22nd Oct 2008 10:41
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
21/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
3,077,782 |
GBP 10.20 |
GBP 9.42 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,962,369 |
GBP 10.20 |
GBP 9.52 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
377,030 |
GBP 9.85 |
|
Long Swap |
LONG |
920 |
GBP 10.20 |
|
Long Swap |
LONG |
1,000 |
GBP 10.19 |
|
Long Swap |
LONG |
2,600 |
GBP 9.43 |
|
Long Swap |
LONG |
2,835 |
GBP 10.11 |
|
Long Swap |
LONG |
4,439 |
GBP 10.11 |
|
Long Swap |
LONG |
6,650 |
GBP 10.20 |
|
Long Swap |
LONG |
7,617 |
GBP 9.77 |
|
Long Swap |
LONG |
8,990 |
GBP 10.16 |
|
Long Swap |
LONG |
12,370 |
GBP 9.77 |
|
Long Swap |
LONG |
15,000 |
GBP 9.66 |
|
Long Swap |
LONG |
15,000 |
GBP 9.93 |
|
Long Swap |
LONG |
16,635 |
GBP 9.85 |
|
Long Swap |
LONG |
17,739 |
GBP 9.92 |
|
Long Swap |
LONG |
41 |
GBP 9.95 |
|
Long Swap |
LONG |
555,014 |
GBP 9.82 |
|
Long Swap |
LONG |
98,387 |
GBP 9.92 |
|
Long Swap |
LONG |
29,306 |
GBP 9.95 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
29,306 |
GBP 9.94 |
|
Short Swap |
SHORT |
1,000 |
GBP 10.17 |
|
Short Swap |
SHORT |
2,032 |
GBP 10.09 |
|
Short Swap |
SHORT |
4,439 |
GBP 10.09 |
|
Short Swap |
SHORT |
12,370 |
GBP 9.73 |
|
Short Swap |
SHORT |
15,000 |
GBP 9.93 |
|
Short Swap |
SHORT |
17,739 |
GBP 9.94 |
|
Short Swap |
SHORT |
59,100 |
GBP 9.92 |
|
Short Swap |
SHORT |
98,387 |
GBP 9.90 |
|
Short Swap |
SHORT |
384,647 |
GBP 9.88 |
|
Short Swap |
SHORT |
555,014 |
GBP 9.84 |
|
Short Swap |
SHORT |
139 |
GBP 9.73 |
|
Short Swap |
SHORT |
15,000 |
GBP 9.65 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option |
|
selling, |
securities under |
price |
American, |
date |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
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 |
22/10/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
21/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
5,325 |
GBP 6.35 |
GBP 6.32 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
520 |
GBP 6.35 |
|
Short Swap |
SHORT |
1,000 |
GBP 6.32 |
|
Short Swap |
SHORT |
1,834 |
GBP 6.32 |
|
Short Swap |
SHORT |
1,971 |
GBP 6.32 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option |
|
selling, |
securities under |
price |
American, |
date |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
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 |
22/10/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
21/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
1,834,419 |
GBP 26.52 |
GBP 24.61 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,203,392 |
GBP 26.44 |
GBP 20.50 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
124,867 |
GBP 25.72 |
|
Long Swap |
LONG |
276 |
GBP 24.88 |
|
Long Swap |
LONG |
637 |
GBP 25.69 |
|
Long Swap |
LONG |
791 |
GBP 25.72 |
|
Long Swap |
LONG |
835 |
GBP 25.66 |
|
Long Swap |
LONG |
1,023 |
GBP 25.66 |
|
Long Swap |
LONG |
2,844 |
GBP 25.69 |
|
Long Swap |
LONG |
3,144 |
GBP 25.72 |
|
Long Swap |
LONG |
6,369 |
GBP 25.66 |
|
Long Swap |
LONG |
8,246 |
GBP 25.99 |
|
Long Swap |
LONG |
244 |
GBP 25.91 |
|
Long Swap |
LONG |
19,837 |
GBP 25.91 |
|
Long Swap |
LONG |
437,209 |
GBP 25.75 |
|
Long Swap |
LONG |
14,811 |
GBP 24.88 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
3,781 |
GBP 25.67 |
|
Short Swap |
SHORT |
437,209 |
GBP 25.80 |
|
Short Swap |
SHORT |
124,867 |
GBP 25.78 |
|
Short Swap |
SHORT |
36,457 |
GBP 25.66 |
|
Short Swap |
SHORT |
33,944 |
GBP 25.66 |
|
Short Swap |
SHORT |
13,168 |
GBP 25.94 |
|
Short Swap |
SHORT |
8,246 |
GBP 26.02 |
|
Short Swap |
SHORT |
4,994 |
GBP 25.80 |
|
Short Swap |
SHORT |
4,544 |
GBP 25.66 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry date |
Option |
|
selling, |
securities under |
price |
American, |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
Warrant |
Buying |
5,000 |
£0.20 |
AMERICAN |
17-Apr-09 |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
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 |
22/10/2008 |
|
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 |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
21/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
586,287 |
GBP 1.75 |
GBP 1.70 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
610,786 |
GBP 1.75 |
GBP 1.70 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
267,863 |
GBP 1.72 |
|
Long Swap |
LONG |
43,542 |
GBP 1.73 |
|
Long Swap |
LONG |
43,169 |
GBP 1.73 |
|
Long Swap |
LONG |
23,085 |
GBP 1.75 |
|
Long Swap |
LONG |
10,000 |
GBP 1.72 |
|
Long Swap |
LONG |
2,886 |
GBP 1.75 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
6,553 |
GBP 1.72 |
|
Short Swap |
SHORT |
10,000 |
GBP 1.73 |
|
Short Swap |
SHORT |
29,586 |
GBP 1.73 |
|
Short Swap |
SHORT |
36,616 |
GBP 1.73 |
|
Short Swap |
SHORT |
78,271 |
GBP 1.73 |
|
Short Swap |
SHORT |
267,862 |
GBP 1.72 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option |
|
selling, |
securities under |
price |
American, |
date |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
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 |
22/10/2008 |
|
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