16th Nov 2007 11:49
Macquarie Bank Ld16 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 Macquarie Bank Limited Company dealt in Rio Tinto Limited Class of relevant security to which the dealings being Ordinary shares ISIN: disclosed relate (Note 1) AU000000RI01 Date of dealing 15 November 2007 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class of relevantsecurity dealt in (Note 2) Long Short Number (%) Number (%)(1) Relevantsecurities 408,199 0.08%(2)Derivatives(other thanoptions) 18,335 0.00%(3) Optionsand agreementstopurchase/sell 1,961,407 0.42% Total 2,387,941 0.52% (b) Interests and short positions in relevant securities of the company, otherthan 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 (c) Rights to subscribe (Note 2) Class of relevant security: Details 3. DEALINGS (Note 3) (a) Purchases and sales Purchase/sale Number of securities Price per unit (Note 4)See Annexure A (b) Derivatives transactions (other than options) Product name, Long/short (Note Number of securities (Note Price per unit (Note 5) 6) 4)e.g. CFDSee AnnexureB (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product Writing, Number of Exercise Type, e.g. Expiry Optionname, selling, securities to American, money purchasing, which the option European varying etc. relates (Note 6) etc.e.g. price date paid/call receivedoption per unit (Note 4)SeeAnnexureC (ii) Exercising Product name, e.g. call Number of Exercise price per unit (Noteoption securities 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 persondisclosing and any other person relating to the voting rights of any relevantsecurities under any option referred to on this form or relating to the votingrights or future acquisition or disposal of any relevant securities to which anyderivative referred to on this form is referenced. If none, this should bestated. Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO Date of disclosure 16 November 2007 Contact name Johanna Uy Telephone number +44 (0) 2030374339 Name of offeree/offeror with which connected Rio Tinto PlcNature of connection (Note 9) Connected principal trader Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk Annexure A Purchase/Sale Number of Price per Unit Securities (AUD)Sale 1,000 137.93Purchase 2,857 137.9Purchase 238 137.89Purchase 5 137.89Purchase 1,900 137.89Purchase 1,432 137.64Sale 66 137.31Sale 29 137.31Sale 605 137.31Sale 245 136.98Sale 749 136.98Sale 994 137Purchase 142 136.86Purchase 196 136.79Purchase 5 136.79Purchase 296 136.79Sale 188 136.56Sale 185 136.56Sale 197 136.55Sale 132 136.55Sale 309 136.55Sale 124 136.55Sale 360 136.55Sale 277 136.55Sale 1,087 136.55Sale 234 136.55Sale 108 136.55Sale 508 136.61Sale 1,468 136.6Sale 18 136.48Purchase 150 136.47Sale 6 136.08Sale 351 135.48Sale 3 135.48Sale 250 135.5Sale 80 135.49Sale 82 135.48Sale 24 135.48Sale 13 135.48Sale 103 135.48Sale 100 135.4Sale 66 135.39Sale 257 135.35Sale 377 135.4Sale 100 135.4Sale 100 135.35Purchase 100 135.4Purchase 932 135Purchase 2,000 135Purchase 199 135Purchase 233 135Purchase 1,636 135Sale 2,000 134.93Sale 2,000 134.93Sale 1,000 134.85Purchase 783 134.73Purchase 1,570 134.5Purchase 420 134.86Purchase 900 134.86Purchase 21 134.86Purchase 147 134.76Purchase 300 134.76Purchase 120 134.76Purchase 6 134.76Purchase 253 134.77Purchase 425 134.76Purchase 2 134.77Purchase 27 134.77Purchase 791 134.61Purchase 143 134.61Purchase 