15th Nov 2007 14:45
Citigroup GM Australia Pty Ltd15 November 2007 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 Name of exempt principal trader Citigroup Global Markets Australia Pty Limited Company dealt in Rio Tinto Ltd Class of relevant security to which the Ord/Equitydealings being disclosed relate (Note 1) Date of dealing 09 November 2007 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class ofrelevant security dealt in (Note 2) Long Short Number Number (%) (%) (1) Relevant securities 555,489 (0.12%) 597,840 (0.13%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell 2,982,857 (0.65%) 4,443,428 (0.97%) Total 3,538,346 (0.77%) 5,041,268 (1.10%) (b) Interests and short positions in relevant securities of thecompany, other than the class dealt in (Note 2) Class of relevant security: Long Short Convertible Number Number (%) (%) (1) Relevant securities (0.00%) (0.00%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell (0.00%) (0.00%) Total (0.00%) (0.00%) (c) Rights to subscribe (Note 2) Class of relevant security: Details 3. DEALINGS (Note 3) (a) Purchases and sales Purchase Number of securities Price per unit (Note 4) AUD (unless stated) 190000 113.4 22708 138 20000 135 18500 138 16975 138 8876 132 7875 138 5000 133.5 5000 134.8 5000 135 5000 136 5000 136.5 5000 132.72 4638 132 4630 132.91 4300 138 3214 132.5 3000 134.44 2402 134.11 2350 134.16 2192 131.71 2123 134 2000 138 2000 131.78 1786 132.5 1580 132.7 1304 134 1217 134.11 1000 132.7 892 132.7 863 134 801 134.11 750 131.99 715 138 710 134 702 132.7 700 138 611 134.44 600 134.44 589 134.44 550 132.7 500 132.48 500 138 500 138 460 134.11 424 134.51 400 138 384 138 362 132 359 131.76 345 131.99 330 138 308 131.76 294 131.71 270 132.9 263 131.76 260 132.27 250 138 249 134.71 248 131.78 226 132.7 180 138 150 134.16 129 131.26 110 135.07 100 135.07 100 134.44 100 134.44 100 132.9 76 131.26 65 134.11 58 138 55 131.26 55 134.11 54 131.71 51 131.71 50 135.07 50 132.7 50 131.57 39 130.8 39 130.8 30 132.26 30 131.78 29 131.98 27 131.9 23 132 22 132.29 22 132.2 22 131.7 21 132 21 132.41 21 132.28 21 132.69 21 131.66 20 134.72 20 131.91 16 131.77 14 131.9 14 132.6 11 134.71 11 131.77 10 131.76 10 131.56 5 132.5 5 131.76 5 130.93 5 130.87 5 131.77 5 131.6 2 131.92 1 132.09 1 132 1 132.33 1 132.33 1 131.91 1 131.92 1 131.92 1 131.95 1 131.96 1 131.96 1 131.97 1 131.98 1 132.59 1 132.67 1 132.29 1 132.09 1 132.09 1 132.68 1 132.68 1 132.55 1 132.51 1 132.51 1 131.74 1 131.74 1 131.75 1 131.57 1 132.06 1 132.06 1 132.06 1 130.8 1 130.8 1 130.87 1 130.87 1 131.75 1 132 1 132 1 132.57 1 132.61 1 132.21 1 131.75 1 131.75 1 131.76 1 131.6 1 131.9 1 131.89 1 131.9 1 131.71Total 372,211 Sales Number of securities Price per unit (Note 4) AUD (unless stated) -1 131.88 -1 131.88 -1 131.88 -1 131.9 -1 131.9 -1 131.9 -1 131.9 -1 132 -1 132.02 -1 132 -1 132.01 -1 131.88 -1 132.32 -1 132.3 -1 132.3 -1 132.3 -1 132.59 -1 132.59 -1 132.59 -1 132.59 -1 132.46 -1 132.42 -1 132.42 -1 132.29 -1 132.01 -1 131.75 -1 131.75 -1 131.75 -1 131.6 -1 132.03 -1 132.01 -1 130.8 -1 130.87 -1 130.87 -1 130.8 -1 131.71 -1 131.69 -1 131.67 -1 131.88 -1 131.88 -1 132.21 -1 131.75 -1 131.59 -1 131.88 -1 131.91 -1 131.91 -5 131.9 -5 131.76 -5 131.6 -5 130.93 -5 130.86 -5 132.66 -14 131.99 -14 132.69 -15 131.91 -16 130.8 -16 131.77 -16 131.77 -20 132.11 -21 132 -21 132.28 -21 132.69 -21 132.5 -21 131.7 -22 131.99 -22 132.32 -22 132.2 -22 131.7 -23 130.8 -28 132.9 -36 131.56 -39 130.8 -47 131.9 -50 131.63 -55 131.91 -70 134.19 -70 134.19 -70 131.8 -78 132.5 -91 131.8 -103 131.77 -116 131.7 -120 131.8 -120 132.6 -200 131.04 -200 131.04 -200 130.99 -251 131.82 -292 132.9 -300 131.79 -427 131.9 -471 132.11 -504 131.64 -509 132.11 -745 133.74 -800 131.99 -850 130.9 -884 131.7 -964 131.56 -1000 130.9 -1000 131.7 -1249 131.82 -1310 131.8 -1430 131.91 -1500 132.2 -1969 130.9 -2021 131.9 -2409 131.8 -7875 138 -11181 130.9 -18500 138 -20000 135 -60000 131.5 -190000 113.4Total: 330,537 (b) Derivatives transactions (other than options) Product name, Long/short (Note 5) Number of securities (Note 6) Price per unit (Note 4)e.g. CFD (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product name, Writing, Number of Exercise Type, e.g. Expiry Option money selling, securities to American,e.g. call option purchasing, which the option Price (AUD) European etc. date paid/received varying etc. relates (Note 6) per unit (AUD) (Note 4) C Barrier Purchasing 12000 100 E 28-Nov-07 9.76 C Barrier Purchasing 10000 100 E 28-Nov-07 9.76 C IWarrant Purchasing 10000 100 A 27-Mar-08 42.94 C Barrier Purchasing 5000 100 E 28-Nov-07 9.76 P Barrier Selling 5000 119 E 19-Dec-07 0 C IWarrant Purchasing 5000 100 A 27-Mar-08 42.94 C IWarrant Purchasing 5000 100 A 27-Mar-08 42.94 C Option Purchasing 5000 112 E 29-Nov-07 3.42 C Option Purchasing 3600 118 E 20-Dec-07 2.71 C Barrier Purchasing 3000 100 E 28-Nov-07 9.76 C IWarrant Purchasing 2000 80 A 20-Dec-07 52.62 C Option Purchasing 2000 114 E 20-Dec-07 3.34 C Option Purchasing 1825 112 E 29-Nov-07 3.58 C Barrier Purchasing 1500 100 E 28-Nov-07 9.76 C IWarrant Purchasing 1000 88 A 29-Nov-07 43.96 C IWarrant Purchasing 1000 88 A 29-Nov-07 44.41 P Option Selling 1000 96 E 20-Dec-07 0.01 C Option Purchasing 1000 118 E 20-Dec-07 3.03 C Option Purchasing 1000 118 E 20-Dec-07 2.73 P Option Selling 1000 96 E 20-Dec-07 0.01 P Option Selling 1000 96 E 20-Dec-07 0.01 P Option Selling 1000 96 E 20-Dec-07 0.01 P Option Selling 1000 96 E 20-Dec-07 0.01 P Option Selling 1000 96 E 20-Dec-07 0.01 P Option Selling 1000 96 E 20-Dec-07 0.01 C IWarrant Purchasing 745 88 A 29-Nov-07 46.01 C Option Purchasing 600 120 E 20-Dec-07 2.6 C IWarrant Purchasing 500 100 A 27-Mar-08 38.94 C IWarrant Purchasing 400 59 A 23-Apr-08 74.26 C IWarrant Purchasing 200 59 A 23-Apr-08 74.3 P Option Selling 200 96 E 20-Dec-07 0.01 C Option Purchasing 175 112 E 29-Nov-07 3.56 C Option Purchasing 125 135 A 20-Dec-07 6.4 C Option Purchasing 2 120 A 20-Dec-07 14.8 C Option Purchasing 1 112 A 29-Nov-07 20.29 C Barrier Selling -77 96 E 19-Dec-07 10.23 C Barrier Selling -1000 96 E 19-Dec-07 10.22 C Barrier Selling -1000 96 E 19-Dec-07 10.22 C Barrier Selling -1000 96 E 19-Dec-07 9.3 C Barrier Selling -1000 96 E 19-Dec-07 9.54 C Barrier Selling -1000 96 E 19-Dec-07 9.54 C IWarrant Selling -1000 80 A 20-Dec-07 52.72 C Barrier Selling -1923 96 E 19-Dec-07 10.11 C IWarrant Selling -5000 80 A 20-Dec-07 52.67 C IWarrant Selling -10000 80 A 20-Dec-07 52.93 (ii) Exercising Product name, e.g. call option Number of securities Exercise price per unit (Note 4) (d) Other dealings (including new securities) (Note 3) Nature of transaction (Note 7) Details Price per unit (if applicable) (Note 4) 4. 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 relatingto the voting rights of any relevant securities under any option referred to on this form or relating to the votingrights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form isreferenced. If none, this should be stated. Is a Supplemental Form 38.5(b) attached? (Note 8) YES Date of disclosure 14 November 2007 Contact name Neil Kober Telephone number 02890 409593 Name of offeree/offeror with which connected BHP Billiton plc Nature of connection (Note 9) Corporate Broker/Financial Advisor Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website atwww.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) Product name, Written or Number of Exercise price Type, e.g. Expiry date purchased securities to which (Note 2) American, Europeane.g. call option the option or etc. derivative relates Put Option Written 300000 112 A 24-Jan-08 Put Option Written 200000 88 A 27-Mar-08 Put Option Written 196200 96 E 20-Dec-07 Put Option Written 163200 100 E 20-Dec-07 Put Option Written 148000 90 A 20-Dec-07 Put Option Written 125000 108 A 20-Dec-07 Call Option Purchased 125000 135 A 20-Dec-07 Put Option Written 120000 110 E 20-Dec-07 Call Option Purchased 111000 94 A 29-Nov-07 Call Option Purchased 100000 116 A 29-Nov-07 Put Option Written 100000 90 A 27-Mar-08 Call Option Purchased 100000 92 A 29-Nov-07 Put Option Written 87000 87 A 29-Nov-07 Put Option Written 80000 112 A 29-Nov-07 Call Option Purchased 75000 116 A 20-Dec-07 Call Option Purchased 67000 108 A 20-Dec-07 Call Option Purchased 65000 112 A 27-Mar-08 Put Option Written 57000 110 A 20-Dec-07 Put Option Written 55000 104 A 20-Dec-07 Put Option Written 54000 108 A 29-Nov-07 Call Option Purchased 53000 108 A 29-Nov-07 Put Option Written 50979 56.15 A 11-Oct-10 Put Option Written 50000 66 A 20-Dec-07 Call Option Purchased 50000 94 A 20-Dec-07 Put Option Written 50000 87 A 20-Dec-07 Call Option Purchased 49000 104 A 29-Nov-07 Put Option Written 40000 74.25 E 27-Jul-11 Put Option Written 30588 56.03 E 03-Nov-08 Call Option Purchased 25000 100 A 20-Dec-07 Call Option Purchased 25000 110 A 29-Nov-07 Call Option Purchased 23000 96 A 20-Dec-07 Call Option Purchased 22000 100 A 20-Dec-07 Call Option Purchased 14000 102 A 29-Nov-07 Put Option Written 14000 96 A 29-Nov-07 Put Option Written 10000 106 A 20-Dec-07 Call Option Purchased 9000 98 A 29-Nov-07 Put Option Written 7517 116.82 A 11-Jul-12 Put Option Written 6789 94.91 A 23-Jun-11 Put Option Written 6646 37.61 E 01-Oct-09 Put Option Written 6415 77.94 E 19-Feb-10 Put Option Written 6268 88.6 A 27-Mar-12 Call Option Purchased 6000 119.66 A 24-Jan-08 Put Option Written 5906 119.75 A 28-Jun-12 Put Option Written 5780 109.19 A 30-May-12 Put Option Written 5608 92.64 A 24-Jun-11 Call Option Purchased 5000 100 A 29-Nov-07 Put Option Written 5000 107.89 A 24-Jan-08 Call Option Purchased 5000 116 A 20-Dec-07 Put Option Written 4886 97.27 A 28-Aug-12 Put Option Written 4420 88.07 A 23-Jun-11 Put Option Written 4320 99.12 A 25-Apr-12 Call Option Purchased 4000 96 A 29-Nov-07 Put Option Written 3828 115.61 A 13-Jun-12 Put Option Written 3801 96.12 A 23-Jun-11 Put Option Written 3105 99.8 A 28-Apr-11 Call Option Purchased 3000 112 A 29-Nov-07 Put Option Written 2994 85.04 A 28-Mar-11 Put Option Written 2862 119 A 11-Jul-12 Put Option Written 2591 38.58 E 01-Dec-09 Put Option Written 2269 44.08 E 30-Jun-08 Put Option Written 2248 73.85 A 29-Dec-10 Put Option Written 2024 98.79 E 29-Jun-10 Call Option Purchased 2000 78.46 A 24-Sep-09 Put Option Written 1370 85.07 A 28-Feb-11 Put Option Written 1273 78.5 E 30-Jun-11 Put Option Written 1188 105.3 A 23-May-11 Put Option Written 1152 43.37 E 28-Jun-10 Put Option Written 1152 43.37 E 28-Jun-10 Put Option Written 1132 83.22 A 07-Oct-11 Put Option Written 1037 43.37 E 27-Jun-08 Call Option Purchased 1000 106 A 26-Jun-08 Put Option Written 869 89.44 A 07-Feb-11 Put Option Written 765 43.96 E 30-Jun-08 Put Option Written 700 103.7 A 15-May-12 Put Option Written 561 89 E 09-Aug-10 Put Option Written 514 77.8 E 30-Jun-09 Put Option Written 464 95.75 E 29-Jun-10 Put Option Written 454 44.08 E 30-Jun-08 Put Option Written 405 98.1 A 25-Jun-10 Put Option Written 392 131.14 A 11-Oct-12 Put Option Written 388 77.2 E 27-Jun-11 Put Option Written 337 29.61 E 25-Jun-08 Put Option Written 332 75.22 E 24-May-10 Put Option Written 302 82.55 E 17-May-10 Put Option Written 290 95.75 E 28-Jun-10 Put Option Written 266 94.08 A 28-Jul-11 Put Option Written 254 78.6 E 07-Jul-11 Put Option Written 236 84.55 E 09-May-11 Put Option Written 208 95.7 E 05-Sep-12 Put Option Written 208 95.7 E 05-Sep-12 Put Option Written 203 98.22 E 12-Sep-12 Put Option Written 203 98.22 E 12-Sep-12 Put Option Written 191 78.5 E 30-Jun-11 Put Option Written 191 78.5 E 30-Jun-11 Put Option Written 159 94.02 A 28-Jul-11 Put Option Written 141 93.6 A 28-Jul-11 Put Option Written 138 72.57 E 21-Jan-08 Put Option Written 138 92.66 A 28-Jul-11 Put Option Purchased -203 98.22 E 12-Sep-12 Put Option Purchased -208 95.7 E 05-Sep-12 Call Option Written -1000 85 A 29-Nov-07 Call Option Written -1000 105.01 E 20-Dec-07 Call Option Written -1000 125 A 20-Dec-07 Put Option Purchased -1000 94 A 26-Jun-08 Call Option Written -1268 54.39 A 28-Jun-12 Call Option Written -1700 59 A 23-Apr-08 Call Option Written -2000 100 A 27-Mar-08 Put Option Purchased -2000 106 A 29-Nov-07 Call Option Written -2000 107.89 A 24-Jan-08 Put Option Purchased -2000 77 A 22-Dec-11 Put Option Purchased -2000 90 A 29-Nov-07 Call Option Written -4500 70 A 27-Mar-08 Call Option Written -4570 88 A 29-Nov-07 Call Option Written -4770 42.5 A 23-Jun-08 Put Option Purchased -5000 68 A 23-Dec-10 Call Option Written -5000 90 A 20-Dec-07 Call Option Written -5149 64 A 19-Jun-09 Put Option Purchased -8000 100 A 20-Dec-07 Put Option Purchased -8000 98 A 29-Nov-07 Put Option Purchased -10000 82 A 20-Dec-07 Call Option Written -11260 60 A 29-Nov-07 Call Option Written -12000 106 E 29-Nov-07 Put Option Purchased -14000 102 A 29-Nov-07 Put Option Purchased -15000 80 A 27-Mar-08 Call Option Written -16000 80 A 20-Dec-07 Put Option Purchased -16000 114 A 29-Nov-07 Call Option Written -18000 114 E 20-Dec-07 Call Option Written -18000 106 A 20-Dec-07 Put Option Purchased -18000 74 A 26-Jun-08 Put Option Purchased -20000 112 A 20-Dec-07 Call Option Written -20000 114 A 29-Nov-07 Call Option Written -23000 90 A 20-Dec-07 Put Option Purchased -23000 90 A 20-Dec-07 Put Option Purchased -23000 92 A 20-Dec-07 Call Option Written -25000 115.73 A 24-Jan-08 Call Option Written -25000 118 A 20-Dec-07 Put Option Purchased -26000 100 A 29-Nov-07 Put Option Purchased -26000 104 A 29-Nov-07 Call Option Written -30000 104 A 20-Dec-07 Call Option Written -32000 112 A 20-Dec-07 Call Option Written -33000 85 A 22-Dec-11 Call Option Written -34000 102 A 20-Dec-07 Call Option Written -35000 106 A 29-Nov-07 Put Option Purchased -44000 72 A 18-Dec-08 Put Option Purchased -46000 119.66 A 24-Jan-08 Call Option Written -48000 114 A 20-Dec-07 Put Option Purchased -48000 96 A 20-Dec-07 Call Option Written -50000 96 E 19-Dec-07 Call Option Written -50000 122 A 18-Dec-08 Call Option Written -50000 87 A 20-Dec-07 Put Option Purchased -60000 80 A 22-Dec-11 Call Option Written -65000 118 A 29-Nov-07 Put Option Purchased -73000 94 A 20-Dec-07 Call Option Written -75000 56.89 A 24-Sep-09 Put Option Purchased -76000 75 A 22-Dec-11 Call Option Written -78000 110 E 28-Aug-07 Put Option Purchased -87000 88 A 20-Dec-07 Put Option Purchased -93000 100 A 27-Mar-08 Put Option Purchased -95000 102 A 20-Dec-07 Put Option Purchased -96000 110 A 29-Nov-07 Call Option Written -99000 110 A 20-Dec-07 Call Option Written -100000 104 A 27-Mar-08 Put Option Purchased -100000 110 A 27-Mar-08 Call Option Written -100000 112 A 24-Jan-08 Put Option Purchased -100000 84 A 27-Mar-08 Put Option Purchased -100000 94 A 27-Mar-08 Put Option Purchased -100000 96 A 27-Mar-08 Call Option Written -100000 87 A 20-Dec-07 Put Option Purchased -112000 68.66 A 24-Sep-09 Call Option Written -145000 90 A 26-Jun-08 Call Option Written -200000 90 E 19-Dec-07 Put Option Purchased -242000 78.46 A 24-Sep-09 Call Option Written -258000 120 E 20-Dec-07 Call Option Written -288000 102 E 28-Aug-07 Call Option Written -300000 100 E 20-Dec-07 Call Option Written -379800 98 E 28-Aug-07 Notes 1. Where there are open option positions or open derivative positions (exceptfor CFDs), full details should be given. Full details of any existingagreements to 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 This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto