19th Nov 2007 14:14
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 Limited Company dealt in Rio Tinto Limited Class of relevant security to which the Ordinary sharesdealings being disclosed relate (Note 2) Date of dealing 12 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 209,857 0.05% 2,118,439 0.46% (2) Derivatives (other than options) Warrants(3) Options and agreements to purchase/sell 6,521,431 1.43% 4,298,828 0.94% Total 6,731,288 6,417,267 1.47% 1.40% (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 215,207 142.36Purchase 165,525 134Purchase 100,000 140Purchase 100,000 144Purchase 76,786 144Purchase 64,746 139.21Purchase 23,256 139.2307Purchase 23,256 139.2307Purchase 8,946 135Purchase 8,946 139.72Purchase 6,766 139.72Purchase 5,115 143.2666Purchase 3,405 139.9Purchase 3,382 139.72Purchase 2,650 135Purchase 2,150 139.9Purchase 2,104 139.72Purchase 2,025 137.12Purchase 1,799 140Purchase 1,501 137.2Purchase 1,400 137.5Purchase 1,200 135Purchase 1,200 142.9Purchase 1,100 139.42Purchase 1,000 143.35Purchase 1,000 140.01Purchase 904 139.72Purchase 900 141.4Purchase 900 140.04Purchase 892 139.72Purchase 800 138.04Purchase 700 149.7Purchase 700 139.19Purchase 600 139.33Purchase 600 138.05Purchase 551 140Purchase 546 138.46Purchase 500 145.42Purchase 500 140.44Purchase 500 141.98Purchase 450 138.4Purchase 447 139.72Purchase 434 139.4Purchase 410 139.48Purchase 349 139.9Purchase 349 139.9Purchase 349 139.9Purchase 300 141.98Purchase 300 147.02Purchase 283 137.15Purchase 282 139.42Purchase 200 138.9Purchase 200 138.9Purchase 154 138.46Purchase 150 140Purchase 137 139.9Purchase 118 139.42Purchase 110 142.77Purchase 107 141.89Purchase 106 144.89Purchase 105 141.24Purchase 104 141.27Purchase 104 139.96Purchase 101 140.15Purchase 100 140.52Purchase 96 139.72Purchase 92 139.82Purchase 92 139.81Purchase 92 139.76Purchase 92 139.19Purchase 91 139.77Purchase 91 139.74Purchase 90 139.79Purchase 90 139.78Purchase 89 141.26Purchase 89 139.76Purchase 89 140.24Purchase 89 140.23Purchase 89 139.81Purchase 89 139.79Purchase 88 143.07Purchase 88 138.56Purchase 88 140.23Purchase 88 139.78Purchase 88 139.25Purchase 87 140.22Purchase 86 140.03Purchase 86 139.88Purchase 86 139.69Purchase 83 139.72Purchase 79 139.77Purchase 76 138.21Purchase 73 140.27Purchase 72 140.26Purchase 71 144.78Purchase 61 141.27Purchase 59 142.76Purchase 58 142.74Purchase 56 140.22Purchase 51 142.76Purchase 50 139.9Purchase 45 141.27Purchase 38 138.33Purchase 38 138.92Purchase 37 139.95Purchase 29 142.85Purchase 27 143.11Purchase 27 140.02Purchase 26 140.14Purchase 26 139.8Purchase 25 140.51Purchase 22 142.85Purchase 21 140.3Purchase 21 139.18Purchase 20 142.97Purchase 19 139.33Purchase 19 140.26Purchase 19 140.22Purchase 18 138.4Purchase 17 141.26Purchase 16 140.03Purchase 16 139.87Purchase 16 139.28Purchase 15 139.78Purchase 13 140.27Purchase 12 140.22Purchase 12 139.68Purchase 10 143.11Purchase 6 139.77Purchase 4 140.27Purchase 3 139.69Purchase 2 137.13Sale -1 143.35Sale -12 142.31Sale -12 143.35Sale -15 143.35Sale -18 142Sale -18 142.5Sale -21 142.1Sale -25 142.3Sale -28 143.35Sale -30 142.5Sale -38 138.6Sale -50 143.35Sale -52 142.6Sale -78 140.13Sale -83 139.72Sale -90 142.2Sale -99 143.33Sale -99 137.87Sale -100 142.09Sale -100 142Sale -100 141.8Sale -100 142.3Sale -100 143.36Sale -100 143.35Sale -100 147.03Sale -100 147.03Sale -100 138.1Sale -100 138.1Sale -119 142.5Sale -140 143.35Sale -140 