14th Nov 2007 17:07
Macquarie Bank Ld14 November 2007 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 Macquarie Bank Limited Company dealt in Rio Tinto Limited Class of relevant security to which the dealings being Ordinary shares ISIN:disclosed relate (Note 1) AU000000RI01 Date of dealing 13 November 2007 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class of relevantsecurity dealt in (Note 2) Long Short Number (%) Number (%)(1) Relevant securities 446,849 0.09%(2) Derivatives(other than options) 19,407 0.00%(3) Options and agreements topurchase/sell 1,964,541 0.43% Total 2,430,797 0.52% (b) Interests and short positions in relevant securities of the company, otherthan the class dealt in (Note 2) Class of relevant security: Long Short Number (%) Number (%)(1) Relevant securities(2) Derivatives (other than options)(3) Options and agreements to purchase/sell Total (c) Rights to subscribe (Note 2) Class of relevant security: Details 3. DEALINGS (Note 3) (a) Purchases and sales Purchase/sale Number of securities Price per unit (Note 4) See Annexure A (b) Derivatives transactions (other than options) Product name, Long/short Number of securities Price per unit e.g. CFD (Note 5) (Note 6) (Note 4) See Annexure B (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product Writing, Number of Exercise Type, e.g. Expiry Optionname, selling, securities to price American, date money purchasing, which the option European paid/ varying etc. relates (Note 6) etc. receivede.g. per unitcall (Note 4)option SeeAnnexureC (ii) Exercising Product name, e.g. call Number of Exercise price per unit option securities (Note 4) (d) Other dealings (including new securities) (Note 3) Nature of transaction Details Price per unit (if applicable)(Note 7) (Note 4) Repay securities Delivered quantity = 117.83 760 4. OTHER INFORMATION Agreements, arrangements or understandings relating to options or derivatives Full details of any agreement, arrangement or understanding between the persondisclosing and any other person relating to the voting rights of any relevantsecurities under any option referred to on this form or relating to the votingrights or future acquisition or disposal of any relevant securities to which anyderivative referred to on this form is referenced. If none, this should bestated. Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO Date of disclosure 14 November 2007 Contact name Johanna Uy Telephone number +44 (0) 2030374339 Name of offeree/offeror with which connected Rio Tinto Plc Nature of connection (Note 9) Connected principal trader Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk Annexure A Purchase/sale Number of securities Price per unit (AUD)Purchase 150 135.50Purchase 201 135.25Purchase 66 135.25Purchase 219 135.28Sale 994 137.92Purchase 114 136.99Purchase 170 136.98Purchase 54 137.54Purchase 937 137.55Purchase 138 137.43Purchase 56 137.69Purchase 938 137.70Purchase 69 137.67Purchase 250 137.65Sale 119 137.62Sale 778 137.62Purchase 108 138.00Purchase 886 138.00Purchase 114 138.00Purchase 880 138.00Sale 384 137.94Sale 794 