13th Nov 2008 11:00
|
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 |
12/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
7,977,759 |
GBP 18.00 |
GBP 9.34 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
6,072,919 |
GBP 10.51 |
GBP 9.32 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
8,550 |
GBP 9.98 |
|
Long Swap |
LONG |
77,192 |
GBP 10.09 |
|
Long Swap |
LONG |
51,937 |
GBP 9.68 |
|
Long Swap |
LONG |
22,187 |
GBP 9.71 |
|
Long Swap |
LONG |
21,444 |
GBP 10.09 |
|
Long Swap |
LONG |
20,000 |
GBP 9.68 |
|
Long Swap |
LONG |
18,678 |
GBP 9.69 |
|
Long Swap |
LONG |
21 |
GBP 9.91 |
|
Long Swap |
LONG |
9,000 |
GBP 9.67 |
|
Long Swap |
LONG |
425,264 |
GBP 9.84 |
|
Long Swap |
LONG |
7,860 |
GBP 10.09 |
|
Long Swap |
LONG |
6,538 |
GBP 10.28 |
|
Long Swap |
LONG |
6,349 |
GBP 9.84 |
|
Long Swap |
LONG |
4,396 |
GBP 9.69 |
|
Long Swap |
LONG |
3,593 |
GBP 10.59 |
|
Long Swap |
LONG |
2,000 |
GBP 9.84 |
|
Long Swap |
LONG |
11,383 |
GBP 9.69 |
|
Long Swap |
LONG |
771,737 |
GBP 9.72 |
|
Long Swap |
LONG |
162,367 |
GBP 9.69 |
|
Long Swap |
LONG |
122,230 |
GBP 9.84 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
17,915 |
GBP 9.78 |
|
Short Swap |
SHORT |
2,000 |
GBP 9.85 |
|
Short Swap |
SHORT |
3,013 |
GBP 9.79 |
|
Short Swap |
SHORT |
6,332 |
GBP 9.85 |
|
Short Swap |
SHORT |
6,349 |
GBP 10.27 |
|
Short Swap |
SHORT |
8,192 |
GBP 9.75 |
|
Short Swap |
SHORT |
9,000 |
GBP 9.66 |
|
Short Swap |
SHORT |
17,510 |
GBP 9.68 |
|
Short Swap |
SHORT |
21,444 |
GBP 9.88 |
|
Short Swap |
SHORT |
51,937 |
GBP 9.67 |
|
Short Swap |
SHORT |
122,230 |
GBP 9.85 |
|
Short Swap |
SHORT |
451,712 |
GBP 9.78 |
|
Short Swap |
SHORT |
756,487 |
GBP 9.75 |
|
Short Swap |
SHORT |
365 |
GBP 10.27 |
|
Short Swap |
SHORT |
11,383 |
GBP 9.64 |
|
(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 |
|
Put option |
selling |
37834 |
37.8334 |
European |
19.03.09 |
179.73 |
||||
|
Put option |
buying |
37834 |
69.7247 |
European |
19.03.09 |
224.66 |
||||
|
Call option |
selling |
37834 |
2.7167 |
European |
19.03.08 |
277.74 |
|
(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 |
13/11/2008 |
|
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 |
12/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,520 |
GBP 6.38 |
GBP 6.36 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
6,023 |
GBP 6.38 |
GBP 6.36 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
3,394 |
GBP 6.38 |
|
Long Swap |
LONG |
1,126 |
GBP 6.36 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
44 |
GBP 6.37 |
|
Short Swap |
SHORT |
399 |
GBP 6.35 |
|
Short Swap |
SHORT |
660 |
GBP 6.36 |
|
Short Swap |
SHORT |
1,082 |
GBP 6.37 |
|
Short Swap |
SHORT |
1,903 |
GBP 6.36 |
|
Short Swap |
SHORT |
1,935 |
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 |
13/11/2008 |
|
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 |
12/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
810,378 |
GBP 27.29 |
GBP 24.63 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
998,828 |
GBP 26.96 |
GBP 24.58 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
942 |
GBP 27.29 |
|
Long Swap |
LONG |
1,663 |
GBP 26.44 |
|
Long Swap |
LONG |
2,222 |
GBP 26.75 |
|
Long Swap |
LONG |
10,034 |
GBP 25.30 |
|
Long Swap |
LONG |
10,122 |
GBP 26.13 |
|
Long Swap |
LONG |
29,066 |
GBP 25.11 |
|
Long Swap |
LONG |
42,541 |
GBP 26.13 |
|
Long Swap |
LONG |
45,607 |
GBP 25.57 |
|
Long Swap |
LONG |
318,233 |
GBP 25.55 |
|
Long Swap |
LONG |
500 |
GBP 25.46 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
29,066 |
GBP 25.59 |
|
Short Swap |
SHORT |
318,233 |
GBP 25.63 |
|
Short Swap |
SHORT |
45,619 |
GBP 25.60 |
|
Short Swap |
SHORT |
44,204 |
GBP 26.10 |
|
Short Swap |
SHORT |
34 |
GBP 26.55 |
|
Short Swap |
SHORT |
10,000 |
GBP 25.63 |
|
Short Swap |
SHORT |
6,448 |
GBP 25.63 |
|
Short Swap |
SHORT |
3,989 |
GBP 26.10 |
|
Short Swap |
SHORT |
3,343 |
GBP 25.59 |
|
Short Swap |
SHORT |
2,070 |
GBP 25.08 |
|
Short Swap |
SHORT |
1,553 |
GBP 26.55 |
|
Short Swap |
SHORT |
940 |
GBP 25.58 |
|
Short Swap |
SHORT |
669 |
GBP 25.60 |
|
Short Swap |
SHORT |
660 |
GBP 26.30 |
|
Short Swap |
SHORT |
502 |
GBP 24.71 |
|
Short Swap |
SHORT |
500 |
GBP 25.31 |
|
Short Swap |
SHORT |
45,079 |
GBP 25.59 |
|
(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 |
13/11/2008 |
|
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 |
12/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,376,482 |
GBP 1.82 |
GBP 1.69 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,963,455 |
GBP 1.81 |
GBP 1.65 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
731,100 |
GBP 1.73 |
|
Long Swap |
LONG |
31,770 |
GBP 1.79 |
|
Long Swap |
LONG |
14,842 |
GBP 1.80 |
|
Long Swap |
LONG |
6,100 |
GBP 1.73 |
|
Long Swap |
LONG |
5,000 |
GBP 1.66 |
|
Long Swap |
LONG |
4,415 |
GBP 1.79 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
4,415 |
GBP 1.79 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.68 |
|
Short Swap |
SHORT |
6,100 |
GBP 1.74 |
|
Short Swap |
SHORT |
14,842 |
GBP 1.79 |
|
Short Swap |
SHORT |
31,770 |
GBP 1.79 |
|
Short Swap |
SHORT |
35,895 |
GBP 1.73 |
|
Short Swap |
SHORT |
646,868 |
GBP 1.73 |
|
(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 |
13/11/2008 |
|
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:
LloydsRio Tinto