4th Nov 2008 10:08
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
03/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,788,880 |
GBP 11.09 |
GBP 10.55 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,952,569 |
GBP 11.03 |
GBP 10.56 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
636,202 |
GBP 10.76 |
|
Long Swap |
LONG |
1,329 |
GBP 10.65 |
|
Long Swap |
LONG |
2,061 |
GBP 10.57 |
|
Long Swap |
LONG |
2,366 |
GBP 10.77 |
|
Long Swap |
LONG |
4,000 |
GBP 10.67 |
|
Long Swap |
LONG |
4,000 |
GBP 10.69 |
|
Long Swap |
LONG |
4,030 |
GBP 10.65 |
|
Long Swap |
LONG |
5,129 |
GBP 10.66 |
|
Long Swap |
LONG |
8,000 |
GBP 10.74 |
|
Long Swap |
LONG |
15,083 |
GBP 10.76 |
|
Long Swap |
LONG |
17,199 |
GBP 10.76 |
|
Long Swap |
LONG |
22,219 |
GBP 10.76 |
|
Long Swap |
LONG |
31,619 |
GBP 10.77 |
|
Long Swap |
LONG |
34,943 |
GBP 10.77 |
|
Long Swap |
LONG |
236 |
GBP 10.66 |
|
Long Swap |
LONG |
43,528 |
GBP 10.67 |
|
Long Swap |
LONG |
339,702 |
GBP 10.77 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
10,722 |
GBP 10.77 |
|
Short Swap |
SHORT |
2,728 |
GBP 10.76 |
|
Short Swap |
SHORT |
3,969 |
GBP 10.76 |
|
Short Swap |
SHORT |
4,000 |
GBP 10.69 |
|
Short Swap |
SHORT |
4,000 |
GBP 10.67 |
|
Short Swap |
SHORT |
4,030 |
GBP 10.76 |
|
Short Swap |
SHORT |
8,000 |
GBP 10.73 |
|
Short Swap |
SHORT |
17,199 |
GBP 10.74 |
|
Short Swap |
SHORT |
25,000 |
GBP 10.87 |
|
Short Swap |
SHORT |
31,245 |
GBP 10.74 |
|
Short Swap |
SHORT |
339,702 |
GBP 10.76 |
|
Short Swap |
SHORT |
636,202 |
GBP 10.76 |
|
Short Swap |
SHORT |
1,840 |
GBP 10.67 |
|
Short Swap |
SHORT |
7,495 |
GBP 10.62 |
|
(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 |
04/11/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
03/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
26,352 |
GBP 6.37 |
GBP 6.34 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
24,156 |
GBP 6.36 |
GBP 6.34 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,275 |
GBP 6.35 |
|
Long Swap |
LONG |
842 |
GBP 6.35 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
209 |
GBP 6.35 |
|
Short Swap |
SHORT |
1,275 |
GBP 6.35 |
|
(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 |
04/11/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
03/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,123,964 |
GBP 29.82 |
GBP 28.25 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,182,192 |
GBP 29.37 |
GBP 28.17 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
952 |
GBP 28.92 |
|
Long Swap |
LONG |
3,337 |
GBP 28.54 |
|
Long Swap |
LONG |
4,710 |
GBP 29.07 |
|
Long Swap |
LONG |
9,195 |
GBP 28.92 |
|
Long Swap |
LONG |
12,570 |
GBP 28.92 |
|
Long Swap |
LONG |
15,246 |
GBP 28.75 |
|
Long Swap |
LONG |
112,903 |
GBP 28.86 |
|
Long Swap |
LONG |
199,042 |
GBP 28.92 |
|
Long Swap |
LONG |
507 |
GBP 29.02 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
12,570 |
GBP 28.94 |
|
Short Swap |
SHORT |
199,042 |
GBP 28.84 |
|
Short Swap |
SHORT |
16,026 |
GBP 29.16 |
|
Short Swap |
SHORT |
18 |
GBP 28.94 |
|
Short Swap |
SHORT |
10,000 |
GBP 29.02 |
|
Short Swap |
SHORT |
6,094 |
GBP 29.11 |
|
Short Swap |
SHORT |
4,710 |
GBP 29.16 |
|
Short Swap |
SHORT |
4,361 |
GBP 29.01 |
|
Short Swap |
SHORT |
2,379 |
GBP 29.16 |
|
Short Swap |
SHORT |
1,516 |
GBP 29.01 |
|
Short Swap |
SHORT |
1,014 |
GBP 28.99 |
|
Short Swap |
SHORT |
507 |
GBP 28.94 |
|
Short Swap |
SHORT |
42 |
GBP 28.84 |
|
Short Swap |
SHORT |
109,255 |
GBP 28.94 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
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 |
|
Option |
Buying |
250 |
£2.10 |
AMERICAN |
20-Mar-09 |
|
(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 |
04/11/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
03/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,206,713 |
GBP 2.04 |
GBP 1.90 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,376,769 |
GBP 2.04 |
GBP 1.90 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
352,477 |
GBP 1.96 |
|
Long Swap |
LONG |
100,000 |
GBP 1.96 |
|
Long Swap |
LONG |
81,924 |
GBP 1.94 |
|
Long Swap |
LONG |
70,809 |
GBP 1.94 |
|
Long Swap |
LONG |
39,199 |
GBP 1.95 |
|
Long Swap |
LONG |
5,000 |
GBP 1.93 |
|
Long Swap |
LONG |
5,000 |
GBP 1.91 |
|
Long Swap |
LONG |
4,500 |
GBP 1.91 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
144 |
GBP 1.94 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.98 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.92 |
|
Short Swap |
SHORT |
70,809 |
GBP 1.94 |
|
Short Swap |
SHORT |
100,000 |
GBP 1.94 |
|
Short Swap |
SHORT |
121,123 |
GBP 1.95 |
|
Short Swap |
SHORT |
352,477 |
GBP 1.94 |
|
(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 |
04/11/2008 |
|
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