17th Nov 2008 10:53
|
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 |
14/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,783,942 |
GBP 9.85 |
GBP 8.98 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,133,352 |
GBP 9.93 |
GBP 8.94 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
10,000 |
GBP 9.22 |
|
Long Swap |
LONG |
3 |
GBP 9.59 |
|
Long Swap |
LONG |
50,000 |
GBP 9.65 |
|
Long Swap |
LONG |
41,848 |
GBP 9.35 |
|
Long Swap |
LONG |
36,640 |
GBP 9.12 |
|
Long Swap |
LONG |
34,000 |
GBP 9.40 |
|
Long Swap |
LONG |
28,637 |
GBP 9.47 |
|
Long Swap |
LONG |
27,364 |
GBP 9.28 |
|
Long Swap |
LONG |
17,250 |
GBP 9.46 |
|
Long Swap |
LONG |
132,165 |
GBP 9.55 |
|
Long Swap |
LONG |
11,520 |
GBP 9.41 |
|
Long Swap |
LONG |
161,282 |
GBP 9.28 |
|
Long Swap |
LONG |
8,031 |
GBP 9.50 |
|
Long Swap |
LONG |
7,000 |
GBP 9.07 |
|
Long Swap |
LONG |
4,580 |
GBP 9.12 |
|
Long Swap |
LONG |
4,302 |
GBP 9.50 |
|
Long Swap |
LONG |
3,813 |
GBP 9.55 |
|
Long Swap |
LONG |
2,360 |
GBP 9.41 |
|
Long Swap |
LONG |
1,292 |
GBP 9.92 |
|
Long Swap |
LONG |
626 |
GBP 9.50 |
|
Long Swap |
LONG |
15,000 |
GBP 9.66 |
|
Long Swap |
LONG |
403,262 |
GBP 9.50 |
|
Long Swap |
LONG |
608,894 |
GBP 9.48 |
|
Long Swap |
LONG |
62,157 |
GBP 9.59 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
34,000 |
GBP 9.38 |
|
Short Swap |
SHORT |
1,292 |
GBP 9.82 |
|
Short Swap |
SHORT |
1,755 |
GBP 9.80 |
|
Short Swap |
SHORT |
3,593 |
GBP 9.80 |
|
Short Swap |
SHORT |
3,813 |
GBP 9.82 |
|
Short Swap |
SHORT |
4,302 |
GBP 9.65 |
|
Short Swap |
SHORT |
7,000 |
GBP 9.08 |
|
Short Swap |
SHORT |
8,351 |
GBP 9.48 |
|
Short Swap |
SHORT |
22,127 |
GBP 9.25 |
|
Short Swap |
SHORT |
28,637 |
GBP 9.47 |
|
Short Swap |
SHORT |
296 |
GBP 9.82 |
|
Short Swap |
SHORT |
35,096 |
GBP 9.80 |
|
Short Swap |
SHORT |
50,000 |
GBP 0.00 |
|
Short Swap |
SHORT |
62,160 |
GBP 9.44 |
|
Short Swap |
SHORT |
132,165 |
GBP 9.56 |
|
Short Swap |
SHORT |
403,262 |
GBP 9.51 |
|
Short Swap |
SHORT |
624,144 |
GBP 9.48 |
|
Short Swap |
SHORT |
27,364 |
GBP 9.52 |
|
(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 |
17/11/2008 |
|
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 |
14/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
9,673 |
GBP 6.40 |
GBP 6.40 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
6,740 |
GBP 6.40 |
GBP 6.39 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
5,939 |
GBP 6.40 |
|
Long Swap |
LONG |
1,372 |
GBP 6.39 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
330 |
GBP 6.39 |
|
Short Swap |
SHORT |
340 |
GBP 6.40 |
|
Short Swap |
SHORT |
429 |
GBP 6.40 |
|
Short Swap |
SHORT |
793 |
GBP 6.39 |
|
Short Swap |
SHORT |
1,116 |
GBP 6.39 |
|
Short Swap |
SHORT |
3,732 |
GBP 6.39 |
|
(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 |
17/11/2008 |
|
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 |
14/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
955,863 |
GBP 27.70 |
GBP 25.28 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
931,459 |
GBP 27.71 |
GBP 25.47 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
411 |
GBP 26.89 |
|
Long Swap |
LONG |
1,062 |
GBP 27.27 |
|
Long Swap |
LONG |
2,845 |
GBP 26.75 |
|
Long Swap |
LONG |
3,160 |
GBP 26.55 |
|
Long Swap |
LONG |
3,923 |
GBP 26.92 |
|
Long Swap |
LONG |
8,165 |
GBP 26.75 |
|
Long Swap |
LONG |
15,607 |
GBP 27.00 |
|
Long Swap |
LONG |
41,794 |
GBP 26.89 |
|
Long Swap |
LONG |
127,278 |
GBP 26.82 |
|
Long Swap |
LONG |
172,878 |
GBP 26.75 |
|
Long Swap |
LONG |
57 |
GBP 26.89 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
6,503 |
GBP 27.10 |
|
Short Swap |
SHORT |
172,878 |
GBP 26.79 |
|
Short Swap |
SHORT |
125,922 |
GBP 26.79 |
|
Short Swap |
SHORT |
7,383 |
GBP 26.99 |
|
Short Swap |
SHORT |
4 |
GBP 27.16 |
|
Short Swap |
SHORT |
6,251 |
GBP 25.96 |
|
Short Swap |
SHORT |
4,740 |
GBP 26.79 |
|
Short Swap |
SHORT |
4,270 |
GBP 25.96 |
|
Short Swap |
SHORT |
3,923 |
GBP 26.87 |
|
Short Swap |
SHORT |
3,841 |
GBP 27.10 |
|
Short Swap |
SHORT |
2,222 |
GBP 27.10 |
|
Short Swap |
SHORT |
1,062 |
GBP 27.36 |
|
Short Swap |
SHORT |
942 |
GBP 26.96 |
|
Short Swap |
SHORT |
684 |
GBP 27.10 |
|
Short Swap |
SHORT |
582 |
GBP 26.81 |
|
Short Swap |
SHORT |
411 |
GBP 27.36 |
|
Short Swap |
SHORT |
250 |
GBP 27.36 |
|
Short Swap |
SHORT |
41,794 |
GBP 26.91 |
|
(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 |
17/11/2008 |
|
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 |
14/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,218,775 |
GBP 1.75 |
GBP 1.62 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,065,804 |
GBP 1.73 |
GBP 1.60 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
555,347 |
GBP 1.67 |
|
Long Swap |
LONG |
58,810 |
GBP 1.67 |
|
Long Swap |
LONG |
13,269 |
GBP 1.70 |
|
Long Swap |
LONG |
1,700 |
GBP 1.70 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,700 |
GBP 1.68 |
|
Short Swap |
SHORT |
13,269 |
GBP 1.70 |
|
Short Swap |
SHORT |
58,942 |
GBP 1.67 |
|
Short Swap |
SHORT |
555,347 |
GBP 1.67 |
|
(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 |
17/11/2008 |
|
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:
BHP GroupRio Tinto