30th Oct 2008 11:57
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
29/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
4,744,416 |
GBP 9.66 |
GBP 8.98 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,665,530 |
GBP 9.66 |
GBP 8.89 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
5,918 |
GBP 9.16 |
|
Long Swap |
LONG |
20,000 |
GBP 9.52 |
|
Long Swap |
LONG |
17,457 |
GBP 9.29 |
|
Long Swap |
LONG |
17,000 |
GBP 9.47 |
|
Long Swap |
LONG |
15,507 |
GBP 9.34 |
|
Long Swap |
LONG |
15,278 |
GBP 8.94 |
|
Long Swap |
LONG |
32 |
GBP 8.94 |
|
Long Swap |
LONG |
13,000 |
GBP 9.42 |
|
Long Swap |
LONG |
81,630 |
GBP 9.33 |
|
Long Swap |
LONG |
5,244 |
GBP 9.16 |
|
Long Swap |
LONG |
3,020 |
GBP 9.49 |
|
Long Swap |
LONG |
2,728 |
GBP 9.33 |
|
Long Swap |
LONG |
1,992 |
GBP 9.23 |
|
Long Swap |
LONG |
1,614 |
GBP 9.23 |
|
Long Swap |
LONG |
181 |
GBP 9.16 |
|
Long Swap |
LONG |
14,443 |
GBP 9.34 |
|
Long Swap |
LONG |
382,561 |
GBP 9.34 |
|
Long Swap |
LONG |
1,547,540 |
GBP 9.29 |
|
Long Swap |
LONG |
74,894 |
GBP 9.16 |
|
Long Swap |
LONG |
25,000 |
GBP 9.41 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
62,917 |
GBP 9.15 |
|
Short Swap |
SHORT |
2,855 |
GBP 9.57 |
|
Short Swap |
SHORT |
11,977 |
GBP 8.93 |
|
Short Swap |
SHORT |
13,000 |
GBP 9.41 |
|
Short Swap |
SHORT |
15,278 |
GBP 9.15 |
|
Short Swap |
SHORT |
17,000 |
GBP 9.48 |
|
Short Swap |
SHORT |
17,499 |
GBP 9.29 |
|
Short Swap |
SHORT |
42,823 |
GBP 9.57 |
|
Short Swap |
SHORT |
81,630 |
GBP 9.26 |
|
Short Swap |
SHORT |
382,561 |
GBP 9.35 |
|
Short Swap |
SHORT |
1,547,540 |
GBP 9.30 |
|
Short Swap |
SHORT |
2,728 |
GBP 9.26 |
|
Short Swap |
SHORT |
20,000 |
GBP 9.52 |
|
(c) Options transactions in respect of existing securities |
|
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 |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
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 |
30/10/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
29/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
8,554 |
GBP 6.37 |
GBP 6.37 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
5,700 |
GBP 6.36 |
GBP 6.36 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
3,171 |
GBP 6.37 |
|
Long Swap |
LONG |
1,979 |
GBP 6.37 |
|
Long Swap |
LONG |
1,961 |
GBP 6.37 |
|
Long Swap |
LONG |
1,443 |
GBP 6.39 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
10 |
GBP 6.36 |
|
Short Swap |
SHORT |
2,519 |
GBP 6.36 |
|
Short Swap |
SHORT |
3,171 |
GBP 6.36 |
|
(c) Options transactions in respect of existing securities |
|
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 |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
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 |
30/10/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
29/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,131,155 |
GBP 26.78 |
GBP 22.71 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,187,052 |
GBP 26.77 |
GBP 24.25 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
373,831 |
GBP 25.10 |
|
Long Swap |
LONG |
114 |
GBP 26.78 |
|
Long Swap |
LONG |
1,500 |
GBP 26.30 |
|
Long Swap |
LONG |
1,636 |
GBP 24.44 |
|
Long Swap |
LONG |
2,277 |
GBP 25.15 |
|
Long Swap |
LONG |
2,920 |
GBP 24.52 |
|
Long Swap |
LONG |
3,088 |
GBP 25.31 |
|
Long Swap |
LONG |
3,626 |
GBP 25.31 |
|
Long Swap |
LONG |
3,770 |
GBP 24.44 |
|
Long Swap |
LONG |
25,399 |
GBP 24.90 |
|
Long Swap |
LONG |
10 |
GBP 24.90 |
|
Long Swap |
LONG |
133,421 |
GBP 25.15 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
1,458 |
GBP 26.40 |
|
Short Swap |
SHORT |
133,421 |
GBP 25.24 |
|
Short Swap |
SHORT |
25,399 |
GBP 24.87 |
|
Short Swap |
SHORT |
13,500 |
GBP 24.48 |
|
Short Swap |
SHORT |
10,676 |
GBP 25.24 |
|
Short Swap |
SHORT |
6,579 |
GBP 25.36 |
|
Short Swap |
SHORT |
3,770 |
GBP 24.49 |
|
Short Swap |
SHORT |
3,081 |
GBP 25.15 |
|
Short Swap |
SHORT |
2,794 |
GBP 26.04 |
|
Short Swap |
SHORT |
1,636 |
GBP 24.87 |
|
Short Swap |
SHORT |
1,500 |
GBP 26.06 |
|
Short Swap |
SHORT |
373,831 |
GBP 25.15 |
|
(c) Options transactions in respect of existing securities |
|
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 |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
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 |
30/10/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
29/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,829,611 |
GBP 1.87 |
GBP 1.75 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,866,196 |
GBP 1.84 |
GBP 1.76 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
1,604,530 |
GBP 1.79 |
|
Long Swap |
LONG |
10,000 |
GBP 1.76 |
|
Long Swap |
LONG |
10,000 |
GBP 1.78 |
|
Long Swap |
LONG |
24,770 |
GBP 1.78 |
|
Long Swap |
LONG |
54,884 |
GBP 1.78 |
|
Long Swap |
LONG |
68,735 |
GBP 1.80 |
|
Long Swap |
LONG |
8,632 |
GBP 1.79 |
|
Long Swap |
LONG |
92,764 |
GBP 1.79 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
10,000 |
GBP 1.78 |
|
Short Swap |
SHORT |
100,000 |
GBP 1.80 |
|
Short Swap |
SHORT |
54,884 |
GBP 1.82 |
|
Short Swap |
SHORT |
54,696 |
GBP 1.78 |
|
Short Swap |
SHORT |
24,770 |
GBP 1.79 |
|
Short Swap |
SHORT |
14,039 |
GBP 1.82 |
|
Short Swap |
SHORT |
10,000 |
GBP 1.78 |
|
Short Swap |
SHORT |
1,604,530 |
GBP 1.80 |
|
(c) Options transactions in respect of existing securities |
|
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 |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
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 |
30/10/2008 |
|
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