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EPT Disclosure

2nd Oct 2008 12:03

RNS Number : 9407E
Citigroup GM Australia Pty Ltd
02 October 2008
 



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 dealings being disclosed relate (Note 1)

Ord/Equity

Date of dealing

01 October 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 

583,707  (0.13%)

 215,238 (0.05%)

(2) Derivatives (other than options)

(0.00%)

 (0.00%)

(3) Options and agreements to purchase/sell

518,593  (0.11%)

 2,228,423 (0.49%)

Total

1,102,300  (0.24%)

2,443,661  (0.54%)

(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

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%)

  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)

45184

96.9

42398

84.5

6720

95

6500

95

4853

96.9

4527

97

4333

97

3322

96.5

3249

96.9

3073

94.01

3000

96.5

3000

94.01

2748

94.7

2716

96.9

2710

96.61

2369

94.26

2052

94.7

2000

96.42

2000

96.9

2000

96.9

2000

96.9

1950

96.61

1934

94.7

1915

93.37985

1807

96.9

1700

93.8

1645

94.01

1641

94.7

1574

94.7

1297

97

1243

90.1

1237

96.9

1199

94.01

1173

96.42

1134

96.5

1000

94.7

1000

96.95

1000

96.99

1000

97

1000

96.9

980

96.9

971

94.26

906

97

876

96.9

868

94.37685

788

96.4

700

96.99

647

95.46

642

96.42

550

96.5

545

96.5

500

93.81

500

96.49

500

96.9

500

96.99

500

97

500

97

500

97

500

94.26

500

94.26

469

96.89

454

93.8

453

94.25

452

96.9

447

92.8

447

93

446

94.22

444

93.01

441

92.8

441

94.2

440

97.64

406

94.7

400

97

400

97

356

96.97

340

97.64

340

97.64

331

94.19

331

94.1139

312

94.22

305

94.3

300

97

300

97.61

282

94.25

280

97

250

97.65

250

96.97

245

94.01

243

94.2

228

98.32439

221

93.8

217

97

200

94.7

200

90.1

199

93

194

94.2

194

94.38

193

96.5

190

94.22

185

94.31

178

98.07742

174

94.7

172

90.15768

170

96.5

170

96.61

170

96.61

170

96.75

170

96.97

153

96.9

151

96.48

150

96.9

148

94.3

140

97.61

135

94.01

135

94.04

135

94.39

135

94.2

135

94.2

135

94.06

135

94.15

128

90

128

94.23

128

97.15

128

98

126

97.64

122

94.25

117

97

115

96.5

115

96.88

113

96.5

110

96.5

107

90.1

105

94.7

103

94.38

102

95.22

102

96.98

101

94.22

101

94.24

100

94.26

100

94.7

100

96.42

100

96.49

100

96.89

100

96.99

100

97

100

97

100

96.9

100

94.01

100

97.65

99

97

97

97.64

94

94.34

91

94.37

88

94.2

88

97.47

80

94.22

79

95.9

78

94.2

75

95.31

73

94.34

70

96.5

68

94.25

66

94.38

66

94.36

66

94.52

59

96.5

56

96.9

55

97

54

94.21

53

94.26

50

97.65

50

96.51

50

94.1

50

96.49

50

97

50

90.1

47

94.19

45

94.38

45

94.43244

44

94.01

44

94.38

44

94.35

36

96.5

35

94.38

35

89.58

35

94.39

35

94.6

34

89.98

34

96.42

34

96.42

34

94.25

34

94.22

34

94.24

34

94.61

30

94.13

29

97.51

25

94.25

22

94.34

21

94.19

17

89.91

16

93.05

14

89.98

12

94.19

11

96.49

11

94.22

6

92.75

5

94.01

5

94.25

5

94.22

5

94.22

3

94.01

2

96.9

2

94.22

2

94.01

1

89.98

1

94.38

1

96.86

1

96.97

1

94.22

1

94.22

1

94.22

1

94.18

1

94.22

1

94.27

1

94.2

1

90.15

1

90.14

1

90

1

90.01

1

90.01

1

90.01

1

93.64

1

93.64

1

93.64

1

93.64

1

94.23

1

94.32

1

94.38

1

94.4

1

97.47

1

97.47

1

97.47

1

97.47

1

98.37

1

98.39

1

98.39

1

98.39

1

98.32

1

98.4

1

97.99

1

95.31

1

95.31

1

93.99

1

93.99

1

94.01

1

94.01

1

94.01

1

94.01

1

94.39

1

94.44

1

94.44

1

94.44

1

94.44

1

94.22

1

94.25

1

94.25

1

94.24

1

94.24

1

94.36

1

94.36

1

94.5

1

94.5

1

94.7

1

94.7

1

94.7

1

94.7

1

94.7

1

94.7

1

94.7

1

94.7

1

94.52

1

94.49

1

94.48

1

94.48

1

94.47

1

94.48

1

94.48

1

94.38

1

94.37

1

94.37

1

94.37

1

94.37

1

94.36

1

94.35

1

94.35

1

94.35

1

94.34

1

94.35

1

94.35

1

94.34

1

94.33

1

94.34

1

94.34

1

94.34

1

94.22

1

94.22

1

94.22

1

94.22

1

94.2

1

94.35

1

94.2

1

94.2

1

94.2

1

94.16

1

94.1

1

94.2

1

94.2

1

94.2

1

94.2

1

94.14

1

94.14

1

94.06

1

94.14

1

94.14

Total

212,105

Sales

Number of securities

Price per unit (Note 4)

AUD (unless stated)

-1

90.15

-1

90.15

-1

90

-1

98.32

-1

94.4

-1

98.4

-1

98.4

-1

90.13

-1

90.13

-1

90.01

-1

90.01

-1

90

-1

90

-1

93.4

-1

93.39

-1

93.4

-1

93.4

-1

94.31

-1

94.32

-1

94.32

-1

94.31

-1

94.37

-1

97.16

-1

97.22

-1

97.23

-1

97.24

-1

98.31

-1

98.32

-1

98.33

-1

98.34

-1

98.38

-1

98.38

-1

98.01

-1

95.21

-1

95.21

-1

93.74

-1

93.74

-1

93.73

-1

94.01

-1

93.97

-1

93.97

-1

93.97

-1

94.39

-1

94.39

-1

94.41

-1

94.41

-1

94.4

-1

94.23

-1

94.23

-1

94.24

-1

94.25

-1

94.25

-1

94.25

-1

94.23

-1

94.24

-1

94.25

-1

94.26

-1

94.29

-1

94.36

-1

94.44

-1

94.44

-1

94.44

-1

94.44

-1

94.44

-1

94.47

-1

94.51

-1

94.52

-1

94.53

-1

94.53

-1

94.57

-1

94.61

-1

94.61

-1

94.62

-1

94.61

-1

94.38

-1

94.39

-1

94.38

-1

94.35

-1

94.35

-1

94.35

-1

94.32

-1

94.35

-1

94.36

-1

94.39

-1

94.32

-1

94.32

-1

94.32

-1

94.32

-1

94.28

-1

94.28

-1

94.28

-1

94.28

-1

94.14

-1

94.18

-1

94.18

-1

94.21

-1

94.27

-1

94.22

-1

94.2

-1

94.21

-1

94.22

-1

94.06

-1

94.06

-1

94.06

-1

94.1

-1

94.11

-1

94.11

-1

94.11

-1

94.06

-1

94.06

-1

94.07

-1

94.11

-1

94.05

-2

90.15

-2

93.97

-3

96.52

-3

94.51

-3

94.35

-3

94.21

-3

94.05

-4

90.15

-4

98.32

-4

96.6

-6

92.75

-6

94.22

-7

94.2

-8

94.24

-8

98.4

-8

94.21

-9

90.15

-9

90

-10

90

-10

90

-10

97.29

-12

98.4

-14

98.32

-14

94.31

-14

94.23

-14

94.05

-14

94.05

-15

94.5

-16

93.05

-17

89.96

-19

94.28

-20

89.96

-20

94.5

-22

94.2

-25

90.15

-25

94.32

-28

96.6

-29

97.51

-30

90.15

-32

94.61

-32

94.35

-33

94.61

-34

94.29

-34

94.61

-34

94.35

-34

94.22

-35

94.24

-35

94.38

-35

94.05

-36

94.22

-38

89.96

-38

94.23

-40

94.4

-41

90

-44

90.18

-44

94.32

-45

98.4

-45

94.38

-49

96.52

-49

94.41

-50

98

-50

89.86

-50

98.4

-50

98.4

-55

90.15

-55

94.2

-60

94.2

-62

94.06

-63

93.38

-66

94.38

-70

96.4

-73

94.05

-75

95.31

-75

95.21

-76

96.98

-76

96.59

-76

94.5

-80

94.5

-82

98.4

-86

94.4

-86

94.19

-88

97.47

-91

94.32

-94

94.24

-95

94.4

-97

97.64

-100

90.15

-100

90

-100

90

-100

98.33

-100

98.32

-100

98.32

-100

98.32

-100

98.32

-100

89.86

-100

89.86

-100

89.86

-100

97.08

-100

96.52

-100

94.5

-100

94.5

-100

94.29

-100

98.4

-100

98.4

-100

95

-100

97.65

-100

94.51

-102

98.4

-103

98.32

-103

94.44

-111

94.2

-113

94.31

-114

94.5

-118

94.5

-118

97.22

-126

97.64

-128

90

-128

98

-128

97.15

-128

94.23

-128

90

-128

98.32

-128

94.05

-134

93.52

-135

94.06

-135

94.1

-140

97.61

-147

94.05

-150

98.32

-150

95.48

-152

96.59

-152

96.79

-170

96.6

-172

90.15768

-172

89.83

-176

94.44

-178

98.07742

-181

97.15

-190

94.35

-195

95

-199

93

-200

94.28

-200

98.4

-200

98.4

-222

90

-227

94.05

-228

98.32439

-241

94.3

-245

94.01

-255

93.38

-268

94.31

-295

90

-300

93.38

-300

96.6

-300

97.61

-301

98.4

-314

98.4

-340

97.64

-340

97.64

-383

94.26

-400

89.86

-400

95.91

-406

94.53

-440

97.64

-441

92.8

-444

93.01

-447

92.8

-447

93

-450

89.86

-450

98.4

-459

94.26

-499

94.31

-500

94.43

-500

94.26

-500

94.26

-500

94.26

-500

94.05

-502

96.6

-567

94.5

-600

98.4

-612

94.23

-648

90

-650

94.35

-726

98.01

-750

98.4

-759

90

-853

94.23

-870

94.2

-967

93.38

-970

94.5

-971

94.26

-1000

98.4

-1062

94.27

-1096

98.01

-1158

94.3

-1200

90

-1450

98

-1521

94.23

-1682

94.01

-1872

98

-1915

93.37985

-1921

90

-1952

94.2

-2000

94.2

-2000

92.91307

-2392

94.35

-2500

98.32

-2653

94.23

-3066

94.51

-3073

94.01

-3372

90

-3911

98.4

-4000

98.4

-5000

98.4

-7723

98.4

-15128

84.5

-42398

84.5

Total

150,635

 (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)

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Product name,

e.g. call option

(C = call option;

 P = put option)

Writing, selling, purchasing, varying etc.

Number of securities to which the option relates (Note 6)

Exercise

Price (AUD) 

Type, e.g. American, European etc.

Expiry 

date

Option money

paid/received per unit (AUD) (Note 4) 

C

Purchasing

120000

115

E

20090326

1.18

P

Purchasing

-10200

100

E

20081218

2.09

C

Purchasing

6000

115

E

20090326

1.61

C

Purchasing

1000

80

E

20090423

27.5

C

Purchasing

1000

80

E

20090423

27.5

C

Purchasing

200

80

E

20090423

28.53

C

Purchasing

200

80

E

20090423

28.91

C

Purchasing

200

80

E

20090423

28.84

C

Purchasing

200

80

E

20090423

28.54

C

Purchasing

100

75

E

20090924

33.9

C

Purchasing

100

80

E

20090423

28.17

C

Purchasing

100

80

E

20090423

29

C

Purchasing

100

80

E

20090423

28.16

P

Purchasing

-2000

80

A

20111222

15.75

P

Purchasing

-2000

80

A

20111222

15.45

P

Purchasing

-1000

75

A

20111222

13.5

P

Purchasing

-1000

75

A

20111222

13.5

C

Selling

-25

80

E

20090423

24.39

C

Selling

-100

75

E

20090924

38.51

C

Selling

-137

80

E

20090423

28.16

C

Selling

-140

110

A

20081218

4.14

C

Selling

-291

75

E

20090924

38.51

C

Selling

-3300

95

E

20090326

2.45

C

Selling

-863

80

E

20090423

28.18

C

Selling

-6000

115

E

20081218

0.93

C

Selling

-6000

115

E

20081218

0.8

C

Selling

-1750

58.592

A

20120628

46.26

P

Selling

12000

90

E

20081218

1.4

P

Selling

30000

100

E

20081218

2

C

Selling

-30000

115

E

20081218

0.725

C

Selling

-30000

115

E

20081218

0.905

C

Selling

-30000

115

E

20081218

0.81

C

Selling

-60000

115

E

20081218

0.79

(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.

NONE

Is a Supplemental Form 38.5(b) attached? (Note 8) YES

Date of disclosure

02 October 2008

Contact name

Selina Campbell

Telephone number

02890 409538

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 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 1)

Product name,

e.g. call option

Written or purchased

Number of securities to which the option or derivative relates

Exercise price (Note 2)

Type, e.g. American, European etc.

Expiry date

P Option

Purchased

-6646

37.6132

E

20091001

P Option

Purchased

-6415

77.94

E

20100219

P Option

Purchased

-2591

38.5842

E

20091201

P Option

Purchased

-1273

78.5

E

20110630

P Option

Purchased

-1152

43.3704

E

20100628

P Option

Purchased

-1152

43.3704

E

20100628

P Option

Purchased

-561

89

E

20100809

P Option

Purchased

-514

77.8

E

20090630

P Option

Purchased

-464

95.75

E

20100629

P Option

Purchased

-422

138.11

E

20120416

P Option

Purchased

-388

77.2

E

20110627

P Option

Purchased

-332

75.22

E

20100524

P Option

Purchased

-302

82.55

E

20100517

P Option

Purchased

-290

95.75

E

20100628

P Option

Purchased

-222000

78.46

A

20090924

P Option

Purchased

-208

95.7

E

20120905

P Option

Purchased

-203

98.22

E

20120912

P Option

Purchased

-191

78.5

E

20110630

P Option

Purchased

-191

78.5

E

20110630

P Option

Purchased

-112000

68.66

A

20090924

P Option

Purchased

-90000

110

A

20081218

P Option

Purchased

-73000

75

A

20111222

P Option

Purchased

-61000

80

A

20111222

P Option

Purchased

-50000

122

A

20081218

P Option

Purchased

-44000

72

A

20081218

P Option

Purchased

-25000

115

A

20081030

P Option

Purchased

-15000

120

A

20081030

P Option

Purchased

-8000

121

A

20081127

P Option

Purchased

-5000

68

A

20101223

C Option

Purchased

2000

78.46

A

20090924

P Option

Purchased

-2000

77

A

20111222

C Option

Purchased

1000

138

A

20081030

C Option

Written

-1000

116

A

20081030

C Option

Written

-5000

105

A

20081030

C Option

Written

-10000

104

A

20081030

C Option

Written

-33000

85

A

20111222

C Option

Written

-50000

122

A

20081218

C IWarrant

Written

-70

105

A

20081127

P Option

Written

71

141.69

A

20130627

C Option

Written

-75000

56.89

A

20090924

P Option

Written

77

129.41

A

20121220

P Option

Written

78

128.75

A

20130228

P Option

Written

79

127.31

A

20130228

P Option

Written

81

124.35

A

20130228

P Option

Written

87

143.31

A

20130627

P Option

Written

88

141.79

A

20110630

P Option

Written

88

141.69

A

20110630

P Option

Written

90

139.04

A

20130627

P Option

Written

99

141.75

A

20130627

P Option

Written

107

139.59

A

20130627

P Option

Written

115

130.34

A

20121220

P Option

Written

117

128.71

A

20110224

P Option

Written

138

92.66

A

20110728

P Option

Written

140000

130

A

20081218

P Option

Written

141

93.6

A

20110728

P Option

Written

159

94.02

A

20110728

P Option

Written

160

131.2

A

20130328

P Option

Written

177

140.36

A

20130627

P Option

Written

191

78.5

E

20110630

P Option

Written

191

78.5

E

20110630

P Option

Written

191

78.5

E

20110630

P Option

Written

191

78.5

E

20110630

P Option

Written

203

98.22

E

20120912

P Option

Written

203

98.22

E

20120912

P Option

Written

208

95.7

E

20120905

P Option

Written

208

95.7

E

20120905

P Option

Written

266

94.08

A

20110728

P Option

Written

268

135.22

A

20110412

C IWarrant

Written

-270

65

A

20081127

C IWarrant

Written

-275

80

E

20090423

P Option

Written

290

95.75

E

20100628

P Option

Written

290

95.75

E

20100628

P Option

Written

296

135.38

A

20130725

P Option

Written

302

82.55

E

20100517

P Option

Written

302

82.55

E

20100517

P Option

Written

330

136.18

A

20130627

P Option

Written

332

75.22

E

20100524

P Option

Written

332

75.22

E

20100524

P Option

Written

365

137

A

20130328

P Option

Written

388

77.2

E

20110627

P Option

Written

388

77.2

E

20110627

C IWarrant

Written

-391

75

E

20090924

P Option

Written

392

131.14

A

20121011

P Option

Written

400

131.96

A

20130205

P Option

Written

405

98.1

A

20100625

P Option

Written

422

138.11

E

20120416

P Option

Written

422

138.11

E

20120416

P Option

Written

464

95.75

E

20100629

P Option

Written

464

95.75

E

20100629

P Option

Written

514

77.8

E

20090630

P Option

Written

514

77.8

E

20090630

P Option

Written

561

89

E

20100809

P Option

Written

561

89

E

20100809

P Option

Written

725

138

A

20130228

C SFIWarrant

Written

-732

59.227

A

20130627

P Option

Written

869

89.4361

A

20110207

P Option

Written

873

137.5

A

20130725

C IWarrant

Written

-885

88

E

20091215

P Option

Written

1132

83.22

A

20111007

P Option

Written

1152

43.3704

E

20100628

P Option

Written

1152

43.3704

E

20100628

P Option

Written

1152

43.3704

E

20100628

P Option

Written

1152

43.3704

E

20100628

P Option

Written

1188

105.3

A

20110523

C Option

Written

-7200

115

E

20090326

P Option

Written

1273

78.5

E

20110630

P Option

Written

1273

78.5

E

20110630

C IWarrant

Written

-1290

95

A

20081218

P Option

Written

1370

85.0735

A

20110228

P Option

Written

1592

153.6

A

20130107

P Option

Written

1936

174.48

A

20130521

C IWarrant

Written

-1948

66

E

20091215

P Option

Written

1976

160.932

A

20121128

P Option

Written

12000

90

E

20081218

C Option

Written

-12300

95

E

20090326

C IWarrant

Written

-2140

110

A

20081218

P Option

Written

2248

73.8533

A

20101229

C IWarrant

Written

-2491

85

A

20100623

P Option

Written

2591

38.5842

E

20091201

P Option

Written

2591

38.5842

E

20091201

P Option

Written

2862

119

A

20120711

P Option

Written

2994

85.04

A

20110328

P Option

Written

3105

99.8

A

20110428

P Option

Written

3188

115.61

A

20120613

P Option

Written

3388

164.66

A

20121227

P Option

Written

3801

96.12

A

20110623

P Option

Written

4320

99.12

A

20120425

P Option

Written

4420

88.07

A

20110623

P Option

Written

4886

97.272

A

20120828

P Option

Written

5066

109.19

A

20120530

P Option

Written

5428

92.64

A

20110624

P Option

Written

5810

119.75

A

20120628

P Option

Written

6268

88.6

A

20120327

P Option

Written

6415

77.94

E

20100219

P Option

Written

6415

77.94

E

20100219

P Option

Written

6528

116.82

A

20120711

P Option

Written

6646

37.6132

E

20091001

P Option

Written

6646

37.6132

E

20091001

C IWarrant

Written

-6787

64

A

20090619

P Option

Written

6789

94.91

A

20110623

P Option

Written

108000

100

E

20081218

C SFIWarrant

Written

-23989

58.592

A

20120628

P Option

Written

30588

56.0324

E

20081103

P Option

Written

40000

74.25

E

20110727

P Option

Written

50979

56.1501

A

20101011

C Option

Written

-345720

115

E

20081218

C Option

Written

-449640

145

E

20081218

C Option

Written

-468000

135

E

20081218

Notes

1. Where there are open option positions or open derivative positions (except for CFDs), full details should be given.  Full details of any existing agreements 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 Rules 8 and 38.5 and their Notes which can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk

This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
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