22nd Nov 2007 15:09
Citigroup Derivatives Markets Inc22 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 Derivatives Markets Inc Company dealt in Rio Tinto plc Class of relevant security to which the Rio Tinto plc ADRdealings being disclosed relate (Note 1) Date of dealing 21 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 14,500 10,655 (0.00%) (0.00%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell 223,000 192,200 (0.05%) (0.04%) Total 237,500 202,855 (0.05%) (0.04%) (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) Purchases and sales Purchase Number of securities Price per unit (Note 4) USD (unless stated) 1100 411.4 600 410.61 500 411.65 400 410.8 300 410.9 300 405 200 411 200 411.2 200 411.55 100 411.56 100 411.59 100 411.6 100 411 100 409.83 100 408.64 100 410.1 100 405.81 100 411 100 400.5 100 400.5 100 405.81 100 411.55 100 411.6 100 411.5 100 411 100 411.05 100 410.09 100 403.8 100 403.83 100 411.48 86 410.98 86 410.98 86 410.99 14 410.98 14 410.99 14 410.99Total 6,200 Sales Number of securities Price per unit (Note 4) USD (unless stated) -10 408.73 -50 411 -50 411.03 -90 408.87 -100 411 -100 410.69 -100 411 -100 409 -100 411Total 700 (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 1000 240 AMERICAN 2008-04-19 177.20 P selling 1000 490 AMERICAN 2008-07-19 108.10 P selling 1000 460 AMERICAN 2008-07-19 88.20 P selling 1000 470 AMERICAN 2008-07-19 94.60 C purchasing 1000 570 AMERICAN 2008-01-19 2.60 C purchasing 1000 460 AMERICAN 2008-01-19 19.00 P selling 500 360 AMERICAN 2007-12-22 11.14 P selling 500 360 AMERICAN 2007-12-22 11.46 P selling 500 370 AMERICAN 2007-12-22 13.32 P selling 500 370 AMERICAN 2007-12-22 13.19 P selling 500 370 AMERICAN 2007-12-22 13.19 P selling 500 370 AMERICAN 2007-12-22 13.29 P selling 500 450 AMERICAN 2007-12-22 55.50 P selling 500 340 AMERICAN 2007-12-22 7.39 C purchasing 500 540 AMERICAN 2007-12-22 1.30 C purchasing 500 480 AMERICAN 2008-01-19 12.40 C purchasing 500 450 AMERICAN 2007-12-22 12.68 C purchasing 500 450 AMERICAN 2007-12-22 12.76 P selling 400 400 AMERICAN 2007-12-22 25.80 P selling 300 340 AMERICAN 2007-12-22 7.30 P selling 200 350 AMERICAN 2008-01-19 10.60 P selling 200 440 AMERICAN 2007-12-22 46.10 C purchasing 200 410 AMERICAN 2007-12-22 28.40 C purchasing 100 420 AMERICAN 2007-12-22 22.14 P selling 100 400 AMERICAN 2008-04-19 42.40 P selling 100 400 AMERICAN 2007-12-22 25.10 P selling 100 440 AMERICAN 2007-12-22 46.10 P selling 100 390 AMERICAN 2007-12-22 21.95 P selling 100 380 AMERICAN 2007-12-22 16.70 P selling 100 380 AMERICAN 2007-12-22 18.29 C purchasing 100 420 AMERICAN 2007-12-22 23.32 P selling 100 320 AMERICAN 2007-12-22 3.00 C purchasing 100 550 AMERICAN 2007-12-22 1.55 C purchasing 100 450 AMERICAN 2007-12-22 14.80 P selling 100 300 AMERICAN 2008-01-19 4.00 C purchasing 100 420 AMERICAN 2007-12-22 24.40 C purchasing 100 410 AMERICAN 2008-01-19 30.00 C purchasing 100 410 AMERICAN 2007-12-22 27.20 P selling 100 520 AMERICAN 2008-07-19 129.80 P selling 100 530 AMERICAN 2008-07-19 137.40 P selling 100 490 AMERICAN 2008-07-19 108.00 P selling 100 500 AMERICAN 2008-07-19 115.10 P selling 100 460 AMERICAN 2008-07-19 88.10 P selling 100 470 AMERICAN 2008-07-19 94.50 P selling 100 450 AMERICAN 2008-07-19 82.00 C selling -100 410 AMERICAN 2007-12-22 27.20 C selling -100 380 AMERICAN 2007-12-22 42.47 P purchasing -100 290 AMERICAN 2008-04-19 9.91 P purchasing -100 370 AMERICAN 2007-12-22 13.00 P purchasing -100 380 AMERICAN 2007-12-22 18.15 C selling -100 570 AMERICAN 2008-04-19 9.51 P purchasing -100 350 AMERICAN 2007-12-22 9.33 C