27th Nov 2008 10:43
|
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 |
26/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,379,966 |
GBP 11.63 |
GBP 0.04 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,616,930 |
GBP 11.44 |
GBP 10.00 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
604,448 |
GBP 10.89 |
|
Long Swap |
LONG |
3,000 |
GBP 11.28 |
|
Long Swap |
LONG |
3,859 |
GBP 10.37 |
|
Long Swap |
LONG |
4,374 |
GBP 10.10 |
|
Long Swap |
LONG |
6,000 |
GBP 11.02 |
|
Long Swap |
LONG |
7,789 |
GBP 11.12 |
|
Long Swap |
LONG |
15,250 |
GBP 10.89 |
|
Long Swap |
LONG |
20,000 |
GBP 10.70 |
|
Long Swap |
LONG |
25,922 |
GBP 10.10 |
|
Long Swap |
LONG |
45,565 |
GBP 10.81 |
|
Long Swap |
LONG |
97,731 |
GBP 10.83 |
|
Long Swap |
LONG |
165,304 |
GBP 10.41 |
|
Long Swap |
LONG |
387,600 |
GBP 10.86 |
|
Long Swap |
LONG |
56 |
GBP 10.78 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
387,600 |
GBP 10.92 |
|
Short Swap |
SHORT |
56 |
GBP 10.92 |
|
Short Swap |
SHORT |
124,284 |
GBP 11.37 |
|
Short Swap |
SHORT |
93,813 |
GBP 10.77 |
|
Short Swap |
SHORT |
58,530 |
GBP 10.81 |
|
Short Swap |
SHORT |
20,000 |
GBP 10.89 |
|
Short Swap |
SHORT |
13,250 |
GBP 10.15 |
|
Short Swap |
SHORT |
12,237 |
GBP 10.92 |
|
Short Swap |
SHORT |
10,295 |
GBP 10.92 |
|
Short Swap |
SHORT |
7,789 |
GBP 11.12 |
|
Short Swap |
SHORT |
7,302 |
GBP 11.37 |
|
Short Swap |
SHORT |
6,000 |
GBP 11.05 |
|
Short Swap |
SHORT |
3,881 |
GBP 10.40 |
|
Short Swap |
SHORT |
3,859 |
GBP 10.77 |
|
Short Swap |
SHORT |
3,000 |
GBP 11.33 |
|
Short Swap |
SHORT |
613,730 |
GBP 10.94 |
|
(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 |
27/11/2008 |
|
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 |
Ennstone Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
26/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
119,280 |
GBP 0.02 |
GBP 0.02 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
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 |
27/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Marwyn Materials 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 |
Axon Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
26/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,332 |
GBP 6.44 |
GBP 6.40 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
11,736 |
GBP 6.43 |
GBP 6.40 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
2,017 |
GBP 6.41 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
463 |
GBP 6.41 |
|
Short Swap |
SHORT |
691 |
GBP 6.42 |
|
Short Swap |
SHORT |
1,000 |
GBP 6.41 |
|
Short Swap |
SHORT |
1,738 |
GBP 6.42 |
|
(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 |
27/11/2008 |
|
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 |
26/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
5,409,968 |
GBP 32.00 |
GBP 14.46 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
5,397,653 |
GBP 16.03 |
GBP 14.42 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
691 |
GBP 15.01 |
|
Long Swap |
LONG |
1,499 |
GBP 14.66 |
|
Long Swap |
LONG |
1,968 |
GBP 15.11 |
|
Long Swap |
LONG |
6,000 |
GBP 14.60 |
|
Long Swap |
LONG |
22,500 |
GBP 15.14 |
|
Long Swap |
LONG |
22,633 |
GBP 15.00 |
|
Long Swap |
LONG |
25,000 |
GBP 15.13 |
|
Long Swap |
LONG |
86,048 |
GBP 15.29 |
|
Long Swap |
LONG |
220,060 |
GBP 15.02 |
|
Long Swap |
LONG |
627,295 |
GBP 15.11 |
|
Long Swap |
LONG |
150 |
GBP 15.70 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
86,048 |
GBP 14.97 |
|
Short Swap |
SHORT |
201,860 |
GBP 14.99 |
|
Short Swap |
SHORT |
70 |
GBP 15.18 |
|
Short Swap |
SHORT |
67,825 |
GBP 14.97 |
|
Short Swap |
SHORT |
25,000 |
GBP 15.68 |
|
Short Swap |
SHORT |
22,563 |
GBP 15.09 |
|
Short Swap |
SHORT |
6,998 |
GBP 14.99 |
|
Short Swap |
SHORT |
6,000 |
GBP 14.58 |
|
Short Swap |
SHORT |
1,499 |
GBP 14.99 |
|
Short Swap |
SHORT |
1,108 |
GBP 15.18 |
|
Short Swap |
SHORT |
691 |
GBP 15.09 |
|
Short Swap |
SHORT |
676 |
GBP 15.12 |
|
Short Swap |
SHORT |
200 |
GBP 15.09 |
|
Short Swap |
SHORT |
637,295 |
GBP 15.14 |
|
(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 |
|
Warrant |
Selling |
-10,000 |
£0.02 |
AMERICAN |
19-Jun-09 |
||
|
Call option Call option |
Buying Selling |
300 250 |
16 16 |
American American |
19 Dec 08 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 |
27/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
Related Shares:
BHP GroupRio Tinto