C Selling -400 500 AMERICAN 2007-12-22 0.95P Selling -500 320 AMERICAN 2008-01-19 1.55C Selling -500 460 AMERICAN 2007-12-22 6.3C Selling -500 460 AMERICAN 2007-12-22 6.3C Selling -500 410 AMERICAN 2008-01-19 50.8C Selling -500 430 AMERICAN 2008-01-19 37.1C Selling -1000 480 AMERICAN 2007-12-22 3C Selling -1000 470 AMERICAN 2007-12-22 4.9C Selling -1000 490 AMERICAN 2007-12-22 1.75 (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 14 December 2007 Contact name Ciaran Lavery Telephone number 02890 409539 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 Purchased 41900 270 American 2008-01-19P Purchased 11000 370 American 2008-01-19C Purchased 10900 490 American 2008-01-19C Purchased 8200 330 American 2008-01-19C Purchased 8000 260 American 2008-04-19C Purchased 7300 570 American 2008-01-19P Written 6700 370 American 2007-12-22P Written 6500 400 American 2007-12-22C Purchased 6000 500 American 2007-12-22C Purchased 4600 440 American 2007-12-22P Written 4300 430 American 2008-01-19P Written 4000 440 American 2007-12-22C Purchased 3800 380 American 2007-12-22C Purchased 3600 360 American 2008-01-19P Written 3600 240 American 2008-04-19P Written 3400 300 American 2008-04-19P Written 3300 230 American 2008-01-19C Purchased 3000 560 American 2008-01-19C Purchased 3000 230 American 2008-04-19P Written 3000 440 American 2007-12-22C Purchased 2900 250 American 2008-04-19C Purchased 2900 450 American 2008-07-19P Written 2800 290 American 2008-01-19C Purchased 2800 430 American 2007-12-22P Written 2700 250 American 2008-01-19C Purchased 2700 420 American 2007-12-22C Purchased 2600 400 American 2008-01-19C Purchased 2600 600 American 2008-01-19P Written 2600 390 American 2007-12-22C Purchased 2500 520 American 2007-12-22C Purchased 2500 550 American 2007-12-22C Purchased 2500 570 American 2007-12-22P Written 2400 350 American 2008-01-19C Purchased 2400 320 American 2008-04-19P Written 2400 410 American 2007-12-22C Purchased 2300 600 American 2008-01-19P Written 2300 330 American 2007-12-22C Purchased 2200 400 American 2008-01-19C Purchased 2200 270 American 2008-04-19C Purchased 2200 310 American 2008-04-19C Purchased 2200 560 American 2007-12-22P Written 2100 590 American 2008-04-19C Purchased 2000 580 American 2008-01-19C Purchased 2000 590 American 2008-01-19C Purchased 2000 240 American 2008-04-19C Purchased 2000 340 American 2008-04-19C Purchased 2000 370 American 2008-04-19C Purchased 2000 470 American 2007-12-22P Written 1900 420 American 2008-01-19C Purchased 1900 590 American 2008-04-19C Purchased 1900 400 American 2007-12-22C Purchased 1800 470 American 2007-12-22C Purchased 1600 590 American 2008-01-19C Purchased 1600 390 American 2008-04-19P Written 1500 340 American 2008-01-19C Purchased 1400 440 American 2008-01-19P Written 1300 570 American 2008-04-19P Written 1300 340 American 2007-12-22P Written 1200 320 American 2007-12-22P Written 1100 400 American 2008-01-19P Written 1100 410 American 2008-01-19P Written 1100 460 American 2008-07-19P Written 1100 490 American 2008-07-19P Written 1100 460 American 2007-12-22C Purchased 1000 240 American 2008-01-19P Written 1000 440 American 2008-01-19P Written 1000 450 American 2008-01-19P Written 1000 500 American 2008-01-19C Purchased 1000 540 American 2008-01-19P Written 1000 540 American 2008-01-19C Purchased 1000 580 American 2008-01-19C Purchased 1000 300 American 2008-04-19C Purchased 1000 350 American 2008-04-19C Purchased 1000 360 American 2008-04-19C Purchased 1000 400 American 2008-04-19C Purchased 1000 430 American 2008-04-19P Written 1000 560 American 2008-04-19C Purchased 1000 300 American 2008-07-19C Purchased 1000 360 American 2008-07-19P Written 1000 490 American 2007-12-22P Written 1000 510 American 2007-12-22P Written 900 200 American 2008-01-19P Written 900 510 American 2008-01-19P Written 900 520 American 2008-01-19C Purchased 900 540 American 2008-04-19C Purchased 900 460 American 2007-12-22P Written 900 470 American 2007-12-22C Purchased 800 290 American 2008-01-19C Purchased 800 420 American 2008-04-19C Purchased 700 220 American 2008-01-19C Purchased 700 390 American 2008-01-19C Purchased 700 470 American 2008-01-19C Purchased 700 510 American 2007-12-22C Purchased 600 460 American 2008-01-19C Purchased 600 330 