28th Oct 2008 10:26
FORM 8.1
The panel executive has informed UBS Financial Services Inc.,
on an exparte basis, that these transactions have no code consequences.
DEALINGS BY OFFERORS, OFFEREE COMPANIES OR THEIR ASSOCIATES
FOR THEMSELVES OR FOR DISCRETIONARY CLIENTS
(Rules 8.1(a) and (b)(i) of the City Code on Takeovers and Mergers)
1. KEY INFORMATION
|
Name of person dealing (Note 1) |
UBS Financial Services Inc. |
|
Company dealt in |
Rio Tinto Plc |
|
Class of relevant security to which the dealings being disclosed relate (Note 2) |
4:1 ADR |
|
Date of dealing |
10 October 2008 (includes all previous trade dates - see additional table) |
2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE
(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 3)
|
Long |
Short |
|
|
Number (%) |
Number (%) |
|
|
(1) Relevant securities |
20,541 ADR / 82,164 ORD 0.0083 % |
|
|
(2) Derivatives (other than options) |
||
|
(3) Options and agreements to purchase/sell |
||
|
Total |
(b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 3)
|
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 3)
|
Class of relevant security: |
Details |
3. DEALINGS (Note 4)
(a) Purchases and sales
|
Purchase/sale |
Number of securities |
Price per unit (Note 5) |
|
Sale |
25 |
160.7800 USD |
|
Sale |
14 |
161.0200 USD |
(b) Derivatives transactions (other than options)
|
Product name, e.g. CFD |
Long/short (Note 6) |
Number of securities (Note 7) |
Price per unit (Note 5) |
(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 7) |
Exercise price |
Type, e.g. American, European etc. |
Expiry date |
Option money paid/received per unit (Note 5) |
(ii) Exercising
|
Product name, e.g. call option |
Number of securities |
Exercise price per unit (Note 5) |
(d) Other dealings (including new securities) (Note 4)
|
Nature of transaction (Note 8) |
Details |
Price per unit (if applicable) (Note 5) |
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 8 attached? (Note 9) YES/NO
|
Date of disclosure |
28th October 2008 |
|
Contact name |
James DeRose |
|
Telephone number |
201-352-4906 |
|
Name of offeree/offeror with which associated |
Rio Tinto Plc |
|
Specify category and nature of associate status (Note 10) |
Connected Advisor |
Notes
The Notes on Form 8.1 can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk
|
Trade Date |
Purchase/Sale |
Number of shares |
Price |
|
6-Dec-07 |
Sale |
15 |
459.9100 USD |
|
14-Dec-07 |
Sale |
200 |
421.7950 USD |
|
17-Dec-07 |
