4th Nov 2008 10:37
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 |
03 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) |
|
539957 160 |
29.74 GBP 184.50 USD |
28.10 GBP 180.42 USD |
|
Total number of securities sold |
Highest price received (Note 3) |
Lowest price received (Note 3) |
|
838483 160 |
29.70 GBP 184.50 USD |
28.29 GBP 180.42 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) |
|
SWAP |
Long |
5200 |
28.8614 GBP |
|
SWAP |
Short |
600 |
28.7042 GBP |
|
CFD |
Long |
1000 |
29.0303 GBP |
|
CFD |
Long |
3892 |
28.5735 GBP |
|
CFD |
Long |
10000 |
28.5735 GBP |
|
CFD |
Long |
6108 |
28.5735 GBP |
|
CFD |
Long |
1866 |
29.0213 GBP |
|
CFD |
Long |
2600 |
29.0213 GBP |
|
CFD |
Long |
10159 |
28.9782 GBP |
|
CFD |
Long |
286851 |
28.86 GBP |
|
CFD |
Long |
408582 |
28.86 GBP |
|
CFD |
Long |
676952 |
28.86 GBP |
|
CFD |
Long |
85830 |
28.86 GBP |
|
CFD |
Long |
1710 |
29.0213 GBP |
|
CFD |
Long |
34650 |
28.86 GBP |
|
CFD |
Long |
15000 |
28.86 GBP |
|
CFD |
Long |
4425 |
28.86 GBP |
|
CFD |
Long |
20925 |
28.86 GBP |
|
CFD |
Long |
12000 |
28.742 GBP |
|
CFD |
Long |
22000 |
28.742 GBP |
|
CFD |
Long |
175000 |
28.8417 GBP |
|
CFD |
Long |
1840 |
28.64 GBP |
|
CFD |
Short |
740 |
28.64 GBP |
|
CFD |
Short |
1100 |
28.64 GBP |
|
CFD |
Long |
3000 |
28.7419 GBP |
|
CFD |
Long |
10000 |
28.7419 GBP |
|
CFD |
Long |
3275 |
29.0811 GBP |
|
CFD |
Long |
5000 |
29.0811 GBP |
|
CFD |
Long |
400 |
28.658 GBP |
|
CFD |
Long |
2479 |
28.9287 GBP |
|
CFD |
Short |
2479 |
29.3697 GBP |
|
CFD |
Short |
2479 |
29.3697 GBP |
|
CFD |
Short |
282878 |
28.86 GBP |
|
CFD |
Short |
411610 |
28.86 GBP |
|
CFD |
Short |
94237 |
28.86 GBP |
|
CFD |
Short |
744490 |
28.86 GBP |
|
CFD |
Short |
6000 |
28.9524 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) |
|
Call Option |
B |
375000 |
26.00 GBP |
American |
19/12/08 |
6.50 GBP |
|
Call Option |
S |
375000 |
26.00 GBP |
American |
19/12/08 |
6.50 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 |
04 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