American 2008-04-19C Purchased 600 440 American 2008-04-19P Written 600 460 American 2008-04-19C Purchased 500 300 American 2008-01-19P Written 500 420 American 2008-04-19P Written 500 420 American 2008-04-19C Purchased 500 460 American 2008-04-19C Purchased 500 510 American 2008-04-19P Written 500 360 American 2008-07-19P Written 500 450 American 2008-07-19P Written 500 390 American 2007-12-22P Written 500 420 American 2007-12-22P Written 500 460 American 2007-12-22P Written 400 330 American 2008-01-19C Purchased 400 340 American 2008-01-19P Written 400 380 American 2008-01-19P Written 400 410 American 2008-04-19P Written 400 440 American 2008-04-19P Written 400 600 American 2008-04-19C Purchased 400 420 American 2007-12-22P Written 400 480 American 2007-12-22C Purchased 300 420 American 2008-01-19C Purchased 300 450 American 2008-01-19C Purchased 300 370 American 2007-12-22C Purchased 200 330 American 2008-04-19P Written 200 380 American 2008-04-19C Purchased 200 480 American 2008-04-19C Purchased 200 490 American 2008-04-19C Purchased 200 500 American 2008-07-19C Purchased 100 420 American 2008-01-19C Purchased 100 440 American 2008-01-19P Written 100 440 American 2008-01-19C Purchased 100 500 American 2008-01-19C Purchased 100 290 American 2008-04-19P Written 100 580 American 2008-04-19P Written 100 390 American 2008-07-19P Written 100 500 American 2008-07-19P Written 100 520 American 2008-07-19P Written 100 530 American 2008-07-19C Purchased 100 430 American 2007-12-22P Written 100 540 American 2007-12-22C Purchased 100 580 American 2007-12-22C Written -100 380 American 2008-01-19P Purchased -100 430 American 2008-01-19P Purchased -100 470 American 2008-01-19C Written -100 520 American 2008-01-19P Purchased -100 530 American 2008-01-19P Purchased -100 550 American 2008-01-19P Purchased -100 560 American 2008-01-19P Purchased -100 590 American 2008-01-19P Purchased -100 330 American 2008-04-19C Written -100 520 American 2008-04-19C Written -100 320 American 2008-07-19P Purchased -100 320 American 2008-07-19P Purchased -100 330 American 2008-07-19C Written -100 460 American 2008-07-19C Written -100 360 American 2007-12-22C Written -100 510 American 2007-12-22P Purchased -200 210 American 2008-01-19P Purchased -200 240 American 2008-01-19C Written -200 260 American 2008-01-19P Purchased -200 280 American 2008-01-19P Purchased -200 390 American 2008-01-19P Purchased -200 460 American 2008-01-19P Purchased -200 480 American 2008-01-19C Written -200 460 American 2008-04-19C Written -200 600 American 2008-04-19P Purchased -200 310 American 2008-07-19P Purchased -200 470 American 2007-12-22P Purchased -300 260 American 2008-01-19C Written -300 500 American 2008-01-19P Purchased -300 600 American 2008-01-19C Written -300 380 American 2008-04-19C Written -300 500 American 2008-04-19C Written -300 320 American 2007-12-22P Purchased -300 400 American 2007-12-22P Purchased -300 450 American 2007-12-22C Written -300 570 American 2007-12-22P Purchased -400 300 American 2008-01-19P Purchased -400 460 American 2008-01-19C Written -400 380 American 2008-04-19P Purchased -400 400 American 2008-04-19C Written -400 460 American 2007-12-22C Written -500 430 American 2008-01-19P Purchased -500 450 American 2008-01-19C Written -500 490 American 2008-01-19C Written -500 550 American 2008-01-19C Written -500 500 American 2008-04-19P Purchased -500 380 American 2007-12-22C Written -500 410 American 2007-12-22C Written -600 450 American 2008-01-19C Written -600 530 American 2008-01-19P Purchased -600 290 American 2008-04-19P Purchased -600 380 American 2007-12-22C Written -700 230 American 2008-01-19C Written -700 460 American 2008-01-19C Written -700 450 American 2008-04-19C Written -700 480 American 2007-12-22P Purchased -800 320 American 2008-01-19P Purchased -800 330 American 2008-01-19P Purchased -800 470 American 2008-04-19P Purchased -800 360 American 2007-12-22P Purchased -800 450 American 2007-12-22C Written -800 490 American 2007-12-22C Written -800 500 American 2007-12-22C Written -900 200 American 2008-01-19C Written -900 470 American 2008-04-19C Written -900 460 American 2008-07-19P Purchased -900 470 American 2008-07-19C Written -900 520 American 2008-07-19C Written -900 600 American 2007-12-22P