24th Oct 2008 11:04
|
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 dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
23/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
3,926,028 |
GBP 18.00 |
GBP 7.69 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,490,943 |
GBP 8.60 |
GBP 7.64 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
3,900 |
GBP 7.76 |
|
Long Swap |
LONG |
192,769 |
GBP 8.10 |
|
Long Swap |
LONG |
53,899 |
GBP 8.31 |
|
Long Swap |
LONG |
30,000 |
GBP 8.35 |
|
Long Swap |
LONG |
27,390 |
GBP 8.10 |
|
Long Swap |
LONG |
14,000 |
GBP 7.78 |
|
Long Swap |
LONG |
10,500 |
GBP 8.45 |
|
Long Swap |
LONG |
7,512 |
GBP 7.80 |
|
Long Swap |
LONG |
6,047 |
GBP 7.88 |
|
Long Swap |
LONG |
6,000 |
GBP 8.23 |
|
Long Swap |
LONG |
54 |
GBP 8.16 |
|
Long Swap |
LONG |
3,900 |
GBP 7.82 |
|
Long Swap |
LONG |
794,971 |
GBP 8.16 |
|
Long Swap |
LONG |
3,825 |
GBP 7.88 |
|
Long Swap |
LONG |
3,627 |
GBP 8.52 |
|
Long Swap |
LONG |
3,488 |
GBP 8.11 |
|
Long Swap |
LONG |
3,332 |
GBP 8.13 |
|
Long Swap |
LONG |
3,100 |
GBP 7.82 |
|
Long Swap |
LONG |
2,600 |
GBP 8.10 |
|
Long Swap |
LONG |
2,500 |
GBP 8.21 |
|
Long Swap |
LONG |
2,500 |
GBP 8.10 |
|
Long Swap |
LONG |
2,041 |
GBP 8.45 |
|
Long Swap |
LONG |
2,032 |
GBP 7.88 |
|
Long Swap |
LONG |
6,000 |
GBP 7.78 |
|
Long Swap |
LONG |
424,679 |
GBP 8.13 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
7,208 |
GBP 8.32 |
|
Short Swap |
SHORT |
952 |
GBP 7.98 |
|
Short Swap |
SHORT |
2,500 |
GBP 8.60 |
|
Short Swap |
SHORT |
2,500 |
GBP 8.18 |
|
Short Swap |
SHORT |
2,728 |
GBP 8.28 |
|
Short Swap |
SHORT |
3,100 |
GBP 7.82 |
|
Short Swap |
SHORT |
3,825 |
GBP 7.98 |
|
Short Swap |
SHORT |
3,900 |
GBP 7.82 |
|
Short Swap |
SHORT |
3,900 |
GBP 7.80 |
|
Short Swap |
SHORT |
4,527 |
GBP 8.32 |
|
Short Swap |
SHORT |
5,668 |
GBP 8.51 |
|
Short Swap |
SHORT |
794,971 |
GBP 8.17 |
|
Short Swap |
SHORT |
6,106 |
GBP 8.37 |
|
Short Swap |
SHORT |
7,512 |
GBP 7.74 |
|
Short Swap |
SHORT |
10,440 |
GBP 8.42 |
|
Short Swap |
SHORT |
10,500 |
GBP 8.46 |
|
Short Swap |
SHORT |
14,000 |
GBP 7.83 |
|
Short Swap |
SHORT |
21,944 |
GBP 0.00 |
|
Short Swap |
SHORT |
27,272 |
GBP 8.28 |
|
Short Swap |
SHORT |
104,781 |
GBP 8.32 |
|
Short Swap |
SHORT |
192,769 |
GBP 0.00 |
|
Short Swap |
SHORT |
388,494 |
GBP 8.11 |
|
Short Swap |
SHORT |
55 |
GBP 0.00 |
|
Short Swap |
SHORT |
6,000 |
GBP 8.22 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 |
24/10/2008 |
|
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 dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
23/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
7,905 |
GBP 6.35 |
GBP 6.34 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
8,974 |
GBP 6.32 |
GBP 6.31 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
3,533 |
GBP 6.34 |
|
Long Swap |
LONG |
1,600 |
GBP 6.35 |
|
Long Swap |
LONG |
1,219 |
GBP 6.35 |
|
Long Swap |
LONG |
