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EPT Disclosure

14th Jul 2008 12:16

RNS Number : 9954Y
Citigroup Derivatives Markets Inc
14 July 2008
 
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 Inc
Company dealt in
Rio Tinto plc
Class of relevant security to which the dealings being disclosed relate(Note 1)
Ordinary Shares (dealt in the form of ADRs)
Date of dealing
10 July 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
 
1,400 (0.00%)
34,560 (0.00%)
(2) Derivatives (other than options)
 
(0.00%)
(0.00%)
(3) Options and agreements to purchase/sell
 
185,200 (0.00%)
163,300 (0.00%)
Total
 
186,600 (0.00%)
197,860 (0.00%)
 
(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)
 
 
Sales
 
Number of securities
Price per unit (Note 4)
USD (unless stated)
 
-8
429.37
 
-32
430.58
 
-41
430.31
 
-50
424.27
 
-59
429.37
 
-59
430.51
 
-65
430.26
 
-68
430.18
 
-69
424.16
 
-72
424.16
 
-100
424.16
 
-100
429.82
 
-100
429.82
 
-100
430.51
 
-100
430.51
 
-100
429.82
 
-100
430.93
 
-100
430.93
 
-100
425.34
 
-100
425.37
 
-100
425.475
 
-100
424.51
 
-100
424.51
 
-100
424.5
 
-100
430.44
 
-100
430.44
 
-100
430.44
 
-100
430.51
 
-100
430.51
 
-109
424.28
 
-168
430.58
 
-200
424.16
 
-200
430.27
 
-200
430.35
 
-200
430.59
 
-200
425.25
 
-200
430.93
 
-200
431.07
 
-200
430.33
 
-300
424.4
 
-300
429.81
 
-300
429.81
 
-300
429.8
 
-300
429.79
 
-300
424.51
 
-600
430.49
 
-1300
429.8
Total
8,000
 
 
 (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)
 
 
 
 
 
 
 
 
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
 
Product name,
e.g. call option
(C = call;
 P = put)
Writing, selling, purchasing, varying etc.
Number of securities to which the option relates (Note 6)
Exercise
Price (USD)
Type, e.g. American, European etc.
Expiry
date
Option money
paid/received per unit (USD) (Note 4)
C
Purchasing
2000
400
AMERICAN
2009-01-17
69.3
C
Purchasing
1000
450
AMERICAN
2009-01-17
44.7
C
Purchasing
1000
480
AMERICAN
2009-01-17
33.3
C
Purchasing
1000
420
AMERICAN
2009-01-17
58.7
C
Purchasing
1000
420
AMERICAN
2008-08-16
24.6
C
Purchasing
1000
380
AMERICAN
2009-01-17
81.1
C
Purchasing
1000
390
AMERICAN
2009-01-17
75.1
C
Purchasing
600
420
AMERICAN
2008-08-16
24.6
C
Selling
-100
460
AMERICAN
2008-10-18
28
C
Selling
-100
470
AMERICAN
2008-10-18
24.5
C
Selling
-100
450
AMERICAN
2008-10-18
31.9
P
Selling
-200
360
AMERICAN
2008-07-19
0.9
C
Selling
-1000
580
AMERICAN
2009-01-17
9.5
C
Selling
-1000
590
AMERICAN
2009-01-17
8.3
P
Selling
-1000
460
AMERICAN
2008-08-16
42.3
P
Selling
-1000
490
AMERICAN
2008-08-16
65.1
P
Selling
-1000
470
AMERICAN
2008-08-16
49.4
P
Selling
-1000
480
AMERICAN
2008-08-16
57
P
Selling
-1000
380
AMERICAN
2008-07-19
1.25
 
(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 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
 
 
 
