14th Nov 2008 11:27
|
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 |
13/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
6,374,263 |
GBP 9.44 |
GBP 8.98 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
4,504,029 |
GBP 9.45 |
GBP 9.00 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
15,000 |
GBP 9.19 |
|
Long Swap |
LONG |
17 |
GBP 9.22 |
|
Long Swap |
LONG |
183,500 |
GBP 9.20 |
|
Long Swap |
LONG |
141,930 |
GBP 9.09 |
|
Long Swap |
LONG |
89,279 |
GBP 9.35 |
|
Long Swap |
LONG |
60,670 |
GBP 9.09 |
|
Long Swap |
LONG |
41,650 |
GBP 9.06 |
|
Long Swap |
LONG |
35,096 |
GBP 9.16 |
|
Long Swap |
LONG |
27,500 |
GBP 9.22 |
|
Long Swap |
LONG |
501,514 |
GBP 9.18 |
|
Long Swap |
LONG |
16,207 |
GBP 9.20 |
|
Long Swap |
LONG |
783,125 |
GBP 9.21 |
|
Long Swap |
LONG |
9,359 |
GBP 9.18 |
|
Long Swap |
LONG |
5,020 |
GBP 9.19 |
|
Long Swap |
LONG |
4,803 |
GBP 9.14 |
|
Long Swap |
LONG |
4,420 |
GBP 9.19 |
|
Long Swap |
LONG |
4,261 |
GBP 9.14 |
|
Long Swap |
LONG |
4,000 |
GBP 9.16 |
|
Long Swap |
LONG |
2,000 |
GBP 9.27 |
|
Long Swap |
LONG |
1,755 |
GBP 9.16 |
|
Long Swap |
LONG |
18,527 |
GBP 9.25 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
22,490 |
GBP 0.00 |
|
Short Swap |
SHORT |
976 |
GBP 9.05 |
|
Short Swap |
SHORT |
1,790 |
GBP 9.40 |
|
Short Swap |
SHORT |
2,000 |
GBP 9.24 |
|
Short Swap |
SHORT |
4,000 |
GBP 9.15 |
|
Short Swap |
SHORT |
14,162 |
GBP 9.23 |
|
Short Swap |
SHORT |
15,000 |
GBP 9.20 |
|
Short Swap |
SHORT |
15,250 |
GBP 9.22 |
|
Short Swap |
SHORT |
15,911 |
GBP 9.22 |
|
Short Swap |
SHORT |
774,774 |
GBP 9.22 |
|
Short Swap |
SHORT |
20,000 |
GBP 0.00 |
|
Short Swap |
SHORT |
206 |
GBP 9.22 |
|
Short Swap |
SHORT |
27,500 |
GBP 9.22 |
|
Short Swap |
SHORT |
41,650 |
GBP 0.00 |
|
Short Swap |
SHORT |
60,673 |
GBP 9.21 |
|
Short Swap |
SHORT |
77,192 |
GBP 9.21 |
|
Short Swap |
SHORT |
141,930 |
GBP 9.33 |
|
Short Swap |
SHORT |
162,367 |
GBP 9.33 |
|
Short Swap |
SHORT |
183,500 |
GBP 9.22 |
|
Short Swap |
SHORT |
519,390 |
GBP 9.21 |
|
Short Swap |
SHORT |
18,527 |
GBP 9.22 |
|
(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 |
14/11/2008 |
|
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 |
13/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
16,674 |
GBP 6.39 |
GBP 6.39 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
11,679 |
GBP 6.39 |
GBP 6.37 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
14,785 |
GBP 6.40 |
|
Long Swap |
LONG |
1,889 |
GBP 6.38 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
135 |
GBP 6.38 |
|
Short Swap |
SHORT |
272 |
GBP 6.37 |
|
Short Swap |
SHORT |
313 |
GBP 6.36 |
|
Short Swap |
SHORT |
977 |
GBP 6.38 |
|
Short Swap |
SHORT |
1,110 |
GBP 6.37 |
|
Short Swap |
SHORT |
1,126 |
GBP 6.37 |
|
Short Swap |
SHORT |
1,948 |
GBP 6.37 |
|
Short Swap |
SHORT |
5,798 |
GBP 6.36 |
|
(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 |
14/11/2008 |
|
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 |
13/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
1,001,535 |
GBP 25.79 |
GBP 24.33 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
998,728 |
GBP 25.75 |
GBP 24.33 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
222,241 |
GBP 24.99 |
|
Long Swap |
LONG |
721 |
GBP 25.60 |
|
Long Swap |
LONG |
2,500 |
GBP 25.42 |
|
Long Swap |
LONG |
2,616 |
GBP 24.96 |
|
Long Swap |
LONG |
3,069 |
GBP 24.86 |
|
Long Swap |
LONG |
3,622 |
GBP 24.76 |
|
Long Swap |
LONG |
5,322 |
GBP 24.94 |
|
Long Swap |
LONG |
10,000 |
GBP 24.99 |
|
Long Swap |
LONG |
12,876 |
GBP 25.50 |
|
Long Swap |
LONG |
23,333 |
GBP 24.79 |
|
Long Swap |
LONG |
59,120 |
GBP 24.96 |
|
Long Swap |
LONG |
12 |
GBP 24.86 |
|
Long Swap |
LONG |
134,667 |
GBP 24.94 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
670 |
GBP 25.28 |
|
Short Swap |
SHORT |
138,289 |
GBP 25.04 |
|
Short Swap |
SHORT |
58,870 |
GBP 24.99 |
|
Short Swap |
SHORT |
23,333 |
GBP 25.22 |
|
Short Swap |
SHORT |
21,000 |
GBP 25.09 |
|
Short Swap |
SHORT |
14,435 |
GBP 25.13 |
|
Short Swap |
SHORT |
5,358 |
GBP 25.04 |
|
Short Swap |
SHORT |
4,764 |
GBP 25.06 |
|
Short Swap |
SHORT |
3,069 |
GBP 24.66 |
|
Short Swap |
SHORT |
2,616 |
GBP 24.66 |
|
Short Swap |
SHORT |
2,500 |
GBP 25.33 |
|
Short Swap |
SHORT |
1,080 |
GBP 24.80 |
|
Short Swap |
SHORT |
230,406 |
GBP 25.03 |
|
(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 |
14/11/2008 |
|
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 |
13/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
1,748,312 |
GBP 1.70 |
GBP 1.64 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,141,466 |
GBP 1.70 |
GBP 1.56 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
508,158 |
GBP 1.65 |
|
Long Swap |
LONG |
193,656 |
GBP 1.69 |
|
Long Swap |
LONG |
105,774 |
GBP 1.69 |
|
Long Swap |
LONG |
79,831 |
GBP 1.69 |
|
Long Swap |
LONG |
15,500 |
GBP 1.57 |
|
Long Swap |
LONG |
5,000 |
GBP 1.62 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
5,000 |
GBP 1.59 |
|
Short Swap |
SHORT |
15,500 |
GBP 1.59 |
|
Short Swap |
SHORT |
84,232 |
GBP 1.66 |
|
Short Swap |
SHORT |
105,774 |
GBP 1.69 |
|
Short Swap |
SHORT |
273,487 |
GBP 1.69 |
|
Short Swap |
SHORT |
449,216 |
GBP 1.66 |
|
(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 |
14/11/2008 |
|
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