Purchased -1000 310 American 2008-01-19C Written -1000 350 American 2008-01-19P Purchased -1000 350 American 2008-01-19P Purchased -1000 390 American 2008-01-19P Purchased -1000 470 American 2008-01-19C Written -1000 510 American 2008-01-19C Written -1000 540 American 2008-01-19P Purchased -1000 230 American 2008-04-19P Purchased -1000 250 American 2008-04-19P Purchased -1000 260 American 2008-04-19P Purchased -1000 300 American 2008-04-19P Purchased -1000 310 American 2008-04-19P Purchased -1000 480 American 2008-04-19P Purchased -1000 510 American 2008-04-19P Purchased -1000 520 American 2008-04-19P Purchased -1000 520 American 2008-04-19P Purchased -1000 550 American 2008-04-19P Purchased -1000 550 American 2008-04-19C Written -1000 560 American 2008-04-19P Purchased -1000 570 American 2008-04-19C Written -1000 590 American 2008-04-19P Purchased -1000 600 American 2008-04-19P Purchased -1000 300 American 2008-07-19P Purchased -1000 380 American 2008-07-19C Written -1000 410 American 2008-07-19P Purchased -1000 410 American 2008-07-19C Written -1000 430 American 2008-07-19C Written -1000 530 American 2008-07-19P Purchased -1000 590 American 2008-07-19P Purchased -1000 590 American 2008-07-19P Purchased -1000 600 American 2008-07-19P Purchased -1000 320 American 2007-12-22C Written -1000 330 American 2007-12-22C Written -1000 350 American 2007-12-22P Purchased -1000 410 American 2007-12-22P Purchased -1100 420 American 2008-01-19C Written -1100 360 American 2008-04-19C Written -1100 410 American 2008-04-19P Purchased -1100 470 American 2008-04-19C Written -1100 560 American 2008-07-19C Written -1100 480 American 2007-12-22P Purchased -1100 520 American 2007-12-22P Purchased -1200 260 American 2008-04-19P Purchased -1200 320 American 2008-04-19C Written -1200 470 American 2008-04-19P Purchased -1200 330 American 2007-12-22C Written -1300 450 American 2008-04-19C Written -1400 480 American 2008-01-19C Written -1500 370 American 2008-01-19C Written -1500 410 American 2008-01-19C Written -1600 280 American 2008-01-19C Written -1600 480 American 2008-04-19C Written -1600 400 American 2008-07-19C Written -1700 440 American 2008-04-19C Written -1800 190 American 2008-01-19C Written -1800 320 American 2008-01-19C Written -1800 350 American 2008-04-19C Written -1800 530 American 2007-12-22C Written -1900 470 American 2008-01-19P Purchased -1900 310 American 2008-04-19C Written -1900 570 American 2008-04-19C Written -1900 600 American 2008-04-19P Purchased -1900 360 American 2007-12-22C Written -1900 440 American 2007-12-22P Purchased -2000 400 American 2008-01-19P Purchased -2000 230 American 2008-04-19C Written -2000 580 American 2008-04-19C Written -2000 600 American 2008-07-19P Purchased -2000 370 American 2007-12-22P Purchased -2100 250 American 2008-04-19P Purchased -2100 460 American 2008-04-19C Written -2100 560 American 2008-04-19P Purchased -2200 270 American 2008-04-19C Written -2200 360 American 2007-12-22P Purchased -2300 340 American 2008-01-19C Written -2300 350 American 2007-12-22C Written -2400 520 American 2007-12-22C Written -2500 530 American 2007-12-22P Purchased -2600 280 American 2008-04-19P Purchased -2600 430 American 2007-12-22C Written -2600 450 American 2007-12-22P Purchased -2900 480 American 2008-01-19P Purchased -2900 390 American 2008-04-19P Purchased -3000 370 American 2008-01-19P Purchased -3100 370 American 2008-04-19C Written -3100 550 American 2007-12-22C Written -3200 530 American 2008-01-19C Written -3300 400 American 2008-04-19C Written -3400 310 American 2008-01-19P Purchased -3400 360 American 2008-01-19P Purchased -3400 340 American 2008-04-19P Purchased -3700 350 American 2008-04-19C Written -3700 340 American 2007-12-22P Purchased -3800 350 American 2007-12-22C Written -4000 490 American 2008-04-19P Purchased -4100 420 American 2007-12-22P Purchased -4300 220 American 2008-01-19C Written -4600 540 American 2008-04-19P Purchased -4600 430 American 2007-12-22C Written -4900 250 American 2008-01-19C Written -5600 450 American 2007-12-22P Purchased -6700 310 American 2008-01-19P Purchased -7500 400 American 2008-04-19C Written -10100 480 American 2008-01-19P Purchased -10800 320 American 2008-01-19 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