138.00Sale 200 138.05Purchase 1 138.05Purchase 2 138.05Purchase 1,333 138.05Purchase 300 138.05Purchase 356 138.05Purchase 459 138.05Purchase 956 138.05Purchase 8 138.05Sale 8 138.05Sale 139 138.77Sale 14 138.51Sale 21 139.01Sale 128 139.01Sale 184 139.70Sale 277 139.52Sale 64 139.71Sale 25 139.71Sale 907 139.71Sale 583 139.71Sale 413 139.71Sale 141 140.01Purchase 727 140.19Purchase 141 139.95Sale 10 139.90Purchase 5,000 140.00Sale 170 139.92Sale 29 139.92Sale 35 139.25Sale 64 139.25Sale 364 139.35Sale 4,000 139.35Sale 636 139.35Purchase 53 139.22Purchase 669 139.22Purchase 238 139.22Sale 150 138.90Sale 20 139.38Sale 20 139.37Sale 50 139.37Sale 5 139.38Sale 403 139.37Sale 500 139.52Purchase 523 139.64Purchase 282 139.63Purchase 10 139.45Purchase 2,000 139.64Purchase 261 139.64Purchase 239 139.64Purchase 387 139.64Purchase 200 139.64Purchase 50 139.64Purchase 72 139.64Purchase 268 139.63Purchase 1,136 139.63Purchase 131 139.63Purchase 1,949 139.64Purchase 51 139.64Purchase 23 139.64Purchase 1,926 139.64Purchase 25 139.63Purchase 200 139.63Purchase 1 139.63Purchase 225 139.63Purchase 105 139.49Purchase 152 138.60Purchase 242 138.70Sale 53 138.85Sale 288 138.79Purchase 301 138.79Purchase 200 138.30Purchase 30 138.30Purchase 1,300 138.30Purchase 398 138.30Purchase 784 138.30Purchase 509 138.30Purchase 509 138.30Purchase 270 138.30Purchase 6 138.83Purchase 102 138.83Purchase 469 138.83Purchase 392 138.83Purchase 3 135.58Purchase 78 135.58Purchase 2,419 135.58Sale 761 138.50Sale 761 138.50Sale 761 138.50Sale 217 138.50Purchase 85 138.24Purchase 247 137.55Purchase 282 137.43Sale 201 140.01Sale 166 140.01Sale 18 140.01Sale 201 140.01Sale 164 140.01Purchase 163 138.99Purchase 337 139.00Sale 58 138.84Sale 23 138.84Sale 19 138.84Purchase 5 138.84Purchase 77 138.84Sale 741 138.91Sale 100 138.90Purchase 500 135.50Sale 40 135.50Purchase 1,000 135.50Purchase 70 136.34Purchase 1,500 137.55Purchase 200 137.50Purchase 750 137.50Purchase 1,000 138.00Purchase 350 138.25Purchase 50 137.50Sale 26 136.99Sale 1,465 136.99Sale 9 136.99Sale 100 137.00Purchase 100 138.00Sale 70 138.04Purchase 46 138.85Purchase 354 138.85Purchase 31 138.88Purchase 1 138.88Purchase 191 138.85Purchase 1 138.88Purchase 26 138.89Purchase 1,450 139.99Purchase 18 140.69Purchase 82 140.69Purchase 500 140.81Sale 350 140.77Purchase 350 140.25Sale 11 139.70Sale 1,489 139.60Purchase 105 138.91Purchase 250 138.91Purchase 145 138.91Sale 145 138.91Sale 152 138.91Sale 53 138.91Sale 197 139.87Sale 106 139.87Sale 197 139.87Purchase 350 139.10Purchase 2 139.15Purchase 50 139.15Purchase 2 139.15Purchase 250 139.00Sale 170 138.86Sale 130 138.86Sale 56 138.67Sale 944 138.65Purchase 146 138.51Purchase 146 138.51Purchase 208 138.51Purchase 55 138.81Purchase 297 138.81Purchase 1 138.81Purchase 2 138.81Purchase 300 138.88Purchase 30 138.98Purchase 10 139.00Purchase 53 139.44Purchase 1 139.44Purchase 46 139.45Purchase 52 139.74Purchase 48 139.74Purchase 100 139.70Purchase 500 139.52Sale 1,450 139.20Sale 100 138.81Sale 70 138.81Sale 295 138.81Sale 35 138.80Sale 200 138.55Sale 200 138.59Purchase 60 138.38Purchase 2 138.38Purchase 11 138.38Purchase 27 138.38Purchase 400 139.09Purchase 177 139.39Purchase 23 139.39Purchase 5 138.67Purchase 35 138.67Sale 350 138.97Purchase 60 139.00Purchase 100 138.89Purchase 60 138.89Sale 50 138.72Sale 38 138.75Purchase 2,000 138.70Sale 962 138.75Sale 306 138.50Sale 694 138.50Purchase 50 140.25Purchase 20 140.70Purchase 200 140.25Purchase 20 140.25Purchase 4,407 140.70Purchase 573 140.70Sale 2,500 139.50Sale 2,500 139.50Purchase 1,437 140.00Purchase 3,563 140.00Sale 24 139.90Sale 32 139.90Sale 100 139.90Sale 3,693 139.80Sale 1,151 139.80Sale 1,315 139.70Sale 3,433 139.60Sale 1,567 139.60Purchase 1,045 139.00Purchase 985 139.00Purchase 2,015 139.00Purchase 2,000 139.00Sale 100 138.90Sale 1,159 138.90Sale 773 138.90Sale 515 138.90Sale 343 138.90Sale 229 138.90Sale 153 138.90Sale 102 138.90Sale 68 138.90Sale 45 138.90Sale 20 138.90Sale 9 138.90Sale 4 138.90Sale 2 138.90Sale 1 138.90Sale 1 138.90Sale 30 138.90Sale 13 138.90Sale 6 138.90Sale 3 138.90Sale 1 138.90Sale 1 138.90Purchase 114 138.88Purchase 50 138.88Purchase 361 138.88Purchase 5 138.88Purchase 276 138.88Purchase 2,194 138.90Purchase 58 138.89Purchase 306 138.90Purchase 110 138.90Purchase 104 138.90Purchase 39 139.00Purchase 4,961 139.00Sale 12 139.40Sale 181 139.40Sale 807 139.40Sale 7 139.40Sale 1,560 139.40Sale 433 139.40Sale 200 139.55Sale 663 139.50Sale 137 139.55Sale 1,000 139.45Purchase 1,936 139.60Purchase 100 139.60Purchase 5 139.60Purchase 14 139.60Purchase 1 139.60Sale 4,375 138.55Purchase 52 138.24Purchase 285 138.24Sale 217 138.99Sale 94 138.99Sale 218 138.99Sale 1 138.86Sale 397 138.80Sale 1,000 138.70Sale 73 138.70Sale 375 138.55Sale 250 138.55Purchase 1,663 138.24Purchase 1,000 138.30Purchase 1,000 138.50Purchase 944 138.77Purchase 2,030 138.70Purchase 5 138.70Purchase 5 138.70Purchase 2,500 138.70Purchase 1 138.70Purchase 459 138.70Sale 472 139.00Sale 1,125 139.00Sale 403 139.00Sale 91 138.90Sale 313 138.90Sale 1,596 139.00Sale 10,000 147.81Purchase 100,000 137.66Sale 107,914 138.81 Annexure B Product name Long/short Number of Price per unit securities (AUD) CFD Short 500 135.50CFD Short 1,500 135.50CFD Short 70 137.55CFD Short 200 136.34CFD Short 750 137.50CFD Short 1,000 137.50CFD Short 350 138.00CFD Short 50 138.25CFD Short 100 137.50CFD Short 1 138.00CFD Short 26 138.85CFD Short 500 138.85CFD Short 82 138.88CFD Short 18 138.88CFD Short 1,450 138.85CFD Short 500 138.88CFD Short 350 138.89CFD Short 105 139.52CFD Short 250 140.69CFD Short 145 140.69CFD Short 52 139.99CFD Short 350 140.81CFD Short 2 140.25CFD Short 146 138.91CFD Short 208 138.91CFD Short 55 138.91CFD Short 30 139.15CFD Short 53 139.74CFD Short 46 139.10CFD Short 48 138.81CFD Short 100 139.15CFD Short 177 139.15CFD Short 5 139.00CFD Short 27 138.51CFD Short 2 138.51CFD Short 60 138.51CFD Short 400 138.81CFD Short 23 138.81CFD Short 60 138.81CFD Short 100 138.88CFD Short 10 139.00CFD Short 30 138.98CFD Short 53 139.44CFD Short 46 139.45CFD Short 1 139.44CFD Short 48 139.74CFD Short 100 139.70CFD Short 60 139.39CFD Short 400 138.67CFD Short 23 138.67CFD Short 60 138.38CFD Short 100 138.38CFD Short 27 138.38CFD Short 2 138.38CFD Short 60 138.89CFD Short 400 139.09CFD Short 23 139.39CFD Short 100 139.00CFD Short 100 138.89 Annexure C Number of Option securities money paid/ Writing, selling, to which Exercise receivedProduct purchasing, option price Expiry per unit name varying, etc relates (AUD) Type date (AUD) Warrant Purchasing 5,000 105 European 20071220 0.17Warrant Selling 10,000 105 European 20071220 0.13Warrant Purchasing 1,500 105 European 20071220 0.13Warrant Selling 1,000 118 European 20071220 3.53Warrant Selling 500 118 European 20071220 3.81Warrant Selling 125 118 European 20071220 3.85Warrant Purchasing 1,500 118 European 20071220 3.88Warrant Purchasing 5,000 118 European 20071220 3.94Warrant Selling 5,000 118 European 20071220 4.05Warrant Selling 10,000 118 European 20071220 4.05Warrant Purchasing 5,000 120 European 20071220 0.57Warrant Selling 2,000 120 European 20071220 0.455Warrant Selling 5,000 120 European 20071220 0.425Warrant Purchasing 1,000 120 European 20071220 0.42Warrant Selling 745 120 European 20071220 0.43Warrant Purchasing 10,000 120 European 20071220 0.455Warrant Selling 1,000 120 European 20071220 0.455Warrant Purchasing 1,000 120 European 20071220 0.455Warrant Purchasing 120 120 European 20071220 0.455Warrant Selling 2,500 110 European 20080124 5.25Warrant Selling 500 110 European 20080124 5.71Warrant Purchasing 150 110 European 20080124 5.5Put option Purchasing 200 140 American 20071220 7.6Put option Purchasing 250 125 American 20071220 2.5Instalmentwarrant Selling 1,000 0.01Instalmentwarrant Selling 1,000 0.01Instalmentwarrant Purchasing 1,000 65.66Instalmentwarrant Purchasing 1,000 66.08Instalmentwarrant Selling 5,000 67.74Instalmentwarrant Selling 250 36.72Instalmentwarrant Purchasing 286 38Instalmentwarrant Selling 82 37.77Instalmentwarrant Selling 189 38.03Instalmentwarrant Purchasing 85 37.42Instalmentwarrant Selling 2,500 51.92Instalmentwarrant Selling 500 96.55Instalmentwarrant Purchasing 150 96.19Instalmentwarrant Purchasing 200 96.25Instalmentwarrant Selling 250 76.13Instalmentwarrant Selling 1,000 78.33Instalmentwarrant Selling 1,000 78.23Instalmentwarrant Selling 1,000 36.68Instalmentwarrant Purchasing 1,000 39.04Instalmentwarrant Selling 5,000 39.03Instalmentwarrant Purchasing 250 38.66Instalmentwarrant Selling 286 39.24Instalmentwarrant Selling 82 39.24Instalmentwarrant Purchasing 189 40.9Instalmentwarrant Purchasing 85 40.9Instalmentwarrant Purchasing 500 40.57Instalmentwarrant Purchasing 1,000 0.01Instalmentwarrant Purchasing 745 0.01Instalmentwarrant Selling 5,000 95.54Instalmentwarrant Purchasing 250 95.44Instalmentwarrant Purchasing 286 66.11Instalmentwarrant Purchasing 82 120.19Instalmentwarrant Purchasing 189 120.19Instalmentwarrant Purchasing 85 0.01Instalmentwarrant Selling 5,000 94.67Instalmentwarrant Selling 250 0.01Instalmentwarrant Purchasing 286 96.49Instalment warrant Selling 82 0.01Instalmentwarrant Selling 189 0.01Instalmentwarrant Selling 85 87.81Instalmentwarrant Purchasing 1,000 0.01 This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto