19th Nov 2007 14:06
UBS Securities Australia Limited19 November 2007 FORM 8.3 DEALINGS BY PERSONS WITH INTERESTS IN SECURITIES REPRESENTING 1% OR MORE (Rule 8.3 of the Takeover Code) 1. KEY INFORMATION Name of person dealing (Note 1) UBS Securities Australia LimitedCompany dealt in Rio Tinto LimitedClass of relevant security to which the Ordinary sharesdealings being disclosed relate (Note 2) Date of dealing 9 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 3) Long Short Number Number (%) (%) (1) Relevant securities 454,979 0.10% 2,187,259 0.48% (2) Derivatives (other than options) (3) Options and agreements to purchase/sell 6,496,431 1.42% 4,305,728 0.94% Total 6,951,410 1.52% 6,492,987 1.42% (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 on notes on form 8.3) Class of relevant security: Details (This should only be filled in where therights are over new shares and not existingshares) 3. DEALINGS (Note 4) (a) Purchases and sales Purchase/sale Number of securities Price per unit (Note 5) $AUD Purchase 100,000 133.5Purchase 100,000 130.9Purchase 80,000 133.6798Purchase 75,000 132.264Purchase 63,100 130.9Purchase 43,359 134.2616Purchase 25,000 132Purchase 24,298 132.7Purchase 16,500 131.6Purchase 12,303 134.2616Purchase 10,700 138Purchase 10,000 138Purchase 10,000 138Purchase 10,000 138Purchase 9,194 131.6Purchase 6,040 138Purchase 5,727 133.2Purchase 5,619 138Purchase 5,000 138Purchase 5,000 138Purchase 5,000 138Purchase 5,000 138Purchase 5,000 138Purchase 5,000 138Purchase 5,000 138Purchase 5,000 134.34Purchase 5,000 132.01Purchase 4,820 132.2Purchase 4,779 131.9Purchase 4,610 132.42Purchase 4,163 130.9Purchase 4,001 138Purchase 3,453 131.8Purchase 3,400 138Purchase 3,110 131.8Purchase 3,061 132.5Purchase 3,000 138Purchase 3,000 131.8Purchase 3,000 131.8Purchase 3,000 131.8Purchase 2,933 133.99Purchase 2,901 138Purchase 2,900 131.62Purchase 2,800 131.6Purchase 2,706 131.4Purchase 2,684 132.85Purchase 2,613 133.5Purchase 2,575 132.02Purchase 2,500 138Purchase 2,500 138Purchase 2,500 138Purchase 2,500 133.5Purchase 2,500 134.5Purchase 2,500 135Purchase 2,500 134.44Purchase 2,494 131.9Purchase 2,425 132.02Purchase 2,316 132.85Purchase 2,287 133.5Purchase 2,200 138Purchase 2,100 131.62Purchase 2,021 131.9Purchase 2,000 138Purchase 2,000 138Purchase 2,000 138Purchase 2,000 138Purchase 2,000 138Purchase 2,000 131.4Purchase 2,000 131.62Purchase 2,000 131.8Purchase 2,000 131.75Purchase 1,900 138Purchase 1,800 131.8Purchase 1,786 131.8Purchase 1,777 133.5Purchase 1,692 130.9Purchase 1,613 131.8Purchase 1,500 138Purchase 1,500 132.5Purchase 1,500 132.73Purchase 1,500 132.01Purchase 1,500 131.8Purchase 1,487 134.4Purchase 1,450 138Purchase 1,450 131.79Purchase 1,422 138Purchase 1,400 138Purchase 1,390 133.99Purchase 1,348 133.2Purchase 1,315 132.5Purchase 1,312 130.9Purchase 1,300 138Purchase 1,150 138Purchase 1,123 132.5Purchase 1,074 134.34Purchase 1,063 131.8Purchase 1,061 132.7Purchase 1,029 134.43Purchase 1,014 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 138Purchase 1,000 134.33Purchase 1,000 134.34Purchase 1,000 133.2Purchase 1,000 133.2Purchase 1,000 131.6Purchase 1,000 131.8Purchase 1,000 131.8Purchase 1,000 131.8Purchase 998 131.6Purchase 988 134.4Purchase 980 138Purchase 950 138Purchase 900 138Purchase 884 132.49Purchase 875 132.31Purchase 847 131.8Purchase 841 132.5Purchase 800 138Purchase 800 138Purchase 800 138Purchase 800 138Purchase 775 138Purchase 759 131.59Purchase 750 131.6Purchase 707 131.69Purchase 700 138Purchase 700 138Purchase 700 138Purchase 700 138Purchase 660 138Purchase 650 138Purchase 643 133.5Purchase 637 132.7Purchase 630 131.8Purchase 610 138Purchase 600 138Purchase 600 138Purchase 600 138Purchase 600 138Purchase 550 138Purchase 550 138Purchase 550 132.31Purchase 546 131.6Purchase 534 138Purchase 516 131.8Purchase 515 131.59Purchase 515 131.69Purchase 505 132.01Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 138Purchase 500 132.5Purchase 500 132.5Purchase 500 134.34Purchase 500 131.8Purchase 500 131.8Purchase 500 131.66Purchase 500 131.9Purchase 495 132.01Purchase 464 138Purchase 451 134.43Purchase 450 138Purchase 450 132.31Purchase 427 138Purchase 425 138Purchase 425 132.5Purchase 421 138Purchase 420 134.43Purchase 416 138Purchase 410 131.59Purchase 400 138Purchase 400 138Purchase 400 138Purchase 400 138Purchase 400 132.5Purchase 400 132.31Purchase 400 132.73Purchase 392 133.99Purchase 390 132.42Purchase 385 138Purchase 379 132.7Purchase 363 134.34Purchase 360 138Purchase 359 134.34Purchase 350 138Purchase 340 131.8Purchase 328 131.6Purchase 327 131.8Purchase 325 138Purchase 313 138Purchase 300 138Purchase 300 138Purchase 300 138Purchase 300 138Purchase 300 138Purchase 300 138Purchase 300 132.5Purchase 300 134.43Purchase 300 134.34Purchase 300 133.2Purchase 300 133.2Purchase 300 131.8Purchase 300 131.75Purchase 290 138Purchase 285 133.99Purchase 261 131.59Purchase 260 131.6Purchase 251 131.75Purchase 250 138Purchase 250 138Purchase 250 138Purchase 250 138Purchase 250 131.8Purchase 248 137Purchase 241 131.77Purchase 239 138Purchase 235 138Purchase 230 138Purchase 229 138Purchase 229 131.8Purchase 227 138Purchase 225 138Purchase 225 138Purchase 225 138Purchase 223 138Purchase 215 138Purchase 212 131.8Purchase 211 131.75Purchase 210 131.8Purchase 209 138Purchase 202 138Purchase 202 131.9Purchase 200 138Purchase 200 138Purchase 200 138Purchase 200 138Purchase 200 138Purchase 200 138Purchase 200 138Purchase 200 138Purchase 200 138Purchase 200 138Purchase 200 138Purchase 200 138Purchase 200 134.43Purchase 200 133.2Purchase 200 131.38Purchase 200 131.69Purchase 200 131.8Purchase 195 138Purchase 190 138Purchase 183 138Purchase 180 138Purchase 177 138Purchase 177 138Purchase 175 132.31Purchase 172 131.62Purchase 166 131.66Purchase 160 138Purchase 158 138Purchase 150 138Purchase 150 138Purchase 150 138Purchase 150 138Purchase 150 138Purchase 150 138Purchase 150 132.5Purchase 150 131.8Purchase 149 131.6Purchase 147 132.49Purchase 147 132.48Purchase 141 138Purchase 140 132.5Purchase 135 138Purchase 132 138Purchase 121 138Purchase 120 138Purchase 120 138Purchase 120 138Purchase 120 131.59Purchase 116 138Purchase 116 138Purchase 116 131.6Purchase 110 138Purchase 110 138Purchase 110 138Purchase 109 138Purchase 108 138Purchase 101 131.77Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 138Purchase 100 133.48Purchase 100 132.5Purchase 100 134.43Purchase 100 132.2Purchase 100 131.62Purchase 100 131.69Purchase 100 131.62Purchase 100 131.69Purchase 100 131.61Purchase 100 131.8Purchase 100 131.8Purchase 98 138Purchase 98 133.2Purchase 97 138Purchase 96 138Purchase 94 131.39Purchase 90 131.8Purchase 89 136.8Purchase 86 138Purchase 84 131.8Purchase 83 138Purchase 83 134.34Purchase 83 134.34Purchase 83 134.34Purchase 81 138Purchase 80 138Purchase 80 138Purchase 80 133.5Purchase 80 132.2Purchase 80 