Is a Supplemental Form 38.5(b) attached? (Note 8) YES
 
 
Date of disclosure
14 July 2008
Contact name
Selina Campbell
Telephone number
02890 409538
Name of offeree/offeror with which connected
BHP Billiton plc
Nature 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 at www.thetakeoverpanel.org.uk
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
SUPPLEMENTAL FORM 38.5(b)
 
 
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 38.5(b))
 
 
 
 
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
C
Purchased
15100
470
American
2008-07-19
C
Purchased
8000
550
American
2008-07-19
P
Purchased
7800
300
American
2008-07-19
C
Purchased
6000
570
American
2008-07-19
C
Purchased
5800
580
American
2008-07-19
P
Purchased
5500
400
American
2008-07-19
C
Purchased
5300
590
American
2008-07-19
C
Purchased
4600
600
American
2008-07-19
C
Purchased
4100
470
American
2008-08-16
C
Purchased
4100
480
American
2008-08-16
P
Purchased
4000
430
American
2009-01-17
P
Purchased
4000
440
American
2008-07-19
P
Purchased
3400
380
American
2009-01-17
P
Purchased
3400
410
American
2008-07-19
C
Purchased
3400
560
American
2008-07-19
C
Purchased
3100
470
American
2008-08-16
C
Purchased
3100
480
American
2008-08-16
C
Purchased
3000
380
American
2009-01-17
P
Purchased
3000
440
American
2009-01-17
C
Purchased
3000
490
American
2008-08-16
P
Purchased
2900
410
American
2008-07-19
C
Purchased
2600
450
American
2008-07-19
P
Purchased
2500
470
American
2008-07-19
P
Purchased
2400
390
American
2008-07-19
P
Purchased
2200
380
American
2009-01-17
C
Purchased
2100
540
American
2008-07-19
C
Purchased
2000
400
American
2009-01-17
P
Purchased
2000
450
American
2009-01-17
C
Purchased
2000
420
American
2008-07-19
C
Purchased
2000
440
American
2008-07-19
C
Purchased
2000
420
American
2008-10-18
C
Purchased
2000
500
American
2008-10-18
C
Purchased
1800
440
American
2008-10-18
C
Purchased
1600
450
American
2008-08-16
C
Purchased
1600
600
American
2008-10-18
C
Purchased
1400
360
American
2008-07-19
P
Purchased
1400
430
American
2008-07-19
P
Purchased
1400
500
American
2008-07-19
C
Purchased
1400
450
American
2008-08-16
P
Purchased
1200
440
American
2008-10-18
P
Purchased
1100
430
American
2009-01-17
P
Purchased
1100
490
American
2008-07-19
C
Purchased
1100
420
American
2008-08-16
P
Purchased
1100
370
American
2008-10-18
P
Purchased
1000
560
American
2010-01-16
C
Purchased
1000
390
American
2009-01-17
P
Purchased
1000
390
American
2009-01-17
C
Purchased
1000
420
American
2009-01-17
C
Purchased
1000
450
American
2009-01-17
P
Purchased
1000
450
American
2009-01-17
P
Purchased
1000
460
American
2009-01-17
P
Purchased
1000
470
American
2009-01-17
C
Purchased
1000
480
American
2009-01-17
P
Purchased
1000
510
American
2009-01-17
C
Purchased
1000
550
American
2009-01-17
P
Purchased
1000
570
American
2009-01-17
P
Purchased
1000
250
American
2008-07-19
P
Purchased
1000
260
American
2008-07-19
P
Purchased
1000
290
American
2008-07-19
P
Purchased
1000
310
American
2008-07-19
C
Purchased
1000
430
American
2008-08-16
C
Purchased
1000
440
American
2008-08-16
C
Purchased
1000
440
American
2008-08-16
C
Purchased
1000
460
American
2008-08-16
C
Purchased
1000
460
American
2008-08-16
C
Purchased
1000
470
American
2008-08-16
C
Purchased
1000
490
American
2008-08-16
C
Purchased
1000
420
American
2008-10-18
P
Purchased
1000
420
American
2008-10-18
P
Purchased
1000
420
American
2008-10-18
C
Purchased
1000
430
American
2008-10-18
C
Purchased
1000
450
American
2008-10-18
C
Purchased
1000
470
American
2008-10-18
C
Purchased
1000
500
American
2008-10-18
C
Purchased
900
330
American
2008-07-19
C
Purchased
900
530
American
2008-07-19
C
Purchased
800
460
American
2008-10-18
P
Purchased
700
300
American
2008-07-19
P
Purchased
700
370
American
2008-07-19
C
Purchased
700
600
American
2008-10-18
P
Purchased
600
450
American
2008-07-19
C
Purchased
600
420
American
2008-08-16
C
Purchased
500
470
American
2008-07-19
C
Purchased
400
250
American
2008-07-19
P
Purchased
400
330
American
2008-07-19
C
Purchased
400
370
American
2008-07-19
C
Purchased
400
580
American
2008-07-19
C
Purchased
400
400
American
2008-10-18
P
Purchased
400
400
American
2008-10-18
P
Purchased
400
550
American
2008-10-18
C
Purchased
300
330
American
2008-07-19
C
Purchased
300
520
American
2008-07-19
C
Purchased
300
550
American
2008-07-19
P
Purchased
200
420
American
2009-01-17
C
Purchased
200
320
American
2008-07-19
P
Purchased
200
390
American
2008-07-19
C
Purchased
200
480
American
2008-07-19
C
Purchased
200
490
American
2008-10-18
P
Purchased
200
500
American
2008-10-18
C
Purchased
200
520
American
2008-10-18
P
Purchased
100
390
American
2009-01-17
P
Purchased
100
480
American
2009-01-17
C
Purchased
100
250
American
2008-07-19
P
Purchased
100
280
American
2008-07-19
P
Purchased
100
320
American
2008-07-19
P
Purchased
100
330
American
2008-07-19
C
Purchased
100
390
American
2008-07-19
P
Purchased
100
420
American
2008-07-19
C
Purchased
100
490
American
2008-07-19
C
Purchased
100
530
American
2008-10-18
P
Purchased
100
540
American
2008-10-18
C
Written
-100
540
American
2010-01-16
C
Written
-100
500
American
2009-01-17
C
Written
-100
320
American
2008-07-19
C
Written
-100
350
American
2008-07-19
C
Written
-100
360
American
2008-07-19
C
Written
-100
370
American
2008-07-19
C
Written
-100
410
American
2008-07-19
P
Written
-100
420
American
2008-07-19
P
Written
-100
480
American
2008-07-19
P
Written
-100
400
American
2008-10-18
P
Written
-100
430
American
2008-10-18
C
Written
-100
450
American
2008-10-18
C
Written
-100
460
American
2008-10-18
C
Written
-100
660
American
2008-10-18
C
Written
-100
700
American
2008-10-18
C
Written
-200
600
American
2009-01-17
P
Written
-200
310
American
2008-07-19
P
Written
-200
370
American
2008-07-19
C
Written
-200
460
American
2008-07-19
P
Written
-200
460
American
2008-07-19
C
Written
-200
580
American
2008-10-18
C
Written
-300
420
American
2008-07-19
C
Written
-300
500
American
2008-07-19
P
Written
-300
500
American
2008-07-19
C
Written
-300
520
American
2008-07-19
C
Written
-400
500
American
2010-01-16
P
Written
-400
550
American
2010-01-16
P
Written
-400
350
American
2008-07-19
P
Written
-400
380
American
2008-07-19
P
Written
-400
490
American
2008-07-19
C
Written
-400
540
American
2008-07-19
C
Written
-500
500
American
2008-10-18
C
Written
-600
510
American
2008-07-19
C
Written
-600
440
American
2008-10-18
C
Written
-600
470
American
2008-10-18
C
Written
-600
540
American
2008-10-18
P
Written
-700
250
American
2008-07-19
C
Written
-700
300
American
2008-07-19
C
Written
-800
530
American
2008-07-19
P
Written
-800
460
American
2008-10-18
C
Written
-900
590
American
2009-01-17
C
Written
-900
440
American
2008-07-19
C
Written
-1000
530
American
2010-01-16
C
Written
-1000
540
American
2010-01-16
C
Written
-1000
510
American
2009-01-17
C
Written
-1000
580
American
2009-01-17
P
Written
-1000
580
American
2009-01-17
P
Written
-1000
270
American
2008-07-19
C
Written
-1000
380
American
2008-07-19
P
Written
-1000
430
American
2008-07-19
C
Written
-1000
450
American
2008-07-19
P
Written
-1000
470
American
2008-07-19
P
Written
-1000
480
American
2008-07-19
C
Written
-1000
590
American
2008-07-19
C
Written
-1000
620
American
2008-07-19
P
Written
-1000
400
American
2008-08-16
P
Written
-1000
430
American
2008-08-16
P
Written
-1000
450
American
2008-08-16
P
Written
-1000
490
American
2008-08-16
P
Written
-1000
380
American
2008-10-18
P
Written
-1000
390
American
2008-10-18
P
Written
-1000
480
American
2008-10-18
C
Written
-1000
540
American
2008-10-18
C
Written
-1000
550
American
2008-10-18
C
Written
-1000
580
American
2008-10-18
C
Written
-1000
620
American
2008-10-18
P
Written
-1100
340
American
2008-07-19
C
Written
-1100
400
American
2008-07-19
C
Written
-1100
430
American
2008-07-19
C
Written
-1100
510
American
2008-07-19
P
Written
-1100
450
American
2008-10-18
C
Written
-1200
530
American
2008-10-18
P
Written
-1400
380
American
2008-07-19
P
Written
-1500
360
American
2008-07-19
P
Written
-1600
350
American
2008-07-19
P
Written
-1600
360
American
2008-07-19
C
Written
-1600
400
American
2008-07-19
C
Written
-1700
340
American
2008-07-19
P
Written
-1700
510
American
2008-07-19
P
Written
-1700
370
American
2008-10-18
P
Written
-1900
400
American
2008-07-19
P
Written
-1900
440
American
2008-07-19
P
Written
-1900
450
American
2008-07-19
P
Written
-2000
320
American
2008-07-19
P
Written
-2000
380
American
2008-08-16
P
Written
-2000
390
American
2008-08-16
P
Written
-2000
410
American
2008-08-16
P
Written
-2000
420
American
2008-08-16
P
Written
-2000
440
American
2008-08-16
P
Written
-2200
470
American
2008-07-19
C
Written
-2200
490
American
2008-07-19
C
Written
-2700
600
American
2008-07-19
C
Written
-2800
500
American
2008-07-19
C
Written
-3100
480
American
2008-07-19
C
Written
-3100
560
American
2008-07-19
P
Written
-3100
450
American
2008-08-16
C
Written
-3500
420
American
2008-10-18
C
Written
-3800
410
American
2008-07-19
P
Written
-4000
460
American
2008-07-19
P
Written
-4300
470
American
2008-08-16
C
Written
-4400
300
American
2008-07-19
P
Written
-5000
460
American
2008-08-16
P
Written
-8000
490
American
2008-08-16
P
Written
-9000
470
American
2008-08-16
P
Written
-10000
480
American
2008-08-16
C
Written
-16900
460
American
2008-07-19
 
 
 
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 Rules 8 and 38.5 and their Notes which can be viewed on the Takeover Panel’s website at www.thetakeoverpanel.org.uk
 
 
 
 
 
 
 
 
 
 
 
This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
EMMILFLLDSISLIT

Related Shares:

Rio Tinto
FTSE 100 Latest
Value8,633.75
Change48.74