12 134.61Purchase 83 134.61Purchase 75 134.62Purchase 754 134.62Purchase 1,570 134.5Sale 200 134.67Sale 3,000 135.25Sale 16 135.25Sale 872 135.25Purchase 3,175 138Purchase 2 138Purchase 630 138Purchase 60 138Purchase 806 138Purchase 7 138Purchase 28 138Purchase 62 138Purchase 500 138.15Purchase 20 138.15Purchase 475 138.15Purchase 995 138.15Sale 328 138.14Sale 672 138.14Sale 995 137.8Sale 995 137.8Purchase 208 137.12Purchase 1,514 137.13Purchase 1,593 136.35Purchase 5,027 135.49Purchase 2,000 135.4Purchase 863 134.76Purchase 177 134.76Purchase 160 134.76Purchase 800 134.76Purchase 25 134.81Purchase 57 134.81Purchase 4 134.81Purchase 1,337 134.83Purchase 35 134.83Purchase 9 134.83Purchase 390 134.83Purchase 2 134.83Purchase 589 134.83Purchase 19 134.83Purchase 2,000 134.59Purchase 3,000 134.59Purchase 250 137.37Purchase 42 137.37Purchase 1 137.37Sale 200 137.37Sale 67 137.37Sale 26 137.2Purchase 75 136.88Sale 148 136.14Purchase 18 134.64Purchase 22 134.7Purchase 34 134.7Purchase 250 135.3Purchase 180 135.2Purchase 100 137.89Purchase 1,150 137.25Purchase 350 137.25Purchase 51 137.01Purchase 1 137.01Purchase 130 137.01Purchase 2 137.01Purchase 419 137.01Purchase 100 137.01Purchase 100 137.01Purchase 197 137.01Sale 148 136.96Sale 52 136.96Sale 200 136.96Sale 2 136.9Sale 1,067 136.9Sale 200 136.9Sale 89 136.9Purchase 250 136.8Purchase 34 136.5Sale 142 136.9Purchase 1,166 136.5Purchase 1,000 136.3Purchase 114 136.47Purchase 2 136.47Purchase 134 136.47Sale 1 136.11Sale 48 136.11Sale 44 136.11Sale 17 136.11Purchase 33 136.11Purchase 67 136.11Sale 500 135.93Sale 250 135.92Purchase 50 135.9Purchase 50 135.8Purchase 60 135.85Purchase 50 135.6Purchase 50 135.5Sale 36 135.41Sale 464 135.4Purchase 250 135.25Purchase 100 135.01Sale 464 135Sale 1,000 135Sale 1,000 135Sale 1,483 135Sale 536 135Sale 194 135Sale 500 135Sale 15 135Sale 500 135Sale 308 135Sale 900 134.8Sale 400 134.8Sale 200 134.76Sale 106 134.96Sale 4 134.95Purchase 131 134.47Purchase 1,000 135Purchase 180 134.74Purchase 20 134.8Purchase 334 134.8Purchase 779 134.83Purchase 120 134.83Purchase 6 134.9Purchase 60 134.9Purchase 1 134.9Purchase 200 134.72Purchase 75 134.76Sale 24 134.66Sale 51 134.66Sale 25 134.66Purchase 19 134.51Purchase 100 134.94Purchase 23 134.8Purchase 77 134.8Sale 216 134.77Purchase 100 134.76Sale 100 134.76Sale 384 134.71Purchase 200 135.1Purchase 504 135.1Purchase 7 135.1Purchase 2 135.1Purchase 150 135.1Purchase 337 135.1Sale 26 138Purchase 160 137.8Sale 173 134.59Sale 6,762 134.59 Annexure B Product Name Long/short Exec Quantity Exec PriceCFD Short 100 137.89CFD Short 1,150 137.25CFD Short 350 137.25CFD Short 51 137.01CFD Short 1 137.01CFD Short 130 137.01CFD Short 2 137.01CFD Short 419 137.01CFD Short 100 137.01CFD Short 100 137.01CFD Short 197 137.01CFD Long 148 136.96CFD Long 52 136.96CFD Long 200 136.96CFD Long 2 136.9CFD Long 1,067 136.9CFD Long 200 136.9CFD Long 89 136.9CFD Short 250 136.8CFD Short 34 136.5CFD Short 1,166 136.5CFD Long 142 136.9CFD Short 1,000 136.3CFD Short 114 136.47CFD Short 134 136.47CFD Short 2 136.47CFD Long 250 135.92CFD Long 1 136.11CFD Long 48 136.11CFD Long 44 136.11CFD Long 17 136.11CFD Short 33 136.11CFD Short 50 135.9CFD Short 50 135.8CFD Short 67 136.11CFD Long 500 135.93CFD Short 60 135.85CFD Long 464 135.4CFD Short 50 135.6CFD Long 500 135CFD Long 1,483 135CFD Long 106 134.96CFD Short 50 135.5CFD Short 250 135.25CFD