selling -100 460 AMERICAN 2007-12-22 10.87 P purchasing -100 380 AMERICAN 2007-12-22 18.00 P purchasing -100 380 AMERICAN 2007-12-22 18.00 P purchasing -100 370 AMERICAN 2007-12-22 13.50 C selling -100 420 AMERICAN 2007-12-22 27.80 C selling -100 400 AMERICAN 2008-01-19 41.00 C selling -100 420 AMERICAN 2008-01-19 32.10 C selling -100 410 AMERICAN 2008-01-19 35.80 C selling -100 420 AMERICAN 2008-01-19 32.00 C selling -100 420 AMERICAN 2008-01-19 32.00 C selling -100 590 AMERICAN 2007-12-22 0.80 C selling -200 420 AMERICAN 2007-12-22 24.60 C selling -200 440 AMERICAN 2007-12-22 18.10 P purchasing -300 380 AMERICAN 2007-12-22 18.00 P purchasing -500 360 AMERICAN 2007-12-22 10.80 P purchasing -500 360 AMERICAN 2007-12-22 10.70 P purchasing -500 360 AMERICAN 2007-12-22 10.76 P purchasing -500 330 AMERICAN 2007-12-22 5.90 P purchasing -500 350 AMERICAN 2007-12-22 8.94 P purchasing -500 350 AMERICAN 2007-12-22 9.24 P purchasing -500 360 AMERICAN 2007-12-22 10.71 C selling -500 480 AMERICAN 2008-01-19 12.40 C selling -500 460 AMERICAN 2007-12-22 10.48 C selling -500 460 AMERICAN 2007-12-22 10.56 P purchasing -1000 360 AMERICAN 2007-12-22 10.50 C selling -1000 400 AMERICAN 2008-07-19 71.80 C selling -1000 430 AMERICAN 2008-07-19 57.70 C selling -1000 560 AMERICAN 2008-07-19 19.50 P purchasing -1000 340 AMERICAN 2007-12-22 6.50 P purchasing -1000 350 AMERICAN 2007-12-22 8.30 C selling -1000 470 AMERICAN 2007-12-22 9.30 C selling -1000 490 AMERICAN 2007-12-22 5.60 C selling -1000 540 AMERICAN 2007-12-22 1.35 C selling -1000 500 AMERICAN 2007-12-22 4.30 C selling -1000 510 AMERICAN 2007-12-22 3.20 C selling -1000 460 AMERICAN 2007-12-22 11.90 C selling -1000 410 AMERICAN 2008-01-19 37.50 C selling -1000 370 AMERICAN 2008-01-19 61.30 C selling -1100 590 AMERICAN 2007-12-22 0.80 C selling -2000 480 AMERICAN 2007-12-22 7.20 (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 22 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 (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(C = call; P = put) P written 45800 270 American 2008-01-19 C purchased 8500 330 American 2008-01-19 P written 7800 370 American 2008-01-19 C purchased 7000 260 American 2008-04-19 P written 4000 240 American 2008-04-19 P written 3700 370 American 2007-12-22 P written 3500 400 American 2007-12-22 P written 3300 230 American 2008-01-19 C purchased 3300 440 American 2008-01-19 C purchased 3200 400 American 2008-01-19 P written 3000 430 American 2008-01-19 C purchased 3000 570 American 2008-01-19 P written 3000 370 American 2007-12-22 C purchased 2900 250 American 2008-04-19 P written 2600 300 American 2008-04-19 P written 2500 370 American 2008-01-19 C purchased 2300 380 American 2007-12-22 C purchased 2200 500 American 2007-12-22 P written 2100 580 American 2008-04-19 P written 2000 420 American 2008-01-19 C purchased 2000 460 American 2008-01-19 C purchased 2000 230 American 2008-04-19 C purchased 2000 340 American 2008-04-19 C purchased 2000 590 American 2008-04-19 P written 2000 590 American 2008-04-19 P written 2000 410 American 2007-12-22 P written 1900 340 American 2008-01-19 C purchased 1900 360 American 2008-01-19 C purchased 1900 370 American 2008-04-19 P written 1800 290 American 2008-01-19 P written 1800 360 American 2008-01-19 P written 1800 390 American 2008-01-19 C purchased 1800 420 American 2008-01-19 C purchased 1700 360 American 2008-01-19 P written 1600 350 American 2008-01-19 P written 1600 340 American 2007-12-22 C purchased 1500 240 American 2008-01-19 C purchased 1500 540 American 2008-01-19 P written 1400 330 American 2008-01-19 