16th Nov 2007 16:48
Citigroup Derivatives Markets Inc16 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 Citigroup Derivatives Markets IncCompany dealt in Rio Tinto plcClass of relevant security to which the Rio Tinto plc ADRdealings being disclosed relate (Note 1) Date of dealing 09 November 2007 2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE (a) Interests and short positions (following dealing) in the class ofrelevant security dealt in (Note 2) Long Short Number Number (%) (%) (1) Relevant securities (0.00%) 11,055 (0.00%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell 176,900 (0.03%) 145,400 (0.03%) Total 176,900 (0.03%) 156,455 (0.03%) (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 Convertible Number Number (%) (%) (1) Relevant securities (0.00%) (0.00%) (2) Derivatives (other than options) (0.00%) (0.00%) (3) Options and agreements to purchase/sell (0.00%) (0.00%) Total (0.00%) (0.00%) (c) Rights to subscribe (Note 2) Class of relevant security: Details 3. DEALINGS (Note 3) (a) Purchases and sales Purchase Number of securities Price per unit (Note 4) USD (unless stated) 1000 482.35 500 478.35 300 476.93 300 475.39 300 475.39 200 475.39 200 475.39 200 471.92 200 469 200 471.99 200 477.96 115 481.6 100 471.79 100 471.99 100 471.99 100 475.39 100 475.39 100 475.29 100 471.89 100 471.92 100 471.64 100 471.36 100 471.99 100 476.67 100 471.33 100 471.79 100 471.43 100 476.79 100 476.63 100 476.72 100 476.61 100 476.62 100 467.15 100 467.25 100 467.25 100 467.25 100 467.25 100 467.25 100 467.25 100 467.25 100 476.89 100 476.4 100 476.75 100 476.27 100 467.11 100 467.25 100 467.25 100 471.79 100 471.78 100 467.25 100 467.25 100 469 100 467.25 100 467.12 100 475.39 100 471.9 100 471.79 100 476.93 100 478.5 100 474.78 100 474.82 100 484 51 475.49 50 467.05 50 467.12 10 476.93Total 8,876 Sales Number of securities Price per unit (Note 4) USD (unless stated) -20 471.33 -50 474.31 -100 479.37 -100 468.02 -100 468 -100 468.68 -100 468.85 -100 468.7 -100 474.31 -100 474.26 -100 473.2 -100 471.58 -100 471.22 -100 474.22 -100 471.21 -100 471.21 -100 474.22 -100 473.25 -100 471.1 -100 471.01 -100 471.1 -100 471.01 -100 468.02 -100 472.39 -150 474.22 -180 471.1 -200 471.58 -300 471.21 -300 471.01Total 3,400 (b) Derivatives transactions (other than options) Product name, Long/short (Note 5) Number of securities (Note 6) Price per unit (Note 4) e.g. CFD (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product name, Writing, Number of Exercise Type, e.g. Expiry Option money selling, securities to American,e.g. call option purchasing, which the option Price (USD) European etc. date paid/received varying etc. relates (Note 6) per unit (USD)(C = call; (Note 4) P = put) P selling 2500 400 American 2007-11-17 2.25 C purchasing 2000 590 American 2008-04-19 20.3 C purchasing 2000 400 American 2007-11-17 73.8 P selling 1900 410 American 2007-11-17 2.6 C purchasing 1700 370 American 2007-11-17 101.7 P selling 1300 410 American 2007-11-17 2.6 P selling 1000 360 American 2007-11-17 0.8 P selling 1000 330 American 2007-11-17 0.3 P selling 1000 340 American 2007-11-17 0.45 P selling 1000 350 American 2007-11-17 0.6 C purchasing 1000 360 American 2007-12-22 112.8 P selling 1000 500 American 2007-12-22 51.2 C purchasing 1000 600 American 2007-12-22 7.8 C purchasing 1000 580 American 2007-12-22 10 C purchasing 1000 590 American 2007-12-22 8.9 C purchasing 1000 530 American 2007-12-22 18.9 C purchasing 1000 540 American 2007-12-22 16.5 P selling 1000 420 American 2007-11-17 3.9 P selling 1000 580 American 2008-04-19 129.1 P selling 1000 570 American 2008-04-19 121.4 C purchasing 1000 570 American 2007-11-17 1.25 C purchasing 1000 