5th Nov 2008 10:35
|
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 |
04/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,359,063 |
GBP 13.33 |
GBP 10.16 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,256,484 |
GBP 11.63 |
GBP 10.17 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
30,714 |
GBP 10.99 |
|
Long Swap |
LONG |
1,329 |
GBP 10.85 |
|
Long Swap |
LONG |
644,541 |
GBP 11.08 |
|
Long Swap |
LONG |
265,776 |
GBP 10.93 |
|
Long Swap |
LONG |
43,940 |
GBP 10.85 |
|
Long Swap |
LONG |
38,233 |
GBP 11.06 |
|
Long Swap |
LONG |
38,205 |
GBP 10.49 |
|
Long Swap |
LONG |
32,189 |
GBP 10.93 |
|
Long Swap |
LONG |
23,067 |
GBP 11.18 |
|
Long Swap |
LONG |
14,000 |
GBP 11.24 |
|
Long Swap |
LONG |
12,000 |
GBP 11.16 |
|
Long Swap |
LONG |
11,066 |
GBP 10.30 |
|
Long Swap |
LONG |
9,845 |
GBP 11.26 |
|
Long Swap |
LONG |
6,620 |
GBP 11.59 |
|
Long Swap |
LONG |
35,000 |
GBP 10.91 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
43,940 |
GBP 10.74 |
|
Short Swap |
SHORT |
265,776 |
GBP 10.89 |
|
Short Swap |
SHORT |
22,219 |
GBP 11.11 |
|
Short Swap |
SHORT |
1,329 |
GBP 10.74 |
|
Short Swap |
SHORT |
1,870 |
GBP 10.80 |
|
Short Swap |
SHORT |
3,627 |
GBP 10.42 |
|
Short Swap |
SHORT |
7,439 |
GBP 10.53 |
|
Short Swap |
SHORT |
10,740 |
GBP 11.36 |
|
Short Swap |
SHORT |
12,000 |
GBP 11.13 |
|
Short Swap |
SHORT |
646,923 |
GBP 11.11 |
|
Short Swap |
SHORT |
16,000 |
GBP 10.45 |
|
Short Swap |
SHORT |
374 |
GBP 10.42 |
|
Short Swap |
SHORT |
23,067 |
GBP 11.16 |
|
Short Swap |
SHORT |
25,000 |
GBP 11.34 |
|
Short Swap |
SHORT |
30,635 |
GBP 11.11 |
|
Short Swap |
SHORT |
34,943 |
GBP 10.89 |
|
Short Swap |
SHORT |
37,809 |
GBP 10.53 |
|
Short Swap |
SHORT |
38,233 |
GBP 11.05 |
|
Short Swap |
SHORT |
14,000 |
GBP 11.23 |
|
(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 |
05/11/2008 |
|
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 |
04/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
5,449 |
GBP 6.37 |
GBP 6.37 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
5,863 |
GBP 6.35 |
GBP 6.35 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
2,486 |
GBP 6.37 |
|
Long Swap |
LONG |
1,613 |
GBP 6.36 |
|
Long Swap |
LONG |
1,141 |
GBP 6.36 |
|
Long Swap |
LONG |
209 |
GBP 6.36 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
599 |
GBP 6.35 |
|
Short Swap |
SHORT |
1,141 |
GBP 6.35 |
|
Short Swap |
SHORT |
1,613 |
GBP 6.35 |
|
Short Swap |
SHORT |
2,510 |
GBP 6.34 |
|
(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 |
05/11/2008 |
|
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 |
04/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
743,750 |
GBP 31.45 |
GBP 26.97 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
750,257 |
GBP 31.35 |
GBP 26.69 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
3,339 |
GBP 29.33 |
|
Long Swap |
LONG |
16,026 |
GBP 27.91 |
|
Long Swap |
LONG |
16,010 |
GBP 28.02 |
|
Long Swap |
LONG |
13,757 |
GBP 31.26 |
|
Long Swap |
LONG |
11,528 |
GBP 27.80 |
|
Long Swap |
LONG |
6,000 |
GBP 28.05 |
|
Long Swap |
LONG |
21 |
GBP 28.02 |
|
Long Swap |
LONG |
4,670 |
GBP 27.59 |
|
Long Swap |
LONG |
237,755 |
GBP 29.21 |
|
Long Swap |
LONG |
1,640 |
GBP 31.19 |
|
Long Swap |
LONG |
1,531 |
GBP 31.26 |
|
Long Swap |
LONG |
1,461 |
GBP 26.99 |
|
Long Swap |
LONG |
359 |
GBP 27.91 |
|
Long Swap |
LONG |
62 |
GBP 27.59 |
|
Long Swap |
LONG |
58 |
GBP 29.00 |
|
Long Swap |
LONG |
5,633 |
GBP 28.02 |
|
Long Swap |
LONG |
86,993 |
GBP 29.41 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
9,195 |
GBP 29.38 |
|
Short Swap |
SHORT |
1,461 |
GBP 30.52 |
|
Short Swap |
SHORT |
1,477 |
GBP 30.12 |
|
Short Swap |
SHORT |
1,531 |
GBP 30.52 |
|
Short Swap |
SHORT |
2,132 |
GBP 29.23 |
|
Short Swap |
SHORT |
3,337 |
GBP 29.23 |
|
Short Swap |
SHORT |
4,660 |
GBP 30.52 |
|
Short Swap |
SHORT |
229,636 |
GBP 29.38 |
|
Short Swap |
SHORT |
5,633 |
GBP 27.90 |
|
Short Swap |
SHORT |
11,528 |
GBP 30.52 |
|
Short Swap |
SHORT |
15,246 |
GBP 30.52 |
|
Short Swap |
SHORT |
16,010 |
GBP 28.16 |
|
Short Swap |
SHORT |
33,567 |
GBP 29.90 |
|
Short Swap |
SHORT |
86,134 |
GBP 29.23 |
|
Short Swap |
SHORT |
859 |
GBP 30.12 |
|
Short Swap |
SHORT |
4,670 |
GBP 28.16 |
|
(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 |
Selling |
-50 |
£3.64 |
AMERICAN |
21-Nov-08 |
|
Option |
Buying |
50 |
£4.95 |
AMERICAN |
19-Dec-08 |
|
(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 |
05/11/2008 |
|
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 |
04/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,305,744 |
GBP 2.14 |
GBP 2.03 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,388,175 |
GBP 2.15 |
GBP 2.06 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
317,556 |
GBP 2.08 |
|
Long Swap |
LONG |
54,254 |
GBP 2.10 |
|
Long Swap |
LONG |
35,612 |
GBP 2.09 |
|
Long Swap |
LONG |
15,000 |
GBP 2.09 |
|
Long Swap |
LONG |
14,223 |
GBP 2.07 |
|
Long Swap |
LONG |
10,498 |
GBP 2.06 |
|
Long Swap |
LONG |
10,000 |
GBP 2.09 |
|
Long Swap |
LONG |
5,612 |
GBP 2.07 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
10,000 |
GBP 2.10 |
|
Short Swap |
SHORT |
14,223 |
GBP 2.08 |
|
Short Swap |
SHORT |
15,000 |
GBP 2.10 |
|
Short Swap |
SHORT |
16,110 |
GBP 2.06 |
|
Short Swap |
SHORT |
35,612 |
GBP 2.10 |
|
Short Swap |
SHORT |
100,000 |
GBP 2.10 |
|
Short Swap |
SHORT |
203,570 |
GBP 2.10 |
|
(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 |
05/11/2008 |
|
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 |
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BHP GroupRio Tinto