C purchased 1400 320 American 2008-04-19 P written 1400 600 American 2008-04-19 C purchased 1300 290 American 2008-01-19 P written 1300 440 American 2008-01-19 P written 1300 570 American 2008-04-19 P written 1200 430 American 2008-01-19 C purchased 1200 270 American 2008-04-19 P written 1200 280 American 2008-04-19 C purchased 1200 310 American 2008-04-19 C purchased 1200 400 American 2007-12-22 C purchased 1200 550 American 2007-12-22 P written 1100 400 American 2008-01-19 P written 1100 460 American 2008-04-19 P written 1100 590 American 2008-04-19 C purchased 1100 560 American 2007-12-22 P written 1000 240 American 2008-01-19 P written 1000 250 American 2008-01-19 P written 1000 260 American 2008-01-19 C purchased 1000 270 American 2008-01-19 C purchased 1000 340 American 2008-01-19 C purchased 1000 380 American 2008-01-19 C purchased 1000 390 American 2008-01-19 P written 1000 500 American 2008-01-19 P written 1000 540 American 2008-01-19 C purchased 1000 560 American 2008-01-19 C purchased 1000 590 American 2008-01-19 C purchased 1000 230 American 2008-04-19 C purchased 1000 240 American 2008-04-19 C purchased 1000 240 American 2008-04-19 C purchased 1000 260 American 2008-04-19 C purchased 1000 270 American 2008-04-19 P written 1000 300 American 2008-04-19 C purchased 1000 310 American 2008-04-19 C purchased 1000 330 American 2008-04-19 P written 1000 500 American 2008-04-19 P written 1000 540 American 2008-04-19 P written 1000 560 American 2008-04-19 P written 1000 560 American 2008-04-19 C purchased 1000 300 American 2008-07-19 P written 1000 460 American 2008-07-19 P written 1000 470 American 2008-07-19 P written 1000 490 American 2008-07-19 P written 1000 460 American 2007-12-22 C purchased 1000 540 American 2007-12-22 C purchased 1000 570 American 2007-12-22 C purchased 1000 580 American 2007-12-22 C purchased 1000 590 American 2007-12-22 P written 900 200 American 2008-01-19 P written 900 300 American 2008-01-19 P written 900 450 American 2008-01-19 C purchased 900 390 American 2008-04-19 C purchased 900 540 American 2008-04-19 P written 900 390 American 2007-12-22 C purchased 900 420 American 2007-12-22 C purchased 900 440 American 2007-12-22 C purchased 900 530 American 2007-12-22 P written 800 280 American 2008-01-19 C purchased 800 420 American 2008-01-19 C purchased 700 220 American 2008-01-19 P written 700 250 American 2008-01-19 P written 700 300 American 2008-01-19 P written 700 370 American 2008-01-19 C purchased 700 380 American 2007-12-22 C purchased 700 600 American 2007-12-22 C purchased 500 300 American 2008-01-19 C purchased 500 600 American 2008-01-19 P written 500 440 American 2008-04-19 C purchased 500 460 American 2008-04-19 P written 500 450 American 2007-12-22 C purchased 500 540 American 2007-12-22 C purchased 400 350 American 2008-01-19 P written 400 380 American 2008-01-19 C purchased 400 350 American 2008-04-19 C purchased 300 440 American 2008-01-19 C purchased 300 460 American 2008-01-19 P written 300 250 American 2008-04-19 C purchased 300 410 American 2007-12-22 C purchased 200 430 American 2008-01-19 C purchased 200 450 American 2008-01-19 P written 200 360 American 2008-04-19 P written 200 380 American 2008-04-19 C purchased 200 370 American 2007-12-22 C purchased 200 450 American 2007-12-22 C purchased 200 550 American 2007-12-22 P written 100 330 American 2008-01-19 P written 100 440 American 2008-01-19 C purchased 100 450 American 2008-01-19 C purchased 100 480 American 2008-01-19 C purchased 100 490 American 2008-01-19 P written 100 570 American 2008-01-19 P written 100 270 