Sale |
22 |
402.2700 USD |
|
17-Dec-07 |
Sale |
28 |
402.3100 USD |
|
17-Dec-07 |
Sale |
22 |
402.4400 USD |
|
17-Dec-07 |
Sale |
17 |
402.5000 USD |
|
17-Dec-07 |
Sale |
34 |
402.5100 USD |
|
17-Dec-07 |
Sale |
32 |
402.6200 USD |
|
17-Dec-07 |
Sale |
17 |
402.7600 USD |
|
17-Dec-07 |
Sale |
8 |
402.8100 USD |
|
17-Dec-07 |
Sale |
9 |
402.8700 USD |
|
17-Dec-07 |
Sale |
17 |
402.9900 USD |
|
17-Dec-07 |
Sale |
16 |
403.0000 USD |
|
17-Dec-07 |
Sale |
12 |
403.2300 USD |
|
17-Dec-07 |
Sale |
12 |
403.2900 USD |
|
17-Dec-07 |
Sale |
9 |
403.4700 USD |
|
15-Jan-08 |
Sale |
60 |
384.3300 USD |
|
15-Jan-08 |
Sale |
1 |
385.6700 USD |
|
15-Jan-08 |
Sale |
7 |
390.0500 USD |
|
23-Jan-08 |
Sale |
50 |
327.8800 USD |
|
23-Jan-08 |
Sale |
50 |
328.2900 USD |
|
14-Feb-08 |
Sale |
200 |
433.0400 USD |
|
19-Feb-08 |
Sale |
250 |
457.5160 USD |
|
19-Feb-08 |
Sale |
1086 |
457.801546 USD |
|
19-Feb-08 |
Sale |
300 |
459.0300 USD |
|
20-Feb-08 |
Sale |
3 |
445.0300 USD |
|
20-Feb-08 |
Sale |
5 |
445.3700 USD |
|
20-Feb-08 |
Sale |
2 |
450.9700 USD |
|
25-Feb-08 |
Sale |
40 |
450.3300 USD |
|
25-Feb-08 |
Sale |
37 |
450.4900 USD |
|
25-Feb-08 |
Sale |
40 |
451.0100 USD |
|
19-Mar-08 |
Sale |
8 |
400.78300 USD |
|
28-Mar-08 |
Sale |
17 |
409.1400 USD |
|
28-Mar-08 |
Sale |
27 |
414.2300 USD |
|
1-Apr-08 |
Sale |
23 |
416.1700 USD |
|
1-Apr-08 |
Sale |
41 |
416.2700 USD |
|
1-Apr-08 |
Sale |
20 |
417.6200 USD |
|
1-Apr-08 |
Sale |
10 |
417.6700 USD |
|
1-Apr-08 |
Sale |
20 |
417.7100 USD |
|
1-Apr-08 |
Sale |
34 |
419.9900 USD |
|
1-Apr-08 |
Sale |
45 |
420.2700 USD |
|
3-Apr-08 |
Sale |
28 |
429.3400 USD |
|
9-Apr-08 |
Sale |
3 |
469.6200 USD |
|
15-Apr-08 |
Sale |
5 |
471.0000 USD |
|
17-Apr-08 |
Sale |
59 |
490.7900 USD |
|
17-Apr-08 |
Sale |
21 |
491.1700 USD |
|
18-Apr-08 |
Sale |
18 |
484.8600 USD |
|
22-Apr-08 |
Sale |
200 |
504.2700 USD |
|
23-Apr-08 |
Sale |
4 |
509.5900 USD |
|
25-Apr-08 |
Sale |
10 |
496.0100 USD |
|
30-Apr-08 |
Sale |
8 |
467.3500 USD |
|
1-May-08 |
Sale |
15 |
464.1400 USD |
|
7-May-08 |
Sale |
9 |
499.3200 USD |
|
9-May-08 |
Sale |
41 |
501.3300 USD |
|
28-May-08 |
Sale |
10 |
485.8800 USD |
|
28-May-08 |
Sale |
53 |
486.0600 USD |
|
28-May-08 |
Sale |
6 |
491.1000 USD |
|
30-May-08 |
Sale |
1 |
487.2100 USD |
|
4-Jun-08 |
Sale |
2 |
467.4600 USD |
|
5-Jun-08 |
Sale |
2 |
475.0000 USD |
|
11-Jun-08 |
Sale |
19 |
441.6800 USD |
|
12-Jun-08 |
Sale |
6 |
449.4200 USD |
|
13-Jun-08 |
Sale |
6 |
461.0000 USD |
|
16-Jun-08 |
Sale |
90 |
461.6600 USD |
|
18-Jun-08 |
Sale |
3 |
476.5500 USD |
|
25-Jun-08 |
Sale |
60 |
462.1900 USD |
|
26-Jun-08 |
Sale |
150 |
453.1200 USD |
|
1-Jul-08 |
Sale |
10 |
466.7700 USD |
|
1-Jul-08 |
Sale |
40 |
466.8500 USD |
|
1-Jul-08 |
Sale |
20 |
467.1100 USD |
|
1-Jul-08 |
Sale |
27 |
467.2800 USD |
|
1-Jul-08 |
Sale |
10 |
467.2900 USD |
|
1-Jul-08 |
Sale |
5 |
467.8700 USD |
|
1-Jul-08 |
Sale |
28 |
468.0000 USD |
|
1-Jul-08 |
Sale |
4 |
468.0100 USD |
|
1-Jul-08 |
Sale |
7 |
468.3100 USD |
|
1-Jul-08 |
Sale |
32 |
468.7100 USD |
|
8-Jul-08 |
Sale |
12 |
419.8700 USD |
|
8-Jul-08 |
Sale |
10 |
420.7300 USD |
|
14-Jul-08 |
Sale |
5 |
431.8600 USD |
|
15-Jul-08 |
Sale |
23 |
414.2500 USD |
|
15-Jul-08 |
Sale |
16 |
415.0800 USD |
|
15-Jul-08 |
Sale |
14 |
416.3600 USD |
|
18-Jul-08 |
Sale |
15 |
398.4000 USD |
|
18-Jul-08 |
Sale |
4 |
404.0300 USD |
|
28-Jul-08 |
Sale |
100 |
403.1900 USD |
|
28-Jul-08 |
Sale |
4 |
417.6100 USD |
|
5-Aug-08 |
Sale |
15 |
360.1500 USD |
|
7-Aug-08 |
Sale |
1 |
372.7700 USD |
|
13-Aug-08 |
Sale |
26 |
362.2100 USD |
|
19-Aug-08 |
Sale |
18 |
353.4500 USD |
|
19-Aug-08 |
Sale |
48 |
355.2800 USD |
|
19-Aug-08 |
Sale |
22 |
357.2500 USD |
|
19-Aug-08 |
Sale |
85 |
357.4100 USD |
|
20-Aug-08 |
Sale |
10 |
378.0400 USD |
|
20-Aug-08 |
Sale |
35 |
378.6200 USD |
|
27-Aug-08 |
Sale |
110 |
381.893636 USD |
|
27-Aug-08 |
Sale |
85 |
382.3900 USD |
|
29-Aug-08 |
Sale |
17 |
382.5600 USD |
|
3-Sep-08 |
Sale |
45 |
325.3500 USD |
|
3-Sep-08 |
Sale |
106 |
325.5100 USD |
|
8-Sep-08 |
Sale |
40 |
317.0800 USD |
|
10-Sep-08 |
Sale |
10 |
297.8700 USD |
|
12-Sep-08 |
Sale |
35 |
323.7900 USD |
|
15-Sep-08 |
Sale |
100 |
298.3000 USD |
|
16-Sep-08 |
Sale |
20 |
276.9800 USD |
|
16-Sep-08 |
Sale |
10 |
278.8500 USD |
|
17-Sep-08 |
Sale |
125 |
271.0700 USD |
|
18-Sep-08 |
Sale |
6 |
266.3100 USD |
|
24-Sep-08 |
Sale |
4 |
288.6600 USD |
|
24-Sep-08 |
Sale |
5 |
288.8900 USD |
|
24-Sep-08 |
Sale |
55 |
289.9900 USD |
|
25-Sep-08 |
Sale |
3 |
290.6500 USD |
|
29-Sep-08 |
Sale |
2 |
225.9600 USD |
|
30-Sep-08 |
Sale |
3 |
248.4000 USD |
|
3-Oct-08 |
Sale |
22 |
234.6500 USD |
|
6-Oct-08 |
Sale |
13 |
190.848461 USD |
|
6-Oct-08 |
Sale |
12 |
200.0100 USD |
|
7Oct-08 |
Sale |
112 |
194.1000 USD |
|
7-Oct-08 |
Sale |
14 |
207.4700 USD |
|
8-Oct-08 |
Sale |
23 |
181.5000 USD |
|
9-Oct-08 |
Sale |
44 |
188.2800 USD |
|
10-Oct-08 |
Sale |
25 |
160.7800 USD |
|
10-Oct-08 |
Sale |
14 |
161.0200 USD |
Related Shares:
Rio Tinto