140.5Sale -145 138.11Sale -145 138.1Sale -175 143.35Sale -191 142.5Sale -195 138.1Sale -197 142.3Sale -199 143.35Sale -200 147.03Sale -300 142.6Sale -335 143.35Sale -335 140.13Sale -337 135Sale -350 142.5Sale -381 142.5Sale -399 137.91Sale -415 140.5Sale -482 142.3Sale -499 139.39Sale -500 142.5Sale -500 142.5Sale -500 147.5Sale -500 147.5Sale -599 142.5Sale -766 142.3Sale -892 139.72Sale -900 143.32Sale -936 142.62Sale -982 142.5Sale -987 142Sale -1,000 142.3Sale -1,000 142.5Sale -1,000 142.74Sale -1,000 143.2Sale -1,000 143.4Sale -1,000 143.34Sale -1,000 138.1Sale -1,000 140.5Sale -1,004 140.5Sale -1,064 142.66Sale -1,418 142.29Sale -1,441 139.72Sale -1,445 143.35Sale -1,500 138.1Sale -1,551 142.5Sale -1,600 147.03Sale -1,648 142.6Sale -1,779 142.5Sale -2,000 142.11Sale -2,000 142.43Sale -2,087 140.13Sale -2,104 139.72Sale -2,308 137.106Sale -2,900 141.8Sale -3,813 142Sale -4,815 138.1Sale -4,910 142.2Sale -4,982 142Sale -5,000 142Sale -6,079 140.4563Sale -8,946 135Sale -8,946 135Sale -8,946 139.72Sale -9,979 142Sale -10,000 149.3Sale -23,256 139.2307Sale -25,000 141.6074Sale -25,000 140.8958Sale -40,209 139.25Sale -64,746 139.21Sale -73,382 143Sale -100,000 144Sale -100,000 140Sale -160,341 137Sale -215,207 142.36 TOTAL SALE 954,916 TOTAL PURCHASE 843,360 (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 Selling -1,800 AUD 57 European 27-May-08 AUD 83.64Call Option Selling -20 AUD 140 American 29-Nov-07 AUD 5.00Call Option Selling -20 AUD 140 American 29-Nov-07 AUD 5.00Call Option Selling -5 AUD 140 American 29-Nov-07 AUD 5.16Call Option Selling -5 AUD 140 American 29-Nov-07 AUD 5.16Call Option Purchasing 5 AUD 140 American 29-Nov-07 AUD 5.16Call Option Purchasing 20 AUD 140 American 29-Nov-07 AUD 5.00Call Warrant Purchasing 100 AUD 39 European 14-Mar-08 AUD 111.00Call Warrant Purchasing 100 AUD 85 European 24-Jan-08 AUD 54.50Call Warrant Purchasing 400 AUD 85 European 24-Jan-08 AUD 54.50Call Warrant Purchasing 500 AUD 90 European 20-Dec-07 AUD 10.77Call Warrant Purchasing 500 AUD 85 European 24-Jan-08 AUD 56.00Call Warrant Purchasing 7,500 AUD 85 European 24-Jan-08 AUD 58.98Call Warrant Purchasing 10,000 AUD 85 European 24-Jan-08 AUD 58.98Call Warrant Purchasing 20,000 AUD 85 European 24-Jan-08 AUD 58.98Call Warrant Purchasing 20,000 AUD 85 European 24-Jan-08 AUD 58.98 (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/A If 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 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 Limited Company dealt in Rio Tinto Plc Class of relevant security to which the Ordinary sharesdealings being disclosed relate (Note 2) Date of dealing 12 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 1,212,836 0.12% 793,144 0.08% (2) Derivatives (other than options) Warrants (3) Options and agreements to purchase/sell 1,124,274 0.11% Total 1,212,836 0.12% 1,917,418 0.19% (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) Sale -220000 AUD 130.10Sale -178767 AUD 124.07Sale -83776 AUD 132.10Sale -82929 AUD 133.33Sale -75000 AUD 136.55Sale -69279 AUD 130.10Sale -25000 AUD 129.52Purchase 43325 AUD 129.23Purchase 69279 AUD 130.10Purchase 83766 AUD 132.10Purchase 83776 AUD 132.10Purchase 100000 GBP 60.71Purchase 173169 AUD 126.85TOTAL PURCHASE 553,315TOTAL SALE 734,751 (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) (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/A If 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