10th Oct 2008 11:11
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FORM 38.5 (SUMMARY) |
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Lodge with Company Announcements Office and the Panel. Use a separate form for each class of |
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securities in which dealings have been made. |
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CONNECTED EXEMPT PRINCIPLE TRADER: |
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DISCLOSURE UNDER RULE 38.5 OF THE CITY CODE ON TAKEOVERS AND |
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Name of EPT |
Merrill Lynch International |
|
Date of disclosure |
10 October 2008 |
|
Date of dealing |
09 October 2008 |
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Telephone number |
020 7996 2121 |
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Please see attached disclosure of dealings under Rule 38.5 in the securities of the following |
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09 October 2008 |
|
Rio Tinto Plc - Common |
|
BHP Billiton Plc - Common |
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Axon Group Plc - Common |
|
Alliance & Leicester Plc - Common |
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FORM 38.5 |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
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(Rule 38.5 of The City Code on Takeovers and Mergers) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
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Company dealt in |
Alliance & Leicester Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
09/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
949,750 |
GBP 2.86 |
GBP 2.69 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
41,494 |
GBP 2.88 |
GBP 2.72 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
899,662 |
GBP 2.79 |
|
Long Swap |
LONG |
26,427 |
GBP 2.85 |
|
Long Swap |
LONG |
11,424 |
GBP 2.85 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
3,385 |
GBP 2.88 |
|
Short Swap |
SHORT |
8,039 |
GBP 2.84 |
|
Short Swap |
SHORT |
26,427 |
GBP 2.84 |
|
(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 |
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3. OTHER INFORMATION |
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Agreements, arrangements or understandings relating to options or derivatives |
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Full details of any agreement, arrangement or understanding between the person disclosing and any |
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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 |
10/10/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
Banco Santander SA. |
|
Nature of connection # |
Advisor |
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FORM 38.5 |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
(Rule 38.5 of The City Code on Takeovers and Mergers) |
|
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 |
09/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,277,387 |
GBP 13.76 |
GBP 0.04 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,575,017 |
GBP 10.90 |
GBP 10.16 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
11,120 |
GBP 10.51 |
|
Long Swap |
LONG |
80,000 |
GBP 10.49 |
|
Long Swap |
LONG |
44,215 |
GBP 10.45 |
|
Long Swap |
LONG |
33,121 |
GBP 10.45 |
|
Long Swap |
LONG |
28,694 |
GBP 10.38 |
|
Long Swap |
LONG |
23,937 |
GBP 10.56 |
|
Long Swap |
LONG |
18,436 |
GBP 10.44 |
|
Long Swap |
LONG |
120 |
GBP 10.59 |
|
Long Swap |
LONG |
13,420 |
GBP 10.67 |
|
Long Swap |
LONG |
676,128 |
GBP 10.48 |
|
Long Swap |
LONG |
10,000 |
GBP 10.68 |
|
Long Swap |
LONG |
8,830 |
GBP 10.51 |
|
Long Swap |
LONG |
4,214 |
GBP 10.44 |
|
Long Swap |
LONG |
2,000 |
GBP 10.49 |
|
Long Swap |
LONG |
1,840 |
GBP 10.51 |
|
Long Swap |
LONG |
1,214 |
GBP 10.23 |
|
Long Swap |
LONG |
381 |
GBP 10.23 |
|
Long Swap |
LONG |
15,761 |
GBP 10.23 |
|
Long Swap |
LONG |
763,224 |
GBP 10.43 |
|
Long Swap |
LONG |
2,125,000 |
GBP 10.36 |
|
Long Swap |
LONG |
359,151 |
GBP 10.44 |
|
Long Swap |
LONG |
97,153 |
GBP 10.23 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
80,000 |
GBP 10.50 |
|
Short Swap |
SHORT |
1,214 |
GBP 10.87 |
|
Short Swap |
SHORT |
2,000 |
GBP 10.47 |
|
Short Swap |
SHORT |
4,214 |
GBP 10.31 |
|
Short Swap |
SHORT |
6,226 |
GBP 10.33 |
|
Short Swap |
SHORT |
10,000 |
GBP 10.72 |
|
Short Swap |
SHORT |
15,761 |
GBP 10.36 |
|
Short Swap |
SHORT |
23,937 |
GBP 10.53 |
|
Short Swap |
SHORT |
44,215 |
GBP 10.33 |
|
Short Swap |
SHORT |
97,153 |
GBP 10.87 |
|
Short Swap |
SHORT |
394,005 |
GBP 10.49 |
|
Short Swap |
SHORT |
676,128 |
GBP 10.50 |
|
Short Swap |
SHORT |
763,224 |
GBP 0.00 |
|
Short Swap |
SHORT |
83 |
GBP 10.31 |
|
Short Swap |
SHORT |
29,075 |
GBP 10.33 |
|
(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 |
10/10/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5 |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
(Rule 38.5 of The City Code on Takeovers and Mergers) |
|
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 |
09/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,000 |
GBP 6.55 |
GBP 6.55 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
11,635 |
GBP 6.55 |
GBP 6.55 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
2,000 |
GBP 6.55 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
53 |
GBP 6.55 |
|
Short Swap |
SHORT |
695 |
GBP 6.55 |
|
Short Swap |
SHORT |
709 |
GBP 6.55 |
|
Short Swap |
SHORT |
2,599 |
GBP 6.55 |
|
(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 |
10/10/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
HCL EAS Limited |
|
Nature of connection # |
Advisor |
|
FORM 38.5 |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
(Rule 38.5 of The City Code on Takeovers and Mergers) |
|
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 |
09/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,021,702 |
GBP 29.20 |
GBP 26.59 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,141,673 |
GBP 29.13 |
GBP 26.66 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
450,525 |
GBP 28.09 |
|
Long Swap |
LONG |
1,111 |
GBP 27.68 |
|
Long Swap |
LONG |
1,487 |
GBP 27.93 |
|
Long Swap |
LONG |
4,322 |
GBP 27.68 |
|
Long Swap |
LONG |
5,020 |
GBP 27.80 |
|
Long Swap |
LONG |
7,203 |
GBP 28.09 |
|
Long Swap |
LONG |
730 |
GBP 28.82 |
|
Long Swap |
LONG |
100,791 |
GBP 27.93 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
123 |
GBP 27.58 |
|
Short Swap |
SHORT |
105,113 |
GBP 28.04 |
|
Short Swap |
SHORT |
9,191 |
GBP 27.95 |
|
Short Swap |
SHORT |
4,004 |
GBP 27.95 |
|
Short Swap |
SHORT |
3,452 |
GBP 27.95 |
|
Short Swap |
SHORT |
1,111 |
GBP 27.98 |
|
Short Swap |
SHORT |
272 |
GBP 27.98 |
|
Short Swap |
SHORT |
450,525 |
GBP 28.07 |
|
(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 |
10/10/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
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