1,153 |
GBP 6.34 |
|
Long Swap |
LONG |
400 |
GBP 6.35 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
12 |
GBP 6.31 |
|
Short Swap |
SHORT |
400 |
GBP 6.32 |
|
Short Swap |
SHORT |
515 |
GBP 6.32 |
|
Short Swap |
SHORT |
669 |
GBP 6.32 |
|
Short Swap |
SHORT |
912 |
GBP 6.32 |
|
Short Swap |
SHORT |
1,406 |
GBP 6.31 |
|
Short Swap |
SHORT |
1,527 |
GBP 6.32 |
|
Short Swap |
SHORT |
3,533 |
GBP 6.31 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 |
24/10/2008 |
|
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 dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
23/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
2,090,416 |
GBP 22.99 |
GBP 20.37 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,994,167 |
GBP 22.93 |
GBP 20.33 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
348,278 |
GBP 21.75 |
|
Long Swap |
LONG |
992 |
GBP 21.05 |
|
Long Swap |
LONG |
1,998 |
GBP 21.26 |
|
Long Swap |
LONG |
2,066 |
GBP 21.75 |
|
Long Swap |
LONG |
4,000 |
GBP 21.19 |
|
Long Swap |
LONG |
4,481 |
GBP 21.69 |
|
Long Swap |
LONG |
4,815 |
GBP 21.55 |
|
Long Swap |
LONG |
5,230 |
GBP 21.02 |
|
Long Swap |
LONG |
8,382 |
GBP 21.75 |
|
Long Swap |
LONG |
19,680 |
GBP 22.24 |
|
Long Swap |
LONG |
650 |
GBP 21.02 |
|
Long Swap |
LONG |
149,233 |
GBP 21.55 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
630 |
GBP 22.84 |
|
Short Swap |
SHORT |
153,714 |
GBP 21.61 |
|
Short Swap |
SHORT |
29,081 |
GBP 22.13 |
|
Short Swap |
SHORT |
13,433 |
GBP 22.13 |
|
Short Swap |
SHORT |
5,043 |
GBP 22.31 |
|
Short Swap |
SHORT |
4,500 |
GBP 21.35 |
|
Short Swap |
SHORT |
4,000 |
GBP 21.26 |
|
Short Swap |
SHORT |
3,919 |
GBP 21.54 |
|
Short Swap |
SHORT |
2,800 |
GBP 22.18 |
|
Short Swap |
SHORT |
2,699 |
GBP 21.61 |
|
Short Swap |
SHORT |
911 |
GBP 22.55 |
|
Short Swap |
SHORT |
348,278 |
GBP 21.76 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 |
24/10/2008 |
|
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 dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
23/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
1,905,704 |
GBP 1.73 |
GBP 1.67 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,711,325 |
GBP 1.72 |
GBP 1.67 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
642,853 |
GBP 1.70 |
|
Long Swap |
LONG |
155,232 |
GBP 1.68 |
|
Long Swap |
LONG |
150,000 |
GBP 1.71 |
|
Long Swap |
LONG |
65,000 |
GBP 1.71 |
|
Long Swap |
LONG |
55,958 |
GBP 1.70 |
|
Long Swap |
LONG |
31,854 |
GBP 1.69 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
127 |
GBP 1.69 |
|
Short Swap |
SHORT |
31,854 |
GBP 1.70 |
|
Short Swap |
SHORT |
63,048 |
GBP 1.69 |
|
Short Swap |
SHORT |
92,184 |
GBP 1.70 |
|
Short Swap |
SHORT |
642,853 |
GBP 1.70 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call 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 |
24/10/2008 |
|
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 GroupLloydsRio Tinto