Long 1,000 135CFD Long 36 135.41CFD Long 1,000 135CFD Short 100 135.01CFD Long 536 135CFD Long 464 135CFD Long 194 135CFD Long 15 135CFD Long 500 135CFD Long 308 135CFD Long 900 134.8CFD Long 400 134.8CFD Long 200 134.76CFD Long 4 134.95CFD Short 131 134.47CFD Short 20 134.8CFD Short 180 134.74CFD Short 1,000 135CFD Short 1 134.9CFD Short 334 134.8CFD Short 779 134.83CFD Short 6 134.9CFD Short 60 134.9CFD Short 120 134.83CFD Short 200 134.72CFD Short 75 134.76CFD Long 216 134.77CFD Long 51 134.66CFD Short 100 134.76CFD Long 24 134.66CFD Long 25 134.66CFD Short 19 134.51CFD Short 200 135.1CFD Short 23 134.8CFD Short 77 134.8CFD Short 100 134.94CFD Long 384 134.71CFD Long 100 134.76CFD Short 504 135.1CFD Short 150 135.1CFD Short 2 135.1CFD Short 7 135.1CFD Short 337 135.1CFD Long 173 134.59CFD Long 26 138CFD Short 160 137.8 Annexure C Product Writing, Number of Exercise Type Expiry date OptionName selling, securities price money paid/ purchasing, to which (AUD) received varying etc option per unit relates (AUD)Put Option Purchasing 1,100 135 American 20071129 3.5Put Option Purchasing 800 128 American 20071220 3.25Put Option Purchasing 100 125 American 20071220 2.05Put Option Purchasing 500 130 American 20071220 3.51Put Option Purchasing 500 130 American 20071220 3.6Warrant Selling 1,500 118 European 20071220 3.4Warrant Selling 5,847 118 European 20071220 3.41Warrant Selling 10,000 118 European 20071220 3.43Warrant Purchasing 1,500 118 European 20071220 3.38Warrant Selling 10,000 102 European 20071220 5.65Warrant Selling 10,000 102 European 20071220 5.65Warrant Purchasing 20,000 102 European 20071220 5.75Warrant Selling 10,000 120 European 20071220 0.535Warrant Selling 10,000 120 European 20071220 0.535Warrant Selling 10,000 120 European 20071220 0.535Warrant Selling 10,000 120 European 20071220 0.535Warrant Selling 10,000 120 European 20071220 0.535Warrant Purchasing 50,000 120 European 20071220 0.565Warrant Purchasing 20,000 100 European 20071220 6.27Warrant Purchasing 12,343 100 European 20071220 6.28Warrant Selling 10,000 110 European 20080124 5.32Warrant Selling 1,000 110 European 20080124 5.2Instalmentwarrant Purchasing 474 95.39Instalmentwarrant Selling 250 94.76Instalmentwarrant Selling 250 94.76Instalmentwarrant Purchasing 26 94.57Instalmentwarrant Selling 75 94.27Instalmentwarrant Purchasing 150 93.88Instalmentwarrant Selling 5,000 93.42Instalmentwarrant Selling 180 93.37Instalmentwarrant Selling 250 93.32Instalmentwarrant Selling 5,000 90.52Instalmentwarrant Purchasing 2,000 90.52Instalmentwarrant Purchasing 2,000 90.47Instalmentwarrant Purchasing 1,000 90.37Instalmentwarrant Purchasing 700 81.82Instalmentwarrant Selling 100 76Instalmentwarrant Selling 283 62.96Instalmentwarrant Selling 1,000 62.95Instalmentwarrant Purchasing 1,000 58.91Instalmentwarrant Purchasing 1,000 58.72Instalmentwarrant Purchasing 1,000 58.69Instalmentwarrant Selling 1,000 58.58Instalmentwarrant Selling 150 57.26Instalmentwarrant Selling 1,000 39.29Instalmentwarrant Selling 1,000 39.29Instalmentwarrant Purchasing 1,000 38.95Instalmentwarrant Purchasing 1,000 38.95Instalmentwarrant Purchasing 1,000 38.15Instalmentwarrant Purchasing 1,000 38.15Instalmentwarrant Selling 500 38Instalmentwarrant Purchasing 1,000 37.28Instalmentwarrant Selling 2,500 36.51Instalmentwarrant Selling 2,500 36.51 This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto