27th Oct 2008 11:09
|
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 |
24/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
5,242,863 |
GBP 8.69 |
GBP 7.70 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,744,677 |
GBP 8.69 |
GBP 7.60 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
10,000 |
GBP 8.39 |
|
Long Swap |
LONG |
5 |
GBP 7.84 |
|
Long Swap |
LONG |
118,850 |
GBP 8.24 |
|
Long Swap |
LONG |
68,756 |
GBP 8.10 |
|
Long Swap |
LONG |
50,882 |
GBP 8.10 |
|
Long Swap |
LONG |
43,220 |
GBP 7.77 |
|
Long Swap |
LONG |
25,000 |
GBP 7.77 |
|
Long Swap |
LONG |
24,045 |
GBP 7.95 |
|
Long Swap |
LONG |
11,668 |
GBP 8.02 |
|
Long Swap |
LONG |
514,920 |
GBP 8.02 |
|
Long Swap |
LONG |
10,435 |
GBP 7.88 |
|
Long Swap |
LONG |
1,791,988 |
GBP 8.01 |
|
Long Swap |
LONG |
8,452 |
GBP 8.11 |
|
Long Swap |
LONG |
8,090 |
GBP 7.81 |
|
Long Swap |
LONG |
7,772 |
GBP 7.90 |
|
Long Swap |
LONG |
7,500 |
GBP 8.25 |
|
Long Swap |
LONG |
4,031 |
GBP 8.55 |
|
Long Swap |
LONG |
2,728 |
GBP 7.90 |
|
Long Swap |
LONG |
2,000 |
GBP 8.12 |
|
Long Swap |
LONG |
1,000 |
GBP 8.32 |
|
Long Swap |
LONG |
11,403 |
GBP 8.07 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
9,267 |
GBP 8.09 |
|
Short Swap |
SHORT |
54 |
GBP 8.01 |
|
Short Swap |
SHORT |
1,000 |
GBP 8.34 |
|
Short Swap |
SHORT |
2,000 |
GBP 8.15 |
|
Short Swap |
SHORT |
2,136 |
GBP 7.82 |
|
Short Swap |
SHORT |
2,728 |
GBP 8.08 |
|
Short Swap |
SHORT |
3,488 |
GBP 8.03 |
|
Short Swap |
SHORT |
4,031 |
GBP 8.42 |
|
Short Swap |
SHORT |
7,500 |
GBP 8.42 |
|
Short Swap |
SHORT |
1,791,988 |
GBP 8.01 |
|
Short Swap |
SHORT |
9,110 |
GBP 8.08 |
|
Short Swap |
SHORT |
15 |
GBP 7.98 |
|
Short Swap |
SHORT |
9,465 |
GBP 7.96 |
|
Short Swap |
SHORT |
9,849 |
GBP 7.87 |
|
Short Swap |
SHORT |
24,045 |
GBP 8.09 |
|
Short Swap |
SHORT |
25,000 |
GBP 8.31 |
|
Short Swap |
SHORT |
27,390 |
GBP 8.08 |
|
Short Swap |
SHORT |
30,079 |
GBP 8.03 |
|
Short Swap |
SHORT |
118,850 |
GBP 8.19 |
|
Short Swap |
SHORT |
514,920 |
GBP 8.03 |
|
Short Swap |
SHORT |
7,772 |
GBP 8.08 |
|
(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 |
27/10/2008 |
|
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 |
24/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
101,682 |
GBP 6.39 |
GBP 6.31 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
108,081 |
GBP 6.39 |
GBP 6.31 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
6,877 |
GBP 6.32 |
|
Long Swap |
LONG |
2,000 |
GBP 6.35 |
|
Long Swap |
LONG |
1,322 |
GBP 6.35 |
|
Long Swap |
LONG |
85 |
GBP 6.32 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
10 |
GBP 6.32 |
|
Short Swap |
SHORT |
884 |
GBP 6.32 |
|
Short Swap |
SHORT |
894 |
GBP 6.32 |
|
Short Swap |
SHORT |
909 |
GBP 6.32 |
|
Short Swap |
SHORT |
1,153 |
GBP 6.33 |
|
Short Swap |
SHORT |
1,600 |
GBP 6.32 |
|
Short Swap |
SHORT |
2,000 |
GBP 6.32 |
|
Short Swap |
SHORT |
6,877 |
GBP 6.33 |
|
(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 |
27/10/2008 |
|
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 |
24/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,542,041 |
GBP 22.81 |
GBP 20.08 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,530,898 |
GBP 22.77 |
GBP 20.02 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
445,040 |
GBP 21.18 |
|
Long Swap |
LONG |
387 |
GBP 21.05 |
|
Long Swap |
LONG |
1,000 |
GBP 22.42 |
|
Long Swap |
LONG |
2,679 |
GBP 21.24 |
|
Long Swap |
LONG |
2,800 |
GBP 20.71 |
|
Long Swap |
LONG |
3,785 |
GBP 20.98 |
|
Long Swap |
LONG |
7,345 |
GBP 21.05 |
|
Long Swap |
LONG |
9,401 |
GBP 20.85 |
|
Long Swap |
LONG |
12,000 |
GBP 22.17 |
|
Long Swap |
LONG |
12,443 |
GBP 21.26 |
|
Long Swap |
LONG |
320 |
GBP 21.05 |
|
Long Swap |
LONG |
157,314 |
GBP 21.24 |
|
Long Swap |
LONG |
28,528 |
GBP 20.85 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
15 |
GBP 21.07 |
|
Short Swap |
SHORT |
445,040 |
GBP 21.19 |
|
Short Swap |
SHORT |
161,099 |
GBP 21.27 |
|
Short Swap |
SHORT |
12,443 |
GBP 21.45 |
|
Short Swap |
SHORT |
6,560 |
GBP 20.68 |
|
Short Swap |
SHORT |
4,815 |
GBP 21.27 |
|
Short Swap |
SHORT |
4,064 |
GBP 21.48 |
|
Short Swap |
SHORT |
2,153 |
GBP 22.30 |
|
Short Swap |
SHORT |
2,066 |
GBP 21.19 |
|
Short Swap |
SHORT |
1,000 |
GBP 22.12 |
|
(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 |
27/10/2008 |
|
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 |
24/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
2,162,563 |
GBP 1.66 |
GBP 1.58 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,075,475 |
GBP 1.67 |
GBP 1.58 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
726,580 |
GBP 1.62 |
|
Long Swap |
LONG |
100,000 |
GBP 1.62 |
|
Long Swap |
LONG |
63,014 |
GBP 1.63 |
|
Long Swap |
LONG |
27,968 |
GBP 1.64 |
|
Long Swap |
LONG |
5,000 |
GBP 1.63 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
250 |
GBP 1.64 |
|
Short Swap |
SHORT |
5,000 |
GBP 1.64 |
|
Short Swap |
SHORT |
27,968 |
GBP 1.63 |
|
Short Swap |
SHORT |
29,878 |
GBP 1.63 |
|
Short Swap |
SHORT |
33,136 |
GBP 1.63 |
|
Short Swap |
SHORT |
55,958 |
GBP 1.62 |
|
Short Swap |
SHORT |
726,580 |
GBP 1.62 |
|
(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 |
27/10/2008 |
|
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