5th Aug 2008 11:19
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FORM 38.5 (SUMMARY) |
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Lodge with Company Announcements Office and the Panel. Use a separate form for each class of |
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securities in which dealings have been made. |
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CONNECTED EXEMPT PRINCIPLE TRADER: |
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DISCLOSURE UNDER RULE 38.5 OF THE CITY CODE ON TAKEOVERS AND MERGERS |
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Name of EPT |
Merrill Lynch International |
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Date of disclosure |
05 August 2008 |
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Date of dealing |
04 August 2008 |
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Telephone number |
020 7996 2121 |
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Please see attached disclosure of dealings under Rule 38.5 in the securities of the following companies: |
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04 August 2008 |
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Rio Tinto Plc - Common |
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Imperial Energy Corporation Plc - Common |
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British Energy Group Plc - Common |
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Banco Santander SA. - Common |
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AMENDMENT |
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state which element(s) of previous disclosure was incorrect: |
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In the case of option business or dealings in derivatives full details should be given on a separate sheet so |
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that the nature of the dealings can be fully understood. For options this should include the number of |
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securities under option, the exercise period (or in the case of exercise, the exercise date), the exercise price |
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and any option money paid or received. For derivatives this should include, at least, the number of reference |
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securities to which they relate (when relevant), the maturity date (or if applicable the closing out date) and the |
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reference price. |
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For full details of disclosure requirements see Rules 8 and 38 of the Code. If in doubt contact the Monitoring |
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Section of the Panel, Tel. No:0207 638 0129 |
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FORM 38.5(a) |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
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(Rule 38.5 of The City Code on Takeovers and Mergers) |
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1. KEY INFORMATION |
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Name of exempt principal trader |
Merrill Lynch International |
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Company dealt in |
Rio Tinto Plc |
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Class of relevant security to which the |
Common |
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dealings being disclosed relate |
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Date of dealing |
04/08/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
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Total number of securities |
Highest price paid |
Lowest price paid |
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purchased |
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776,544 |
GBP 50.80 |
GBP 48.00 |
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Total number of securities sold |
Highest price received |
Lowest price received |
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734,495 |
GBP 50.93 |
GBP 47.94 |
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(b) Derivatives transactions (other than options) |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
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eg. CFD |
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Long Swap |
LONG |
1,550 |
GBP 49.27 |
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Long Swap |
LONG |
3,250 |
GBP 49.27 |
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Long Swap |
LONG |
27,648 |
GBP 49.19 |
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Long Swap |
LONG |
5 |
GBP 50.34 |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
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eg. CFD |
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Short Swap |
SHORT |
1,500 |
GBP 48.26 |
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Short Swap |
SHORT |
16,325 |
GBP 49.94 |
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Short Swap |
SHORT |
15,604 |
GBP 48.04 |
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Short Swap |
SHORT |
5,172 |
GBP 49.94 |
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Short Swap |
SHORT |
3,250 |
GBP 50.05 |
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Short Swap |
SHORT |
1,550 |
GBP 50.05 |
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Short Swap |
SHORT |
70 |
GBP 48.39 |
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Short Swap |
SHORT |
590 |
GBP 48.39 |
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Short Swap |
SHORT |
500 |
GBP 48.26 |
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Short Swap |
SHORT |
500 |
GBP 48.26 |
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Short Swap |
SHORT |
390 |
GBP 48.19 |
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Short Swap |
SHORT |
350 |
GBP 48.18 |
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Short Swap |
SHORT |
300 |
GBP 48.41 |
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Short Swap |
SHORT |
100 |
GBP 48.41 |
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Short Swap |
SHORT |
2,000 |
GBP 47.98 |
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(c) Options transactions in respect of existing securities |
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(i) Writing, selling, purchasing or varying |
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Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry date |
Option |
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selling, |
securities under |
price |
American, |
money |
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eg call option |
purchasing, |
option |
European etc |
paid/received |
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varying etc. |
per unit |
|
Warrant |
Selling |
-10,000 |
£0.12 |
AMERICAN |
18-Sep-09 |
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Warrant |
Selling |
-3,000 |
£1.60 |
AMERICAN |
17-Apr-09 |
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(ii) Exercising |
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Product name |
Number of securities under |
Exercise price |
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eg call option |
option |
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3. OTHER INFORMATION |
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Agreements, arrangements or understandings relating to options or derivatives |
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Full details of any agreement, arrangement or understanding between the person disclosing and any |
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other person relating to the voting rights of any relevant securities under any option referred to on this |
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form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
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any derivative referred to on this form is referenced. If none, this should be stated. |
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NONE |
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Date of disclosure |
05/08/2008 |
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Contact name |
Louise Howard |
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Telephone number |
+44 20 7996 2121 |
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Name of offeree/offeror with whom connected |
BHP Billiton Plc |
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Nature of connection # |
Advisor |
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FORM 38.5 |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
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(Rule 38.5 of The City Code on Takeovers and Mergers) |
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1. KEY INFORMATION |
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Name of exempt principal trader |
Merrill Lynch International |
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Company dealt in |
Banco Santander SA. |
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Class of relevant security to which the |
Common |
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dealings being disclosed relate |
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Date of dealing |
04/08/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
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Total number of securities |
Highest price paid |
Lowest price paid |
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purchased |
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2,170,864 |
EUR 12.04 |
EUR 11.80 |
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Total number of securities sold |
Highest price received |
Lowest price received |
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2,819,452 |
EUR 12.13 |
EUR 11.78 |
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(b) Derivatives transactions (other than options) |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
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eg. CFD |
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Long Swap |
LONG |
39,033 |
EUR 11.89 |
|
Long Swap |
LONG |
23,780 |
EUR 11.91 |
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Long Swap |
LONG |
19,895 |
EUR 11.89 |
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Long Swap |
LONG |
11,271 |
EUR 11.95 |
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Long Swap |
LONG |
4,435 |
EUR 11.89 |
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Long Swap |
LONG |
22 |
EUR 12.00 |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
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eg. CFD |
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Short Swap |
SHORT |
5,695 |
GBP 9.48 |
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Short Swap |
SHORT |
40,660 |
EUR 11.82 |
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Short Swap |
SHORT |
150,000 |
EUR 11.85 |
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Short Swap |
SHORT |
160,000 |
EUR 11.82 |
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Short Swap |
SHORT |
240,000 |
EUR 11.82 |
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Short Swap |
SHORT |
349,165 |
EUR 11.86 |
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(c) Options transactions in respect of existing securities |
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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 |
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(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
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3. OTHER INFORMATION |
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Agreements, arrangements or understandings relating to options or derivatives |
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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. |
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NONE |
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Date of disclosure |
05/08/2008 |
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Contact name |
Louise Howard |
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Telephone number |
+44 20 7996 2121 |
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Name of offeree/offeror with whom connected |
Banco Santander SA. |
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Nature of connection # |
Advisor |
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FORM 38.5(a) |
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DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITH |
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RECOGNISED INTERMEDIARY STATUS DEALING IN CLIENT-SERVICING |
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CAPACITY |
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(Rule 38.5(a) of The City Code on Takeovers and Mergers) |
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1. KEY INFORMATION |
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Name of exempt principal trader |
Merrill Lynch International |
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Company dealt in |
Imperial Energy Corporation Plc |
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Class of relevant security to which the |
Common |
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dealings being disclosed relate |
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Date of dealing |
04/08/2008 |
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2. DEALINGS |
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(a) Purchases and sales |
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Total number of securities |
Highest price paid |
Lowest price paid |
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purchased |
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734,340 |
GBP 11.75 |
GBP 11.20 |
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Total number of securities sold |
Highest price received |
Lowest price received |
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788,557 |
GBP 11.79 |
GBP 11.22 |
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(b) Derivatives transactions (other than options) |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
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 |
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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 |
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Date of disclosure |
05/08/2008 |
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Contact name |
Louise Howard |
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Telephone number |
+44 20 7996 2121 |
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Name of offeree/offeror with whom connected |
Imperial Energy Corporation Plc |
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Nature of connection # |
Advisor |
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FORM 38.5 |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
(Rule 38.5 of The City Code on Takeovers and Mergers) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
British Energy Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
04/08/2008 |
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2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
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purchased |
|
509,934 |
GBP 7.21 |
GBP 6.96 |
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Total number of securities sold |
Highest price received |
Lowest price received |
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483,038 |
GBP 7.21 |
GBP 7.00 |
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(b) Derivatives transactions (other than options) |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
53,581 |
GBP 7.14 |
|
Long Swap |
LONG |
80 |
GBP 7.07 |
|
Long Swap |
LONG |
2,132 |
GBP 7.14 |
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Long Swap |
LONG |
3,162 |
GBP 7.17 |
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Long Swap |
LONG |
3,956 |
GBP 7.14 |
|
Long Swap |
LONG |
21,620 |
GBP 7.07 |
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Long Swap |
LONG |
60 |
GBP 7.20 |
|
Long Swap |
LONG |
27,311 |
GBP 7.14 |
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Product name, |
Short/Long |
Number of securities |
Price per unit |
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eg. CFD |
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Short Swap |
SHORT |
190 |
GBP 7.17 |
|
Short Swap |
SHORT |
33,904 |
GBP 7.09 |
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Short Swap |
SHORT |
19,960 |
GBP 7.10 |
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Short Swap |
SHORT |
2,000 |
GBP 7.13 |
|
Short Swap |
SHORT |
1,240 |
GBP 7.18 |
|
Short Swap |
SHORT |
1,200 |
GBP 7.17 |
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Short Swap |
SHORT |
660 |
GBP 7.18 |
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Short Swap |
SHORT |
37,200 |
GBP 7.13 |
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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 |
05/08/2008 |
|
Contact name |
Louise Howard |
|
Telephone number |
+44 20 7996 2121 |
|
Name of offeree/offeror with whom connected |
EDF S.A |
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Nature of connection # |
Advisor |
Related Shares:
Banco SantanderRio Tinto