16th May 2008 15:15
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 |
UBS Securities LLC
|
|
Company dealt in |
BHP Billiton Limited (ISIN US0886061086)
|
|
Class of relevant security to which the dealings being disclosed relate (Note 1) |
Ordinary shares dealt in ADR form ADR (1 ADR = 2 Ords) |
|
Date of dealing |
15 May 2008 |
2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE
(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2)
|
|
Long
|
Short
|
||
|
|
Number |
(%) |
Number |
(%) |
|
(1) Relevant securities |
70100 Ords (equivalent to 35050 ADRs) |
6540 Ords (equivalent to 3270 ADRs) |
||
|
(2) Derivatives (other than options) |
- |
- |
- |
- |
|
(3) Options and agreements to purchase/sell |
869400 Ords (equivalent to 434700 ADRs) |
914000 Ords (equivalent to 457000ADRs) |
||
|
Total |
939500 Ords (equivalent to 469750 ADRs) |
0.03 |
920540 Ords (equivalent to 460270ADRs) |
0.03 |
(b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 2)
|
Class of relevant security: |
Long |
Short |
|
Number (%) |
Number (%) |
|
|
(1) Relevant securities |
||
|
(2) Derivatives (other than options) |
||
|
(3) Options and agreements to purchase/sell |
||
|
Total |
Rights to subscribe (Note 2)
|
Class of relevant security: |
Details |
3. DEALINGS (Note 3)
Purchases and sales
|
Buy/Sell |
Equivalent Ord Quantity |
Trade Price (USD) |
|
B |
6400 |
93.02 |
|
B |
1600 |
92.211 |
|
B |
1800 |
92.358 |
|
B |
9210 |
92.115 |
|
B |
4400 |
93.351 |
|
B |
138602 |
92.97 |
|
B |
1800 |
93.48 |
|
B |
70558 |
92.854 |
|
B |
43090 |
93.164 |
|
S |
8400 |
92.823 |
|
S |
4800 |
93.013 |
|
S |
1200 |
91.37 |
|
S |
8800 |
91.995 |
|
S |
6080 |
93.673 |
|
S |
10646 |
91.711 |
|
S |
450 |
93.214 |
|
S |
9600 |
92.136 |
|
S |
23500 |
92.64 |
|
S |
27708 |
93.262 |
|
S |
31540 |
92.975 |
|
S |
400 |
93.655 |
|
S |
2200 |
92.198 |
|
S |
20116 |
93.165 |
|
S |
21770 |
92.637 |
|
S |
24420 |
93.057 |
|
S |
51060 |
93.385 |
|
S |
55954 |
92.641 |
|
B |
50,000 |
|
|
Total Buys |
327,460 |
|
|
Total Sells |
308644 |
(b) Derivatives transactions (other than options)
|
Product name, e.g. CFD |
Long/short (Note 5) |
Number of securities (Note 6) |
Price per unit (Note 4) |
Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
|
Product |
B/S |
For Ords (X2) |
Exercise Price (USD) |
Type |
Expiration |
Price (USD) |
|
CALL |
B |
600 |
95 |
Amer |
5/17/2008 |
0.20 |
|
CALL |
B |
1200 |
95 |
Amer |
5/17/2008 |
0.45 |
|
CALL |
B |
1200 |
95 |
Amer |
5/17/2008 |
0.70 |
|
CALL |
B |
2400 |
95 |
Amer |
5/17/2008 |
0.80 |
|
CALL |
B |
200 |
95 |
Amer |
5/17/2008 |
0.40 |
|
CALL |
B |
200 |
95 |
Amer |
5/17/2008 |
0.40 |
|
CALL |
B |
200 |
85 |
Amer |
6/21/2008 |
10.29 |
|
CALL |
B |
2000 |
90 |
Amer |
6/21/2008 |
7.00 |
|
CALL |
B |
400 |
90 |
Amer |
6/21/2008 |
6.30 |
|
CALL |
B |
200 |
90 |
Amer |
6/21/2008 |
6.30 |
|
CALL |
B |
800 |
95 |
Amer |
6/21/2008 |
3.90 |
|
CALL |
B |
800 |
95 |
Amer |
6/21/2008 |
4.30 |
|
CALL |
B |
1800 |
110 |
Amer |
6/21/2008 |
0.80 |
|
CALL |
B |
200 |
75 |
Amer |
8/16/2008 |
18.40 |
|
CALL |
B |
4800 |
95 |
Amer |
8/16/2008 |
7.30 |
|
CALL |
B |
200 |
95 |
Amer |
11/22/2008 |
9.60 |
|
CALL |
B |
1000 |
100 |
Amer |
1/17/2009 |
9.30 |
|
CALL |
S |
600 |
90 |
Amer |
5/17/2008 |
3.80 |
|
CALL |
S |
2400 |
90 |
Amer |
5/17/2008 |
2.80 |
|
CALL |
S |
400 |
90 |
Amer |
5/17/2008 |
3.50 |
|
CALL |
S |
1000 |
95 |
Amer |
5/17/2008 |
0.40 |
|
CALL |
S |
400 |
95 |
Amer |
5/17/2008 |
0.41 |
|
CALL |
S |
3600 |
95 |
Amer |
5/17/2008 |
0.50 |
|
CALL |
S |
3000 |
95 |
Amer |
5/17/2008 |
0.50 |
|
CALL |
S |
800 |
95 |
Amer |
5/17/2008 |
0.85 |
|
CALL |
S |
1000 |
95 |
Amer |
5/17/2008 |
0.85 |
|
CALL |
S |
5000 |
95 |
Amer |
5/17/2008 |
0.85 |
|
CALL |
S |
800 |
95 |
Amer |
5/17/2008 |
0.85 |
|
CALL |
S |
5000 |
95 |
Amer |
5/17/2008 |
0.85 |
|
CALL |
S |
400 |
95 |
Amer |
5/17/2008 |
1.00 |
|
CALL |
S |
2400 |
95 |
Amer |
5/17/2008 |
0.45 |
|
CALL |
S |
1000 |
95 |
Amer |
6/21/2008 |
3.80 |
|
CALL |
S |
1800 |
110 |
Amer |
6/21/2008 |
0.85 |
|
CALL |
S |
400 |
90 |
Amer |
8/16/2008 |
10.30 |
|
CALL |
S |
200 |
90 |
Amer |
1/17/2009 |
14.60 |
|
CALL |
S |
200 |
100 |
Amer |
1/17/2009 |
10.30 |
|
PUT |
B |
3200 |
85 |
Amer |
5/17/2008 |
0.05 |
|
PUT |
B |
4200 |
90 |
Amer |
5/17/2008 |
0.35 |
|
PUT |
B |
3000 |
70 |
Amer |
6/21/2008 |
0.15 |
|
PUT |
B |
3000 |
70 |
Amer |
6/21/2008 |
0.15 |
|
PUT |
B |
2000 |
90 |
Amer |
11/22/2008 |
9.20 |
|
PUT |
B |
200 |
55 |
Amer |
1/17/2009 |
0.75 |
|
PUT |
B |
1000 |
80 |
Amer |
1/17/2009 |
6.20 |
|
PUT |
B |
2000 |
80 |
Amer |
1/17/2009 |
6.00 |
|
PUT |
S |
2600 |
80 |
Amer |
5/17/2008 |
0.05 |
|
PUT |
S |
1400 |
90 |
Amer |
5/17/2008 |
0.40 |
|
PUT |
S |
4200 |
90 |
Amer |
5/17/2008 |
0.40 |
|
PUT |
S |
4200 |
90 |
Amer |
5/17/2008 |
0.40 |
|
PUT |
S |
400 |
75 |
Amer |
6/21/2008 |
0.60 |
|
PUT |
S |
200 |
85 |
Amer |
6/21/2008 |
2.20 |
|
PUT |
S |
200 |
95 |
Amer |
6/21/2008 |
6.20 |
|
PUT |
S |
1200 |
75 |
Amer |
1/17/2009 |
5.30 |
(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 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. |
Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO
|
Date of disclosure |
16 May 2008
|
|
Contact name |
Richard Mulcahy |
Notes
The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk
SUPPLEMENTAL FORM 38.5(b)
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 38.5(b))
OPEN POSITIONS (Note
|
Product |
Purchased/Written |
For Ords (X2) |
Exercise Price (USD) |
Type |
Expiration |
|
CALL |
Purchased |
2600 |
105 |
Amer |
May-08 |
|
CALL |
Purchased |
27000 |
110 |
Amer |
May-08 |
|
CALL |
Purchased |
3000 |
55 |
Amer |
May-08 |
|
CALL |
Purchased |
16800 |
67.5 |
Amer |
May-08 |
|
CALL |
Purchased |
16200 |
70 |
Amer |
May-08 |
|
CALL |
Purchased |
42600 |
75 |
Amer |
May-08 |
|
CALL |
Purchased |
56000 |
85 |
Amer |
May-08 |
|
CALL |
Purchased |
7600 |
90 |
Amer |
May-08 |
|
CALL |
Purchased |
6600 |
100 |
Amer |
Jun-08 |
|
CALL |
Purchased |
600 |
110 |
Amer |
Jun-08 |
|
CALL |
Purchased |
400 |
80 |
Amer |
Jun-08 |
|
CALL |
Purchased |
12600 |
90 |
Amer |
Jun-08 |
|
CALL |
Purchased |
4800 |
95 |
Amer |
Jun-08 |
|
CALL |
Purchased |
3000 |
105 |
Amer |
Aug-08 |
|
CALL |
Purchased |
38400 |
60 |
Amer |
Aug-08 |
|
CALL |
Purchased |
1600 |
70 |
Amer |
Aug-08 |
|
CALL |
Purchased |
18600 |
75 |
Amer |
Aug-08 |
|
CALL |
Purchased |
11800 |
80 |
Amer |
Aug-08 |
|
CALL |
Purchased |
17000 |
85 |
Amer |
Aug-08 |
|
CALL |
Purchased |
24400 |
95 |
Amer |
Aug-08 |
|
CALL |
Purchased |
19600 |
100 |
Amer |
Nov-08 |
|
CALL |
Purchased |
2400 |
115 |
Amer |
Nov-08 |
|
CALL |
Purchased |
4800 |
120 |
Amer |
Nov-08 |
|
CALL |
Purchased |
2000 |
65 |
Amer |
Nov-08 |
|
CALL |
Purchased |
2000 |
67.5 |
Amer |
Nov-08 |
|
CALL |
Purchased |
5400 |
70 |
Amer |
Nov-08 |
|
CALL |
Purchased |
4400 |
75 |
Amer |
Nov-08 |
|
CALL |
Purchased |
19000 |
80 |
Amer |
Nov-08 |
|
CALL |
Purchased |
1400 |
95 |
Amer |
Nov-08 |
|
CALL |
Purchased |
8200 |
105 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
2400 |
115 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
15400 |
125 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
2200 |
135 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
12800 |
140 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
2800 |
20 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
2000 |
55 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
10000 |
60 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
1400 |
65 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
27000 |
75 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
7600 |
80 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
5200 |
90 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
6200 |
95 |
Amer |
1/17/2009 |
|
CALL |
Purchased |
4400 |
80 |
Amer |
1/16/2010 |
|
CALL |
Purchased |
5600 |
95 |
Amer |
1/16/2010 |
|
CALL |
Written |
-38000 |
100 |
Amer |
May-08 |
|
CALL |
Written |
-4000 |
50 |
Amer |
May-08 |
|
CALL |
Written |
-52600 |
60 |
Amer |
May-08 |
|
CALL |
Written |
-54200 |
62.5 |
Amer |
May-08 |
|
CALL |
Written |
-9000 |
65 |
Amer |
May-08 |
|
CALL |
Written |
-10400 |
80 |
Amer |
May-08 |
|
CALL |
Written |
-10600 |
95 |
Amer |
May-08 |
|
CALL |
Written |
-600 |
75 |
Amer |
Jun-08 |
|
CALL |
Written |
-45400 |
85 |
Amer |
Jun-08 |
|
CALL |
Written |
-39800 |
100 |
Amer |
Aug-08 |
|
CALL |
Written |
-15200 |
110 |
Amer |
Aug-08 |
|
CALL |
Written |
-8400 |
50 |
Amer |
Aug-08 |
|
CALL |
Written |
-27000 |
55 |
Amer |
Aug-08 |
|
CALL |
Written |
-19600 |
65 |
Amer |
Aug-08 |
|
CALL |
Written |
-1200 |
67.5 |
Amer |
Aug-08 |
|
CALL |
Written |
-9800 |
90 |
Amer |
Aug-08 |
|
CALL |
Written |
-3000 |
105 |
Amer |
Nov-08 |
|
CALL |
Written |
-5000 |
110 |
Amer |
Nov-08 |
|
CALL |
Written |
-400 |
60 |
Amer |
Nov-08 |
|
CALL |
Written |
-21600 |
85 |
Amer |
Nov-08 |
|
CALL |
Written |
-3400 |
90 |
Amer |
Nov-08 |
|
CALL |
Written |
-21600 |
100 |
Amer |
1/17/2009 |
|
CALL |
Written |
-6800 |
110 |
Amer |
1/17/2009 |
|
CALL |
Written |
-3800 |
120 |
Amer |
1/17/2009 |
|
CALL |
Written |
-5000 |
130 |
Amer |
1/17/2009 |
|
CALL |
Written |
-3000 |
30 |
Amer |
1/17/2009 |
|
CALL |
Written |
-200 |
40 |
Amer |
1/17/2009 |
|
CALL |
Written |
-33200 |
50 |
Amer |
1/17/2009 |
|
CALL |
Written |
-25600 |
70 |
Amer |
1/17/2009 |
|
CALL |
Written |
-11800 |
100 |
Amer |
1/16/2010 |
|
CALL |
Written |
-7600 |
40 |
Amer |
1/16/2010 |
|
CALL |
Written |
-3600 |
50 |
Amer |
1/16/2010 |
|
CALL |
Written |
-3000 |
60 |
Amer |
1/16/2010 |
|
CALL |
Written |
-11600 |
70 |
Amer |
1/16/2010 |
|
CALL |
Written |
-8400 |
90 |
Amer |
1/16/2010 |
|
PUT |
Purchased |
2600 |
37.5 |
Amer |
May-08 |
|
PUT |
Purchased |
8000 |
40 |
Amer |
May-08 |
|
PUT |
Purchased |
1800 |
42.5 |
Amer |
May-08 |
|
PUT |
Purchased |
6800 |
47.5 |
Amer |
May-08 |
|
PUT |
Purchased |
20200 |
50 |
Amer |
May-08 |
|
PUT |
Purchased |
21600 |
60 |
Amer |
May-08 |
|
PUT |
Purchased |
50200 |
62.5 |
Amer |
May-08 |
|
PUT |
Purchased |
37400 |
65 |
Amer |
May-08 |
|
PUT |
Purchased |
2000 |
70 |
Amer |
May-08 |
|
PUT |
Purchased |
200 |
65 |
Amer |
Jun-08 |
|
PUT |
Purchased |
10200 |
70 |
Amer |
Jun-08 |
|
PUT |
Purchased |
40800 |
80 |
Amer |
Jun-08 |
|
PUT |
Purchased |
17800 |
85 |
Amer |
Jun-08 |
|
PUT |
Purchased |
28400 |
50 |
Amer |
Aug-08 |
|
PUT |
Purchased |
21600 |
65 |
Amer |
Aug-08 |
|
PUT |
Purchased |
21600 |
70 |
Amer |
Aug-08 |
|
PUT |
Purchased |
1000 |
85 |
Amer |
Aug-08 |
|
PUT |
Purchased |
2000 |
95 |
Amer |
Aug-08 |
|
PUT |
Purchased |
800 |
100 |
Amer |
Nov-08 |
|
PUT |
Purchased |
800 |
55 |
Amer |
Nov-08 |
|
PUT |
Purchased |
3200 |
60 |
Amer |
Nov-08 |
|
PUT |
Purchased |
3800 |
62.5 |
Amer |
Nov-08 |
|
PUT |
Purchased |
2400 |
65 |
Amer |
Nov-08 |
|
PUT |
Purchased |
8000 |
80 |
Amer |
Nov-08 |
|
PUT |
Purchased |
2600 |
90 |
Amer |
Nov-08 |
|
PUT |
Purchased |
4400 |
30 |
Amer |
1/17/2009 |
|
PUT |
Purchased |
5000 |
40 |
Amer |
1/17/2009 |
|
PUT |
Purchased |
7000 |
50 |
Amer |
1/17/2009 |
|
PUT |
Purchased |
30600 |
55 |
Amer |
1/17/2009 |
|
PUT |
Purchased |
10600 |
65 |
Amer |
1/17/2009 |
|
PUT |
Purchased |
12000 |
75 |
Amer |
1/17/2009 |
|
PUT |
Purchased |
600 |
80 |
Amer |
1/17/2009 |
|
PUT |
Purchased |
3400 |
80 |
Amer |
1/16/2010 |
|
PUT |
Purchased |
200 |
90 |
Amer |
1/16/2010 |
|
PUT |
Written |
-1000 |
30 |
Amer |
May-08 |
|
PUT |
Written |
-200 |
32.5 |
Amer |
May-08 |
|
PUT |
Written |
-7400 |
45 |
Amer |
May-08 |
|
PUT |
Written |
-11200 |
55 |
Amer |
May-08 |
|
PUT |
Written |
-16600 |
67.5 |
Amer |
May-08 |
|
PUT |
Written |
-71600 |
75 |
Amer |
May-08 |
|
PUT |
Written |
-1400 |
80 |
Amer |
May-08 |
|
PUT |
Written |
-70200 |
85 |
Amer |
May-08 |
|
PUT |
Written |
-2600 |
90 |
Amer |
May-08 |
|
PUT |
Written |
-1600 |
75 |
Amer |
Jun-08 |
|
PUT |
Written |
-200 |
95 |
Amer |
Jun-08 |
|
PUT |
Written |
-23800 |
55 |
Amer |
Aug-08 |
|
PUT |
Written |
-32000 |
60 |
Amer |
Aug-08 |
|
PUT |
Written |
-34600 |
67.5 |
Amer |
Aug-08 |
|
PUT |
Written |
-21600 |
75 |
Amer |
Aug-08 |
|
PUT |
Written |
-9400 |
80 |
Amer |
Aug-08 |
|
PUT |
Written |
-5000 |
70 |
Amer |
Nov-08 |
|
PUT |
Written |
-1600 |
75 |
Amer |
Nov-08 |
|
PUT |
Written |
-5000 |
20 |
Amer |
1/17/2009 |
|
PUT |
Written |
-30200 |
60 |
Amer |
1/17/2009 |
|
PUT |
Written |
-20800 |
70 |
Amer |
1/17/2009 |
|
PUT |
Written |
-200 |
90 |
Amer |
1/17/2009 |
|
PUT |
Written |
-2000 |
40 |
Amer |
1/16/2010 |
|
PUT |
Written |
-2800 |
50 |
Amer |
1/16/2010 |
|
PUT |
Written |
-4200 |
60 |
Amer |
1/16/2010 |
|
PUT |
Written |
-6400 |
70 |
Amer |
1/16/2010 |
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