13th Nov 2008 11:13
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 |
(GS) GOLDMAN SACHS INTERNATIONAL |
|
Company dealt in |
RIO TINTO PLC |
|
Class of relevant security to which the dealings being disclosed relate (Note 1) |
Ordinary Shares |
|
Date of dealing |
12 November 2008 |
2. DEALINGS (Note 2)
(a) Purchases and sales
|
Total number of securities purchased |
Highest price paid (Note 3) |
Lowest price paid (Note 3) |
|
914653 200 |
27.5583 GBP 150.20 USD |
24.56 GBP 150.20 USD |
|
Total number of securities sold |
Highest price received (Note 3) |
Lowest price received (Note 3) |
|
965883 |
27.19 GBP 60.5629 AUD |
24.53 GBP 60.5629 AUD |
|
3052 |
154.25 USD |
147.50 USD |
(b) Derivatives transactions (other than options)
|
Product name, e.g. CFD |
Long/short (Note 4) |
Number of securities (Note 5) |
Price per unit (Note 3) |
|
CFD |
Short |
7920 |
25.6937 GBP |
|
CFD |
Short |
3420 |
25.6937 GBP |
|
CFD |
Short |
18660 |
25.6937 GBP |
|
CFD |
Long |
2153 |
24.9527 GBP |
|
CFD |
Long |
35000 |
24.9526 GBP |
|
CFD |
Long |
21072 |
24.9526 GBP |
|
CFD |
Long |
4000 |
24.9527 GBP |
|
CFD |
Short |
800 |
26.1563 GBP |
|
CFD |
Long |
13000 |
24.9527 GBP |
|
CFD |
Long |
2000 |
24.9526 GBP |
|
CFD |
Long |
6000 |
24.9527 GBP |
|
CFD |
Long |
8000 |
24.9526 GBP |
|
CFD |
Long |
5000 |
24.9527 GBP |
|
CFD |
Long |
1442 |
26.6261 GBP |
|
CFD |
Long |
3775 |
24.9527 GBP |
|
CFD |
Long |
16000 |
26.6261 GBP |
|
CFD |
Long |
2000 |
24.9322 GBP |
|
CFD |
Long |
14200 |
26.6261 GBP |
|
CFD |
Short |
1871 |
26.1285 GBP |
|
CFD |
Long |
5000 |
24.9322 GBP |
|
CFD |
Long |
22000 |
26.6261 GBP |
|
CFD |
Short |
56000 |
25.4617 GBP |
|
CFD |
Long |
2915 |
25.7665 GBP |
|
CFD |
Short |
2915 |
26.1285 GBP |
|
CFD |
Long |
2915 |
25.7665 GBP |
|
CFD |
Short |
5000 |
25.0795 GBP |
|
CFD |
Short |
60000 |
26.127 GBP |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
|
Product name, e.g. call option |
Writing, selling, purchasing, varying etc. |
Number of securities to which the option relates (Note 5) |
Exercise price |
Type, e.g. American, European etc. |
Expiry date |
Option money paid/received per unit (Note 3) |
|
Put Option |
B |
2000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
B |
4000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
B |
3000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
B |
3000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
B |
5000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
B |
4000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
B |
3000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
B |
4000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
B |
5000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
B |
12000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
B |
5000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
B |
3000 |
22.00 GBP |
American |
20/03/09 |
3.55 GBP |
|
Put Option |
B |
8000 |
22.00 GBP |
American |
20/03/09 |
3.55 GBP |
|
Put Option |
B |
4000 |
22.00 GBP |
American |
20/03/09 |
3.55 GBP |
|
Put Option |
B |
3000 |
22.00 GBP |
American |
20/03/09 |
3.58 GBP |
|
Put Option |
B |
4000 |
22.00 GBP |
American |
20/03/09 |
3.58 GBP |
|
Put Option |
B |
3000 |
22.00 GBP |
American |
20/03/09 |
3.58 GBP |
|
Put Option |
S |
2000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
S |
4000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
S |
3000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
S |
3000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
S |
5000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
S |
4000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
S |
3000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
S |
4000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
S |
5000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
S |
12000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
S |
5000 |
22.00 GBP |
American |
20/03/09 |
3.25 GBP |
|
Put Option |
S |
3000 |
22.00 GBP |
American |
20/03/09 |
3.55 GBP |
|
Put Option |
S |
8000 |
22.00 GBP |
American |
20/03/09 |
3.55 GBP |
|
Put Option |
S |
4000 |
22.00 GBP |
American |
20/03/09 |
3.55 GBP |
|
Put Option |
S |
3000 |
22.00 GBP |
American |
20/03/09 |
3.58 GBP |
|
Put Option |
S |
4000 |
22.00 GBP |
American |
20/03/09 |
3.58 GBP |
|
Put Option |
S |
3000 |
22.00 GBP |
American |
20/03/09 |
3.58 GBP |
(ii) Exercising
|
Product name, e.g. call option |
Number of securities |
Exercise price per unit (Note 3) |
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. |
|
Date of disclosure |
13 November 2008 |
|
Contact name |
Peter Highton |
|
Telephone number |
+44-207-774-1935 |
|
Name of offeree/offeror with which connected |
BHP BILLITON PLC |
|
Nature of connection (Note 6) |
Advisor |
Notes
The Notes on Form 38.5(a) can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk
Related Shares:
Rio Tinto