American 2008-04-19 C purchased 100 290 American 2008-04-19 C purchased 100 370 American 2008-04-19 C purchased 100 380 American 2008-04-19 P written 100 450 American 2008-07-19 P written 100 460 American 2008-07-19 P written 100 470 American 2008-07-19 P written 100 490 American 2008-07-19 P written 100 500 American 2008-07-19 P written 100 520 American 2008-07-19 P written 100 530 American 2008-07-19 P written 100 430 American 2007-12-22 P written 100 440 American 2007-12-22 P written 100 470 American 2007-12-22 P written 100 540 American 2007-12-22 P purchased -100 320 American 2008-01-19 P purchased -100 460 American 2008-01-19 P purchased -100 470 American 2008-01-19 P purchased -100 530 American 2008-01-19 P purchased -100 570 American 2008-01-19 P purchased -100 290 American 2008-04-19 P purchased -100 330 American 2008-04-19 C written -100 360 American 2008-04-19 C written -100 420 American 2008-04-19 C written -100 420 American 2008-04-19 C written -100 450 American 2008-04-19 C written -100 460 American 2008-04-19 C written -100 520 American 2008-04-19 C written -100 560 American 2008-04-19 P purchased -100 310 American 2008-07-19 P purchased -100 320 American 2008-07-19 P purchased -100 330 American 2008-07-19 C written -100 420 American 2008-07-19 P purchased -100 390 American 2007-12-22 P purchased -100 400 American 2007-12-22 C written -100 410 American 2007-12-22 C written -100 430 American 2007-12-22 C written -100 460 American 2007-12-22 P purchased -100 530 American 2007-12-22 P purchased -200 210 American 2008-01-19 C written -200 260 American 2008-01-19 C written -200 420 American 2008-01-19 P purchased -200 420 American 2008-01-19 C written -200 470 American 2008-01-19 P purchased -200 260 American 2008-04-19 P purchased -200 360 American 2008-04-19 P purchased -200 370 American 2008-04-19 P purchased -200 380 American 2007-12-22 C written -200 440 American 2007-12-22 P purchased -200 470 American 2007-12-22 C written -300 330 American 2008-01-19 C written -300 370 American 2008-01-19 C written -300 390 American 2008-01-19 C written -300 390 American 2008-04-19 C written -300 320 American 2007-12-22 C written -300 470 American 2007-12-22 C written -300 530 American 2007-12-22 P purchased -400 340 American 2008-01-19 P purchased -400 240 American 2008-04-19 C written -400 330 American 2008-04-19 P purchased -400 340 American 2008-04-19 C written -400 420 American 2007-12-22 P purchased -400 450 American 2007-12-22 C written -500 240 American 2008-01-19 C written -500 290 American 2008-01-19 P purchased -500 410 American 2008-01-19 P purchased -500 360 American 2007-12-22 C written -600 280 American 2008-01-19 C written -600 340 American 2008-01-19 P purchased -600 290 American 2008-04-19 C written -600 380 American 2008-04-19 P purchased -600 330 American 2007-12-22 P purchased -600 340 American 2007-12-22 C written -700 230 American 2008-01-19 C written -700 320 American 2008-01-19 C written -700 430 American 2008-01-19 C written -700 470 American 2008-01-19 P purchased -700 600 American 2008-01-19 P purchased -800 350 American 2008-01-19 C written -800 480 American 2008-01-19 C written -800 570 American 2008-04-19 C written -800 370 American 2007-12-22 P purchased -800 440 American 2007-12-22 C written -900 200 American 2008-01-19 C written -900 300 American 2008-04-19 C written -900 470 American 2008-04-19 C written -900 520 American 2008-07-19 P purchased -900 320 American 2007-12-22 C written -900 340 American 2007-12-22 C written -900 360 American 2007-12-22 C written -1000 270 American 2008-01-19 C written -1000 280 American 2008-01-19 P purchased -1000 280 American 2008-01-19 C written -1000 300 American 2008-01-19 P purchased -1000 380 American 2008-01-19 P purchased -1000 390 American 2008-01-19 C written -1000 410 American 2008-01-19 P purchased -1000 320 American 2008-04-19 C written -1000 360 American 2008-04-19 P purchased -1000 390 American 2008-04-19 C written -1000 410 American 2008-04-19 P purchased -1000 440 American 2008-04-19 P purchased -1000 470 American 2008-04-19 C written -1000 480 American 2008-04-19 P purchased -1000 480 American 2008-04-19 P purchased -1000 500 American 2008-04-19 P purchased -1000 520 American 2008-04-19 C written -1000 530 American 2008-04-19 C written -1000 320 American 2008-07-19 C written -1000 410 American 2008-07-19 C written -1000 430 American 2008-07-19 C written -1000 460 American 2008-07-19 P purchased -1000 470 American 2008-07-19 C written -1000 530 American 2008-07-19 C written -1000 560 American 2008-07-19 C written -1000 330 American 2007-12-22 C written -1000 500 American 2007-12-22 C written -1000 510 American 2007-12-22 P purchased -1000 520 American 2007-12-22 P purchased -1000 530 American 2007-12-22 C written -1100 320 American 2008-01-19 C written -1100 380 American 2008-01-19 C written -1100 440 American 2008-04-19 C written -1100 350 American 2007-12-22 C written -1100 490 American 2007-12-22 P purchased -1200 240 American 2008-01-19 C written -1200 370 American 2008-01-19 C written -1200 500 American 2008-01-19 P purchased -1200 350 American 2008-04-19 C written -1200 400 American 2008-04-19 C written -1200 450 American 2008-04-19 C written -1200 350 American 2007-12-22 C written -1200 470 American 2007-12-22 C written -1200 590 American 2007-12-22 P purchased -1300 260 American 2008-01-19 C written -1300 360 American 2007-12-22 P purchased -1300 420 American 2007-12-22 P purchased -1400 250 American 2008-04-19 C written -1400 440 American 2008-04-19 P purchased -1400 350 American 2007-12-22 C written -1500 350 American 2008-01-19 C written -1500 400 American 2008-07-19 C written -1500 580 American 2007-12-22 C written -1600 600 American 2007-12-22 C written -1700 310 American 2008-01-19 C written -1700 310 American 2008-01-19 C written -1700 460 American 2007-12-22 C written -1800 250 American 2008-01-19 P purchased -1800 310 American 2008-04-19 C written -1800 480 American 2007-12-22 C written -1900 190 American 2008-01-19 P purchased -1900 390 American 2008-04-19 C written -2000 530 American 2008-01-19 C written -2000 600 American 2008-04-19 C written -2000 520 American 2007-12-22 C written -2200 350 American 2008-04-19 C written -2200 400 American 2008-04-19 P purchased -2200 360 American 2007-12-22 P purchased -2300 270 American 2008-04-19 C written -2500 590 American 2008-01-19 P purchased -2500 350 American 2008-04-19 C written -2800 340 American 2007-12-22 C written -2900 450 American 2007-12-22 P purchased -3000 340 American 2008-04-19 P purchased -3000 370 American 2008-04-19 C written -3000 490 American 2008-04-19 C written -3100 250 American 2008-01-19 C written -3100 600 American 2008-01-19 P purchased -3100 350 American 2007-12-22 P purchased -3100 420 American 2007-12-22 P purchased -3600 400 American 2008-04-19 P purchased -3800 280 American 2008-04-19 P purchased -3900 270 American 2008-01-19 P purchased -4300 220 American 2008-01-19 P purchased -5000 400 American 2008-04-19 P purchased -5600 310 American 2008-01-19 P purchased -6000 360 American 2008-01-19 P purchased -9700 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