520 American 2007-11-17 4.8 P selling 900 370 American 2007-11-17 1 C purchasing 800 250 American 2008-01-19 226.9 C purchasing 600 480 American 2007-12-22 39.2 P selling 500 440 American 2008-04-19 38.6 C purchasing 500 440 American 2007-11-17 43.15 C purchasing 500 440 American 2007-11-17 43.18 C purchasing 500 530 American 2007-11-17 4.3 C purchasing 500 530 American 2007-11-17 4.23 C purchasing 400 500 American 2008-01-19 33.8 C purchasing 400 500 American 2008-01-19 35 P selling 400 600 American 2008-04-19 137.9 C purchasing 400 480 American 2007-11-17 18.7 P selling 300 470 American 2007-12-22 34.5 C purchasing 300 500 American 2008-04-19 49.6 P selling 200 440 American 2007-11-17 8.05 P selling 200 470 American 2007-11-17 15.6 P selling 200 400 American 2007-12-22 8.4 P selling 200 400 American 2007-11-17 2 P selling 200 400 American 2007-11-17 2 C purchasing 200 400 American 2007-11-17 73.8 C purchasing 200 380 American 2007-11-17 91.4 P selling 200 570 American 2008-04-19 114.4 C purchasing 200 480 American 2007-12-22 38.7 C purchasing 100 480 American 2008-01-19 44.3 P selling 100 380 American 2007-12-22 7.1 P selling 100 430 American 2007-12-22 18.37 P selling 100 400 American 2007-11-17 1.9 P selling 100 400 American 2007-11-17 2 C purchasing 100 340 American 2007-11-17 133.58 C purchasing 100 350 American 2007-11-17 124.9 C purchasing 100 390 American 2007-11-17 85.2 P selling 100 470 American 2008-01-19 35.1 P selling 100 580 American 2007-11-17 103.27 C purchasing 100 480 American 2008-01-19 42.4 C purchasing 100 490 American 2008-01-19 36 P selling 100 460 American 2007-11-17 13.6 P selling 100 460 American 2007-11-17 14.48 C purchasing 100 480 American 2007-12-22 36.05 C purchasing 100 520 American 2007-11-17 4.7 C purchasing 100 470 American 2007-11-17 17.7 C purchasing 100 460 American 2007-11-17 22.2 C purchasing 100 370 American 2007-12-22 111.9 C purchasing 100 400 American 2007-11-17 81 P selling 100 440 American 2007-12-22 17.9 P selling 100 380 American 2008-04-19 20.9 P selling 100 380 American 2008-04-19 19.4 P selling 100 390 American 2008-04-19 22.2 P selling 100 400 American 2008-04-19 25.4 P selling 100 470 American 2007-11-17 16.9 P selling 100 460 American 2007-11-17 12 P selling 100 470 American 2007-11-17 20.7 P selling 100 460 American 2007-11-17 15 C purchasing 100 280 American 2008-04-19 201.5 C purchasing 100 340 American 2007-11-17 132.2 P selling 100 590 American 2008-04-19 134.2 P selling 100 580 American 2008-04-19 126.5 P selling 100 570 American 2008-04-19 118.9 C purchasing 100 470 American 2007-11-17 21 P selling 100 470 American 2007-12-22 36.7 P purchasing -100 470 American 2008-01-19 35.1 P purchasing -100 430 American 2007-12-22 20 P purchasing -100 300 American 2008-01-19 1.5 P purchasing -100 370 American 2007-12-22 5.9 P purchasing -100 420 American 2007-12-22 15.57 P purchasing -100 350 American 2007-12-22 4.4 C selling -100 440 American 2008-04-19 81.6 C selling -100 350 American 2007-11-17 123.83 P purchasing -100 480 American 2007-11-17 21.01 C selling -100 480 American 2008-01-19 44.3 P purchasing -100 450 American 2007-11-17 10.98 C selling -100 490 American 2007-12-22 31.65 C selling -100 500 American 2007-11-17 8 C selling -100 510 American 2007-11-17 8.3 C selling -100 510 American 2007-11-17 8.5 C selling -100 460 American 2007-11-17 22.2 C selling -100 280 American 2008-04-19 201.5 P purchasing -100 440 American 2007-11-17 8.7 P purchasing -100 470 American 2007-12-22 36.7 P purchasing -100 480 American 2007-11-17 24 P purchasing -100 470 American 2007-11-17 20.2 P purchasing -100 450 American 2007-11-17 12.5 C selling -100 560 American 2008-04-19 30.9 C selling -100 470 American 2008-01-19 44 C selling -100 500 American 2007-12-22 26.4 P purchasing -100 400 American 2007-11-17 2 P purchasing -100 330 American 2007-11-17 0.65 C selling -100 370 American 2007-12-22 111.9 C selling -100 400 American 2007-11-17 81 C selling -100 440 American 2007-11-17 40.7 P purchasing -100 470 American 2008-01-19 40.3 C selling -100 460 American 2007-12-22 44.6 C selling -100 550 American 2007-11-17 1.5 C selling -100 540 American 2007-11-17 2.5 C selling -100 500 American 2007-11-17 9.5 C selling -100 480 American 2007-11-17 19.6 C selling -100 460 American 2007-11-17 26.3 C selling -100 460 American 2007-11-17 28.9 P purchasing -200 430 American 2007-11-17 6.2 P purchasing -200 430 American 2007-11-17 6.05 P purchasing -200 410 American 2007-11-17 3.5 P purchasing -200 400 American 2007-11-17 2 C selling -200 480 American 2007-12-22 38.7 P purchasing -200 400 American 2007-11-17 2 P purchasing -200 470 American 2007-12-22 33.7 C selling -200 500 American 2007-11-17 7.5 C selling -300 440 American 2008-04-19 85.5 C selling -300 600 American 2007-12-22 5.6 P purchasing -300 470 American 2007-12-22 34.5 C selling -300 500 American 2008-04-19 49.6 P purchasing -400 470 American 2007-11-17 16.6 C selling -400 250 American 2008-01-19 227.8 C selling -400 480 American 2007-11-17 18.7 C selling -500 250 American 2008-01-19 228.1 C selling -500 240 American 2008-01-19 236.4 C selling -500 430 American 2007-11-17 51.35 C selling -500 430 American 2007-11-17 51.38 C selling -500 540 American 2007-11-17 3.3 C selling -500 540 American 2007-11-17 3.22 P purchasing -600 240 American 2008-01-19 0.55 P purchasing -600 250 American 2008-01-19 0.65 C selling -600 480 American 2007-12-22 39.2 C selling -600 480 American 2007-11-17 21.3 C selling -700 470 American 2008-01-19 45.2 C selling -700 470 American 2007-11-17 18.1 C selling -800 250 American 2008-01-19 226.9 C selling -800 250 American 2008-01-19 226.4 P purchasing -900 270 American 2008-04-19 3.2 P purchasing -1000 230 American 2008-04-19 1.2 P purchasing -1000 240 American 2008-04-19 1.6 P purchasing -1000 420 American 2007-11-17 3.7 P purchasing -1000 430 American 2007-11-17 5 C selling -1000 250 American 2008-01-19 226.5 C selling -1000 360 American 2007-12-22 112.8 P purchasing -1000 600 American 2008-01-19 131.3 P purchasing -1000 520 American 2008-04-19 82.3 C selling -1000 530 American 2008-04-19 41.4 P purchasing -1000 420 American 2007-11-17 3.9 P purchasing -1000 280 American 2008-04-19 3.6 C selling -1000 600 American 2008-04-19 19.8 C selling -1000 260 American 2008-01-19 216.5 C selling -1000 250 American 2008-01-19 226.5 C selling -1000 520 American 2007-11-17 4.8 C selling -1000 520 American 2007-11-17 5.2 C selling -1000 510 American 2007-11-17 7.4 C selling -1200 500 American 2007-12-22 30.2 C selling -1700 370 American 2007-11-17 101.7 P purchasing -1900 410 American 2007-11-17 2.6 P purchasing -2500 400 American 2007-11-17 2.25 (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 relatingto the voting rights of any relevant securities under any option referred to on this form or relating to the votingrights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form isreferenced. If none, this should be stated. Is a Supplemental Form 38.5(b) attached? (Note 8) YES Date of disclosure 16 November 2007 Contact name Pavla Trskova Telephone number 02890 409544 Name of offeree/offeror with which connected BHP Billiton plcNature of connection (Note 9) Corporate Broker/Financial Advisor Notes The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website atwww.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, Written or Number of Exercise price Type, e.g. Expiry date purchased securities to which (Note 2) American, Europeane.g. call option the option or etc. derivative relates(C = call; P = put) P Written 47500 270 American 2008-01-19 C Purchased 9200 330 American 2008-01-19 P Written 8000 370 American 2008-01-19 C Purchased 7000 260 American 2008-04-19 P Written 6000 370 American 2007-11-17 C Purchased 4800 380 American 2007-11-17 P Written 4200 310 American 2007-11-17 P Written 3600 370 American 2007-12-22 C Purchased 3600 380 American 2007-12-22 C Purchased 3500 360 American 2008-01-19 P Written 3300 230 American 2008-01-19 P Written 3200 320 American 2007-11-17 C Purchased 3000 400 American 2008-01-19 C Purchased 2700 350 American 2007-11-17 P Written 2600 240 American 2008-04-19 P Written 2600 300 American 2008-04-19 P Written 2300 350 American 2007-11-17 P Written 2300 360 American 2007-11-17 C Purchased 2200 310 American 2008-04-19 P Written 2000 290 American 2008-01-19 C Purchased 2000 230 American 2008-04-19 C Purchased 2000 340 American 2008-04-19 C Purchased 2000 370 American 2008-04-19 C Purchased 2000 590 American 2008-04-19 C Purchased 1900 250 American 2008-04-19 C Purchased 1800 330 American 2007-11-17 P Written 1800 250 American 2008-01-19 P Written 1700 340 American 2007-11-17 C Purchased 1700 400 American 2007-11-17 P Written 1500 330 American 2008-01-19 C Purchased 1400 340 American 2008-01-19 P Written 1400 340 American 2008-01-19 P Written 1400 350 American 2008-01-19 C Purchased 1400 320 American 2008-04-19 C Purchased 1300 290 American 2008-01-19 P Written 1300 570 American 2008-04-19 C Purchased 1200 390 American 2007-11-17 C Purchased 1200 270 American 2008-04-19 P Written 1100 410 American 2007-11-17 P Written 1100 580 American 2008-04-19 C Purchased 1000 530 American 2007-11-17 C Purchased 1000 570 American 2007-11-17 P Written 1000 500 American 2007-12-22 C Purchased 1000 530 American 2007-12-22 C Purchased 1000 540 American 2007-12-22 C Purchased 1000 580 American 2007-12-22 C Purchased 1000 590 American 2007-12-22 C Purchased 1000 240 American 2008-01-19 C Purchased 1000 270 American 2008-01-19 C Purchased 1000 420 American 2008-01-19 C Purchased 1000 240 American 2008-04-19 C Purchased 900 440 American 2007-11-17 P Written 900 200 American 2008-01-19 C Purchased 800 300 American 2007-11-17 P Written 800 280 American 2008-01-19 P Written 800 300 American 2008-01-19 C Purchased 800 390 American 2008-04-19 C Purchased 700 600 American 2007-12-22 C Purchased 700 220 American 2008-01-19 C Purchased 600 330 American 2008-04-19 C Purchased 500 360 American 2007-11-17 C Purchased 500 300 American 2008-01-19 P Written 400 460 American 2007-11-17 P Written 400 290 American 2008-04-19 P Written 400 600 American 2008-04-19 P Written 300 340 American 2007-12-22 P Written 200 320 American 2007-12-22 P Written 200 400 American 2007-12-22 P Written 200 390 American 2008-01-19 P Written 100 330 American 2007-11-17 P Written 100 440 American 2007-11-17 P Written 100 580 American 2007-11-17 P Written 100 440 American 2007-12-22 C Purchased 100 480 American 2007-12-22 C Purchased 100 440 American 2008-01-19 C Purchased 100 480 American 2008-01-19 C Purchased 100 490 American 2008-01-19 C Purchased 100 290 American 2008-04-19 P Written 100 590 American 2008-04-19 P Purchased -100 470 American 2007-11-17 C Written -100 550 American 2007-11-17 P Purchased -100 420 American 2007-12-22 C Written -100 460 American 2007-12-22 C Written -100 490 American 2007-12-22 P Purchased -100 470 American 2008-01-19 P Purchased -100 330 American 2008-04-19 C Written -100 560 American 2008-04-19 P Purchased -200 450 American 2007-11-17 C Written -200 460 American 2007-11-17 P Purchased -200 480 American 2007-11-17 P Purchased -200 470 American 2007-12-22 P Purchased -200 210 American 2008-01-19 P Purchased -200 240 American 2008-01-19 C Written -200 260 American 2008-01-19 C Written -200 500 American 2008-01-19 P Purchased -200 260 American 2008-04-19 C Written -300 320 American 2007-12-22 P Purchased -300 260 American 2008-01-19 C Written -300 390 American 2008-01-19 C Written -400 500 American 2007-11-17 P Purchased -400 380 American 2007-12-22 C Written -500 470 American 2007-11-17 C Written -500 370 American 2008-01-19 P Purchased -500 380 American 2008-01-19 P Purchased -500 440 American 2008-04-19 C Written -600 370 American 2007-12-22 C Written -600 380 American 2008-04-19 C Written -700 480 American 2007-11-17 C Written -700 230 American 2008-01-19 C Written -800 280 American 2008-01-19 C Written -800 320 American 2008-01-19 C Written -800 470 American 2008-01-19 P Purchased -800 310 American 2008-04-19 P Purchased -800 380 American 2008-04-19 C Written -900 520 American 2007-11-17 P Purchased -900 360 American 2007-12-22 C Written -900 200 American 2008-01-19 P Purchased -900 400 American 2008-01-19 C Written -900 300 American 2008-04-19 P Purchased -1000 400 American 2007-11-17 P Purchased -1000 420 American 2007-11-17 C Written -1000 430 American 2007-11-17 C Written -1000 330 American 2007-12-22 C Written -1000 410 American 2007-12-22 C Written -1000 380 American 2008-01-19 P Purchased -1000 600 American 2008-01-19 P Purchased -1000 320 American 2008-04-19 C Written -1000 470 American 2008-04-19 P Purchased -1000 470 American 2008-04-19 C Written -1000 480 American 2008-04-19 P Purchased -1000 480 American 2008-04-19 C Written -1000 490 American 2008-04-19 P Purchased -1000 500 American 2008-04-19 P Purchased -1000 520 American 2008-04-19 C Written -1000 530 American 2008-04-19 C Written -1000 600 American 2008-04-19 C Written -1100 540 American 2007-11-17 C Written -1100 360 American 2008-04-19 C Written -1200 510 American 2007-11-17 C Written -1200 350 American 2008-01-19 C Written -1300 500 American 2007-12-22 P Purchased -1400 380 American 2007-11-17 P Purchased -1400 430 American 2007-11-17 P Purchased -1400 350 American 2007-12-22 C Written -1400 440 American 2008-04-19 C Written -1900 190 American 2008-01-19 C Written -1900 350 American 2008-04-19 C Written -2200 360 American 2007-12-22 C Written -2200 400 American 2008-04-19 P Purchased -2300 300 American 2007-11-17 P Purchased -2300 390 American 2007-11-17 C Written -2300 350 American 2007-12-22 P Purchased -2400 250 American 2008-04-19 C Written -2600 320 American 2007-11-17 P Purchased -2900 390 American 2008-04-19 P Purchased -3200 270 American 2008-04-19 P Purchased -3200 370 American 2008-04-19 C Written -3400 310 American 2008-01-19 P Purchased -3400 340 American 2008-04-19 C Written -3700 340 American 2007-12-22 P Purchased -3800 280 American 2008-04-19 P Purchased -4300 220 American 2008-01-19 P Purchased -4800 310 American 2008-01-19 P Purchased -4800 350 American 2008-04-19 C Written -4900 250 American 2008-01-19 P Purchased -5300 360 American 2008-01-19 C Written -5400 340 American 2007-11-17 C Written -7600 370 American 2007-11-17 P Purchased -8800 400 American 2008-04-19 P Purchased -9900 320 American 2008-01-19 Notes 1. Where there are open option positions or open derivative positions (exceptfor CFDs), full details should be given. Full details of any existingagreements 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 itsNotes which can be viewed on the Takeover Panel's website atwww.thetakeoverpanel.org.uk This information is provided by RNS The company news service from the London Stock ExchangeRelated Shares:
Rio Tinto