131.75Purchase 75 134.34Purchase 72 138Purchase 71 131.7Purchase 70 138Purchase 70 138Purchase 70 131.8Purchase 67 138Purchase 65 138Purchase 65 132.7Purchase 64 138Purchase 64 138Purchase 64 138Purchase 61 134.34Purchase 60 138Purchase 60 138Purchase 57 138Purchase 57 138Purchase 57 132.7Purchase 56 138Purchase 55 131.75Purchase 53 138Purchase 53 131.8Purchase 52 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 138Purchase 50 132.5Purchase 50 132.31Purchase 50 131.59Purchase 50 131.8Purchase 50 131.8Purchase 50 131.75Purchase 50 131.79Purchase 47 131.8Purchase 46 138Purchase 45 138Purchase 45 138Purchase 45 138Purchase 45 138Purchase 45 131.66Purchase 45 131.77Purchase 44 138Purchase 41 138Purchase 41 131.66Purchase 40 131.66Purchase 38 138Purchase 37 131.6Purchase 34 131.79Purchase 33 138Purchase 33 131.8Purchase 30 138Purchase 30 131.8Purchase 29 131.7Purchase 27 138Purchase 26 131.75Purchase 25 138Purchase 25 134.4Purchase 22 133.2Purchase 21 138Purchase 20 138Purchase 20 138Purchase 20 132.5Purchase 20 131.8Purchase 20 131.8Purchase 19 134.34Purchase 18 138Purchase 17 131.75Purchase 14 131.8Purchase 9 138Purchase 9 138Purchase 8 131.69Purchase 5 133.2Purchase 5 131.59Purchase 3 138Purchase 1 131.9Purchase 1 131.9Purchase 1 131.9Purchase 1 131.9Sale -9 130.9Sale -9 130.85Sale -17 131.61Sale -19 130.9Sale -23 131.61Sale -25 131.81Sale -99 131.81Sale -99 130.95Sale -190 131.31Sale -359 130.9Sale -409 132.1Sale -473 131.81Sale -484 131.61Sale -497 130.9Sale -498 131.81Sale -864 130.9Sale -896 131.81Sale -995 130.78Sale -1,000 133.5Sale -1,000 131.39Sale -1,010 131.3Sale -1,220 130.9Sale -1,312 130.9Sale -1,692 130.9Sale -1,976 131.61Sale -2,500 133.5Sale -4,163 130.9Sale -4,833 134.01Sale -5,000 131.5Sale -5,167 134.01Sale -9,591 132.1Sale -20,000 131Sale -30,000 132.1Sale -43,359 133.3Sale -63,100 130.9Sale -68,596 131.85Sale -100,000 133.5Sale -100,000 132.51Sale -100,000 130.9TOTAL SALE 571,484TOTAL PURCHASE 922,766 (b) Derivatives transactions (other than options) Product name, Long/short (Note 6) Number of securities (Note 7) Price per unit (Note 5) e.g. CFD (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product name, Writing, selling, Number of securities Exercise Type, e.g. Expiry Option money purchasing, to which the option American,e.g. call option varying etc. relates (Note 7) price European etc. date paid/received per unit (Note 5) Call Option Selling -100 AUD107.06 American 20-Dec-07 AUD4.96Call Option Selling -48 AUD75.04 American 27-Jun-08 AUD10.17Call Option Selling -20000 AUD110 American 20-Dec-07 AUD13.69Call Option Selling -3 AUD75.04 American 27-Jun-08 AUD26Call Option Selling -3 AUD75.04 American 27-Jun-08 AUD8.5Call Option Purchasing 20000 AUD120 American 20-Dec-07 AUD13.69Call Option Purchasing 100 AUD135 American 20-Dec-07 AUD4.96Call Option Purchasing 48 AUD125 American 20-Dec-07 AUD10.17Put Option Selling -76000 AUD109.85 American 24-Jan-08 AUD0.85Put Option Selling -76000 AUD130 American 29-Nov-07 AUD0.85Put Option Selling -19000 AUD107.06 American 20-Dec-07 AUD0.85Put Option Selling -19000 AUD107.06 American 20-Dec-07 AUD0.85Put Option Selling -531 AUD107.06 American 20-Dec-07 AUD0.04Call Warrant Purchasing 1000 AUD85 European 24-Jan-08 AUD47.5Call Warrant Purchasing 900 AUD85 European 24-Jan-08 AUD48.51Call Warrant Purchasing 500 AUD85 European 24-Jan-08 AUD48.51Call Warrant Purchasing 500 AUD85 European 24-Jan-08 AUD48.51Call Warrant Purchasing 500 AUD85 European 24-Jan-08 AUD47.5Call Warrant Purchasing 380 AUD85 European 24-Jan-08 AUD47.5Call Warrant Purchasing 100 AUD38.5 European 14-Mar-08 AUD95.52Call Warrant Purchasing 100 AUD85 European 24-Jan-08 AUD48.54Call Warrant Purchasing 100 AUD85 European 24-Jan-08 AUD47.65Call Warrant Purchasing 10 AUD85 European 24-Jan-08 AUD47.5Call Warrant Purchasing 10 AUD85 European 24-Jan-08 AUD47.5Call Warrant Selling -1 AUD85 European 24-Jan-08 AUD48.77Call Warrant Selling -7000 AUD85 European 24-Jan-08 AUD48.77Call Warrant Selling -7500 AUD85 European 24-Jan-08 AUD48.77Call Warrant Selling -7500 AUD85 European 24-Jan-08 AUD48.77Call Warrant Selling -8000 AUD85 European 24-Jan-08 AUD48.77Call Warrant Selling -8500 AUD85 European 24-Jan-08 AUD48.77Call Warrant Selling -9000 AUD85 European 24-Jan-08 AUD48.77Call Warrant Selling -9999 AUD85 European 24-Jan-08 AUD48.77 (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 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 8 attached? (Note 9) YES/NO Date of disclosure 19 November 2007 Contact name Ann Tran Telephone number +612 9324 3652 If a connected EFM, name of offeree/offeror with which connected N/AIf a connected EFM, state nature of connection (Note 10) N/A Notes The Notes on Form 8.3 can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk FORM 8.3 DEALINGS BY PERSONS WITH INTERESTS IN SECURITIES REPRESENTING 1% OR MORE (Rule 8.3 of the Takeover Code) 1. KEY INFORMATION Name of person dealing (Note 1) UBS Securities Australia LimitedCompany dealt in Rio Tinto PlcClass of relevant security to which the Ordinary sharesdealings being disclosed relate (Note 2) 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 3) Long Short Number Number (%) (%) (1) Relevant securities 1,349,993 0.14% 893,144 0.09% (2) Derivatives (other than options) Warrants(3) Options and agreements to purchase/sell 1,124,274 0.11% Total 1,349,993 0.14% 2,017,418 0.20% (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 on notes on form 8.3) Class of relevant security: Details (This should only be filled in where therights are over new shares and not existingshares) 3. DEALINGS (Note 4) (a) Purchases and sales Purchase/sale Number of securities Price per unit (Note 5) ($AUD) Purchase 110,750 98.8187Purchase 67,000 128.72Purchase 8,000 124.73Sale -80,440 123.0773TOTAL SALE -80,440TOTAL PURCHASE 185,750 (b) Derivatives transactions (other than options) Product name, Long/short (Note 6) Number of securities (Note 7) Price per unit (Note 5) e.g. CFD (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Product name, Writing, selling, Number of securities Exercise Type, e.g. Expiry Option money purchasing, to which the option American,e.g. call option varying etc. relates (Note 7) price European etc. date paid/received per unit (Note 5) Call Warrant Purchase 1 0.01 European 2-Jul-08 122.44 Call Warrant Purchase 1 0.01 European 2-Mar-12 122.44 Call Warrant Sale -1 0.01 European 2-Mar-12 122.44 (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 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 8 attached? (Note 9) YES/NO Date of disclosure 19 November 2007 Contact name Ann Tran Telephone number +612 9324 3652 If a connected EFM, name of offeree/offeror with which connected N/AIf a connected EFM, state nature of connection (Note 10) N/A Notes The Notes on Form 8.3 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