26th Nov 2008 14:12
FORM 38.5(b)
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 | ABN AMRO BANK N.V. London Branch (Subsidiary of RFS Holding N.V.) | |
| Company dealt in | Rio Tinto Plc | |
| Class of relevant security to which the dealings being disclosed relate (Note 1) | ORD GBP 0.10 | |
| Date of dealing | 25 November 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 | 1,081,906 | 0.1084% | 18,461 | 0.0018% | ||||
| (2) Derivatives (other than options) | 546 | 0.0001% | 59,901 | 0.0060% | ||||
| (3) Options and agreements to purchase/sell | 414,022 | 0.0415% | 376,000 | 0.0377% | ||||
| Total | 1,496,474 | 0.1500% | 454,362 | 0.0455% | ||||
(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 | ||||||
|
| Number | (%) | Number | (%) | ||||
| (1) Relevant securities | 0 | 0% | 0 | 0% | ||||
| (2) Derivatives (other than options) | 0 | 0% | 0 | 0% | ||||
| (3) Options and agreements to purchase/sell | 0 | 0% | 0 | 0% | ||||
| Total | 0 | 0% | 0 | 0% | ||||
(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) | ||
| Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase TOTAL
Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale TOTAL | 26 1,300 47 1,453 124,195 1,500 200 47,508 5,000 5,000 500 1,200 2,961 463 300 1,237 43,986 685 800 2,670 5,000 5,000 585 2,500 5,350 500 17,003 50,000 82,797 400 5,000 4,981 10,019 8,500 400 12,140 2,840 5,000 2,500 8,930 20 1,383 221 715 2,906 243 1,216 398 218 508 621 400 3,186 1,726 1,700 2,242 1,159 933 896 662 635 2,262 2,570 1,404 2,000 500,700
4,740 5,350 11,380 7,500 8,930 1,302 5,000 1,332 2,742 404 2,932 294 545 640 1,035 1,783 1,006 266 3,216 681 415 853 1,698 245 657 548 627 394 1,696 1,044 490 6,351 1,894 674 326 246 613 1,723 362 2,406 503 535 266 623 815 418 361 1,109 320 250 241 1,381 327 7,186 245 340 474 65,486 1,343 403 520 245 585 244 3,000 354 12,727 2,500 1,161 3,081 1,155 2,000 2,652 1,489 360 25,000 266 1,239 254 244 245 257 258 255 262 245 246 248 719 281 276 247 272 277 26,821 261,951 | 14.2400 GBP 14.8100 GBP 14.8200 GBP 14.8400 GBP 14.8500 GBP 14.8600 GBP 14.9000 GBP 14.9478 GBP 15.2000 GBP 15.2800 GBP 15.3600 GBP 15.3900 GBP 15.4000 GBP 15.4200 GBP 15.4500 GBP 15.4600 GBP 15.5000 GBP 15.5300 GBP 15.5400 GBP 15.5500 GBP 15.6000 GBP 15.6200 GBP 15.6400 GBP 15.7800 GBP 15.7900 GBP 15.8200 GBP 15.8555 GBP 15.9086 GBP 15.9200 GBP 16.0000 GBP 16.0300 GBP 16.0500 GBP 16.0600 GBP 16.0700 GBP 16.0900 GBP 16.1000 GBP 16.1100 GBP 16.1800 GBP 16.7100 GBP 16.8400 GBP 17.0100 GBP 17.0300 GBP 17.2800 GBP 17.2900 GBP 17.3000 GBP 17.3100 GBP 17.3200 GBP 17.3300 GBP 17.3400 GBP 17.3500 GBP 17.3600 GBP 17.3700 GBP 17.3800 GBP 17.3900 GBP 17.4000 GBP 17.4100 GBP 17.4200 GBP 17.4300 GBP 17.4400 GBP 17.4500 GBP 17.4600 GBP 17.4800 GBP 17.4900 GBP 17.5000 GBP 15.4300 GBP
15.6400 GBP 15.7900 GBP 15.8600 GBP 16.0700 GBP 16.8400 GBP 14.2500 GBP 14.4900 GBP 14.6000 GBP 14.6400 GBP 14.6500 GBP 14.6700 GBP 14.6800 GBP 14.7000 GBP 14.7100 GBP 14.7200 GBP 14.7500 GBP 14.7600 GBP 14.7800 GBP 14.8000 GBP 14.8100 GBP 14.8200 GBP 14.8400 GBP 14.8600 GBP 14.8800 GBP 14.8900 GBP 14.9000 GBP 14.9100 GBP 14.9200 GBP 14.9400 GBP 14.9600 GBP 14.9900 GBP 15.0000 GBP 15.0100 GBP 15.0200 GBP 15.0400 GBP 15.0600 GBP 15.0700 GBP 15.0800 GBP 15.0900 GBP 15.1000 GBP 15.1200 GBP 15.1300 GBP 15.1400 GBP 15.1700 GBP 15.1900 GBP 15.2000 GBP 15.2400 GBP 15.2600 GBP 15.2800 GBP 15.3000 GBP 15.3100 GBP 15.3300 GBP 15.3800 GBP 15.4000 GBP 15.4400 GBP 15.4500 GBP 15.4900 GBP 15.5000 GBP 15.5100 GBP 15.5200 GBP 15.5300 GBP 15.5400 GBP 15.5600 GBP 15.5700 GBP 15.6800 GBP 15.7000 GBP 15.7200 GBP 15.7800 GBP 15.7900 GBP 15.8000 GBP 15.8900 GBP 15.9900 GBP 16.0000 GBP 16.0200 GBP 16.0300 GBP 16.0599 GBP 16.1300 GBP 16.2200 GBP 16.3900 GBP 16.5500 GBP 16.6900 GBP 16.7100 GBP 16.7400 GBP 16.7500 GBP 16.7900 GBP 16.8200 GBP 16.9800 GBP 17.0000 GBP 17.0200 GBP 17.0300 GBP 17.0900 GBP 17.1500 GBP 17.1600 GBP 17.1700 GBP 17.4065 GBP |
(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) | |||
| Dec 2008 Put Warrant | Short | 1000 | 0.6700 EUR | |||
| Dec 2008 Put Warrant | Short | 500 | 0.5300 EUR | |||
| Dec 2008 Call Warrant | Short | 350 | 0.0560 EUR | |||
| Dec 2008 Call Warrant | Short | 53 | 0.04300 EUR | |||
| Dec 2008 Call Warrant | Short | 150 | 0.0010 EUR | |||
| Jun 2009 Put Warrant | Short | 1500 | 1.9000 EUR | |||
| Jun 2009 Call Warrant | Short | 5000 | 0.1300 EUR | |||
| Jun 2009 Call Warrant | Short | 1000 | 0.1000 EUR | |||
| Jun 2009 Call Warrant | Long | 1000 | 0.0800 EUR | |||
| Jun 2009 Call Warrant | Long | 2000 | 0.0900 EUR | |||
| Jun 2009 Call Warrant | Long | 2000 | 0.0700 EUR | |||
| Jun 2010 Call Warrant | Short | 500 | 0.1300 EUR | |||
| Jun 2010 Call Warrant | Short | 2000 | 0.1100 EUR |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
| Product name, e.g. call option | Writing, selling, purchasing, varying etc. | Number of securities to which the option relates (Note 6) | Exercise price | Type, e.g. American, European etc. | Expiry Date | Option money paid/received per unit (Note 4) |
(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. |
Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO
| Date of disclosure | 26 November 2008 |
| Contact name | A.Ruparelia |
| Telephone number | 020) 7678 7732 |
| Name of offeree/offeror with which connected | Rio Tinto |
| Nature of connection (Note 9) | 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 8
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 8.1, Form 8.1(b)(ii) or Form 8.3, as appropriate)
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 | |||||
| Dec 2008 Put Option | Written | 1,022 | 30.3400 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Purchased | 150,000 | 38.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Purchased | 10,000 | 40.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Purchased | 1,000 | 44.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Call Option | Purchased | 1,000 | 48.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Written | 6,000 | 48.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Call Option | Purchased | 48,000 | 52.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Written | 3,000 | 52.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Call Option | Written | 58,000 | 56.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Put Option | Written | 3,000 | 56.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2008 Call Option | Written | 2,000 | 72.0000 GBP | American | 19-Dec-08 | |||||
| Dec 2009 Put Option | Purchase | 1,000 | 40.0000 GBP | American | 18-Dec-09 | |||||
| June 2009 Call Option | Purchase | 29,000 | 48.0000 GBP | American | 19-Jun-09 | |||||
| June 2009 Put Option | Written | 10,000 | 48.0000 GBP | American | 19-Jun-09 | |||||
| June 2009 Call Option | Written | 4,000 | 56.0000 GBP | American | 19-Jun-09 | |||||
| June 2009 Put Option | Written | 13,000 | 56.0000 GBP | American | 19-Jun-09 | |||||
| Dec 2008 Call Option | Written | 75,000 | 52.0000 GBP | European | 19-Dec-08 | |||||
| Dec 2010 Put Option | Purchase | 75,000 | 56.0000 GBP | European | 17-Dec-10 | |||||
| Dec 2008 Put Option | Written | 150,000 | 38.0000 GBP | European | 19-Dec-08 | |||||
| Dec 2008 Call Option | Purchase | 150,000 | 60.0000 GBP | European | 19-Dec-08 |
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 Rule 8 and its Notes which can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk
Copyright Business Wire 2008
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Rio Tinto