11th Sep 2008 12:02
FORM 38.5(b) DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITHOUT RECOGNISED INTERMEDIARY STATUS, OR WITH RI STATUS BUT NOT DEALING IN A CLIENT-SERVING CAPACITY (Rule 38.5(b) of the Takeover Code) 1. KEY INFORMATION \* TName of exempt principal trader ABN AMRO Equities Australia Limited---------------------------------------------------------------------------------------------------------Company dealt in RIO TINTO LIMITED---------------------------------------------------------------------------------------------------------Class of relevant security to which the Ordinary Shares dealings being disclosed relate (Note 1)---------------------------------------------------------------------------------------------------------Date of dealing 10 September 2008---------------------------------------------------------------------------------------------------------\* T 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class of relevantsecurity dealt in (Note 2) \* T Long Short------------------------------------------ ------------------------------- --------------------------------- Number (%) Number (%)------------------------------------------ ------------------------------- ---------------------------------(1) Relevant securities 486,912 0.106588224 1673859 0.3664187------------------------------------------ --------------- --------------- ---------------- ----------------(2) Derivatives (other than options) 1,665,152 0.364512672 198819 0.0435228------------------------------------------ --------------- --------------- ---------------- ----------------(3) Options and agreements to purchase/sell 150,000 0.032835982 140000 0.0306469------------------------------------------ --------------- --------------- ---------------- ----------------Total 2,302,064 0.503936878 2012678 0.4405884------------------------------------------ --------------- --------------- ---------------- ----------------\* T (b) Interests and short positions in relevant securities of the company, otherthan the class dealt in (Note 2) \* T Class of relevant security: Long Short-------------------------------------------------------------------------------------------------------- Number (%) Number (%)--------------------------------------------------------------------------------------------------------(1) Relevant securities 0 (0%) 0 (0%)--------------------------------------------------------------------------------------------------------(2) Derivatives (other than options) 0 (0%) 0 (0%)--------------------------------------------------------------------------------------------------------(3) Options and agreements to purchase/sell 0 (0%) 0 (0%)--------------------------------------------------------------------------------------------------------Total 0 (0%) 0 (0%)--------------------------------------------------------------------------------------------------------\* T (c) Rights to subscribe (Note 2) \* TClass of relevant security: Details---------------------------------------------------------------------------------------------------------\* T 3. DEALINGS (Note 3) (a) Purchases and sales \* TPurchases Number of securities Price per unit (AUD)Purchase 109 101.4Purchase 574 101.42Purchase 41 101.57Purchase 112 101.61Purchase 280 101.65Purchase 286 101.67Purchase 84 101.68Purchase 89 101.7Purchase 22 101.71Purchase 65 101.72Purchase 184 101.73Purchase 398 101.74Purchase 50 101.75Purchase 267 101.76Purchase 262 101.79Purchase 927 101.8Purchase 34 101.81Purchase 319 101.82Purchase 14 101.83Purchase 155 101.84Purchase 217 101.85Purchase 282 101.86Purchase 178 101.87Purchase 460 101.89Purchase 6651 101.9Purchase 239 101.91Purchase 56 101.92Purchase 921 101.93Purchase 1140 101.94Purchase 4246 101.95Purchase 27 101.96Purchase 70 101.97Purchase 480 101.98Purchase 699 101.99Purchase 2302 102Purchase 924 102.01Purchase 899 102.02Purchase 527 102.03Purchase 165 102.05Purchase 546 102.07Purchase 375 102.08Purchase 70 102.09Purchase 619 102.11Purchase 79 102.13Purchase 25 102.16Purchase 888 102.2Purchase 20 102.22Purchase 595 102.23Purchase 145 102.28Purchase 9 102.29Purchase 118 102.3Purchase 142 102.4Purchase 153 102.42Purchase 471 102.48Purchase 147 102.49Purchase 29 102.56Purchase 83 102.67Purchase 6 102.83Purchase 502 102.85Purchase 141 103Purchase 535 103.02Purchase 35 103.03Purchase 203 103.05Purchase 763 103.1Purchase 400 103.3Purchase 1254 103.37Purchase 746 103.38Purchase 28117 107.5 61971\* T \* TSales Number of securities Price per unit (AUD)Sale 59 101.41Sale 507 101.43Sale 56 101.49Sale 36 101.66Sale 9584 101.7Sale 1400 101.71Sale 1001 101.72Sale 1670 101.73Sale 1071 101.74Sale 1572 101.75Sale 8548 101.76Sale 1500 101.77Sale 44 101.79Sale 6173 101.8Sale 603 101.81Sale 18 101.85Sale 1502 101.86Sale 32 101.87Sale 43 101.88Sale 1106 101.89Sale 12266 101.9Sale 1061 101.91Sale 200 101.92Sale 563 101.93Sale 28 101.94Sale 80 101.95Sale 76 101.98Sale 34 101.99Sale 21506 102Sale 1255 102.01Sale 857 102.02Sale 2092 102.03Sale 166 102.06Sale 99 102.07Sale 272 102.08Sale 929 102.09Sale 952 102.11Sale 364 102.13Sale 2339 102.14Sale 11 102.2Sale 10 102.25Sale 71 102.38Sale 48 102.45Sale 2000 102.49Sale 169 102.57Sale 1068 102.58Sale 36 102.59Sale 77 102.75Sale 3 102.79Sale 1192 103.12Sale 808 103.15Sale 142 103.18Sale 189 103.45Sale 28117 107.5 115605\* T (b) Derivatives transactions (other than options) \* TProduct name, Long/short (Note 5) Number of securities (Note 6) Price per unit (Note 4) AUDe.g. CFD---------------------- --------------------- -------------------------------- -----------------------------RIOKZF Short (sell) 5000 12.00---------------------- --------------------- -------------------------------- -----------------------------RIOSZB Short (sell) 141 56.47---------------------- --------------------- -------------------------------- -----------------------------RIOKZJ Long (buy) 2000000 0.001---------------------- --------------------- -------------------------------- -----------------------------\* T (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying \* TProduct name, Writing, Number of Exercise Type, e.g. Expiry Option moneye.g. call option selling, securities to price American, date paid/received purchasing, which the option European per unit varying etc. relates (Note 6) etc. (Note 4)------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Call Dec 11 Purchasing 83000 150.00 American 22/12/11 15.92------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Call Dec 11 Purchasing 84000 150.00 American 22/12/11 15.89------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Put Dec 11 Purchasing 51000 80.00 American 22/12/11 10.92------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Put Dec 11 Purchasing 51000 80.00 American 22/12/11 10.91------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Put Dec 11 Selling 78000 98.00 American 22/12/11 19.08------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Put Dec 11 Selling 77000 98.00 American 22/12/11 19.08------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Call Dec 11 Purchasing 167000 150.00 American 22/12/11 15.9049------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Put Dec 11 Purchasing 102000 80.00 American 22/12/11 10.915------------------- ---------------- ------------------- ------------- ----------- ------------ --------------Put Dec 11 Selling 155000 98.00 American 22/12/11 19.08------------------- ---------------- ------------------- ------------- ----------- ------------ --------------\* T (ii) Exercising \* TProduct name, e.g. call option Number of securities Exercise price per unit (Note 4)---------------------------------------------------------------------------------------------------------\* T (d) Other dealings (including new securities) (Note 3) \* TNature of transaction (Note 7) Details Price per unit (if applicable) (Note 4)---------------------------------------------------------------------------------------------------------\* T 4. OTHER INFORMATION Agreements, arrangements or understandings relating to options or derivatives \* TFull 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.---------------------------------------------------------------------------------------------------------\* T Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO \* TDate of disclosure 11 September 2008---------------------------------------------------------------------------------------------------------Contact name Oliver Bainbridge - Kirit Devshi---------------------------------------------------------------------------------------------------------Telephone number (020) 7678 5898---------------------------------------------------------------------------------------------------------Name of offeree/offeror with which connected RIO TINTO---------------------------------------------------------------------------------------------------------Nature of connection (Note 9) Advisor---------------------------------------------------------------------------------------------------------\* T Notes: The Notes on Form 38.5(b) can be viewed on the Takeover Panel's websiteat www.thetakeoverpanel.org.uk SUPPLEMENTAL FORM 8 DETAILS OF OPEN POSITIONS (This form should be attached to Form 8.1, Form 8.1(b)(ii) or Form 8.3, as appropriate) OPEN POSITIONS (Note 1) \* TProduct name, Written or Number of Exercise price Type, e.g. Expiry datee.g. call option purchased securities to (Note 2) American, which the option European or derivative etc. relates------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 25,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 20,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 3,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 8,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 4,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 22,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 2,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 5,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 29,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call purchased 1,000 180.00 American 25/06/09------------------------ ------------- ----------------- --------------- ------------- --------------------- ------------------------ ------------- ----------------- --------------- ------------- ---------------------Jun 09 Call Written 140,000 146.00 European 25/06/09------------------------ ------------- ----------------- --------------- ------------- --------------------- ------------------------ ------------- ----------------- --------------- ------------- ---------------------RIO Swap Short 100 05/09/08------------------------ ------------- ----------------- --------------- ------------- ---------------------RIO Swap Short 4,440 05/09/08------------------------ ------------- ----------------- --------------- ------------- ---------------------RIO Swap Short 1,330 05/09/08------------------------ ------------- ----------------- --------------- ------------- ---------------------RIO Swap Short 3,350 05/09/08------------------------ ------------- ----------------- --------------- ------------- ---------------------RIO Swap Short 950 05/09/08------------------------ ------------- ----------------- --------------- ------------- ---------------------RIO Swap Short 200 05/09/08------------------------ ------------- ----------------- --------------- ------------- ---------------------RIO Swap Short 750 05/09/08------------------------ ------------- ----------------- --------------- ------------- ---------------------RIO Swap Long 67,987 05/09/08------------------------ ------------- ----------------- --------------- ------------- ---------------------RIO Swap Long 212,013 05/09/08------------------------ ------------- ----------------- --------------- ------------- ---------------------RIO Swap Long 1,385,091 29/10/08------------------------ ------------- ----------------- --------------- ------------- ---------------------RIO Swap Long 178,716 29/10/08------------------------ ------------- ----------------- --------------- ------------- ---------------------\* T Notes 1. Where there are open option positions or open derivative positions (exceptfor CFDs), full details should be given. Full details of any existing agreementsto purchase or to sell should also be given on this form. 2. For all prices and other monetary amounts, the currency must be stated. For details of the Code's dealing disclosure requirements, see Rule 8 and itsNotes which can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk Copyright Business Wire 2008Related Shares:
Rio Tinto