14th Nov 2007 12:36
UBS Securities Australia Limited14 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 13 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 206,065 0.05% 2,911,583 0.64% (2) Derivatives (other than options) Warrants(3) Options and agreements to purchase/sell 6,521,431 1.43% 4,359,582 0.95% Total 6,727,496 1.47% 7,271,165 1.59% (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) Sell -76,633 $138 Sell -30,000 $141 Sell -11,203 $135 Sell -11,203 $135 Sell -10,571 $139 Sell -10,000 $141 Sell -10,000 $141 Sell -10,000 $140 Sell -10,000 $140 Sell -5,532 $139 Sell -5,226 $139 Sell -5,224 $139 Sell -5,000 $139 Sell -5,000 $139 Sell -5,000 $139 Sell -4,950 $138 Sell -4,380 $140 Sell -4,173 $138 Sell -3,133 $139 Sell -3,000 $139 Sell -2,916 $139 Sell -2,500 $139 Sell -2,500 $139 Sell -2,277 $141 Sell -2,186 $138 Sell -2,013 $139 Sell -2,000 $138 Sell -1,719 $139 Sell -1,500 $141 Sell -1,500 $139 Sell -1,480 $139 Sell -1,167 $139 Sell -1,023 $139 Sell -1,000 $141 Sell -1,000 $138 Sell -1,000 $139 Sell -1,000 $139 Sell -994 $139 Sell -975 $139 Sell -970 $141 Sell -937 $138 Sell -900 $141 Sell -889 $139 Sell -811 $139 Sell -777 $141 Sell -738 $135 Sell -725 $139 Sell -725 $139 Sell -720 $139 Sell -653 $139 Sell -622 $139 Sell -620 $138 Sell -600 $141 Sell -571 $139 Sell -562 $141 Sell -506 $139 Sell -499 $140 Sell -499 $139 Sell -491 $141 Sell -417 $139 Sell -417 $140 Sell -410 $140 Sell -375 $140 Sell -337 $140 Sell -333 $139 Sell -314 $138 Sell -310 $139 Sell -300 $141 Sell -300 $139 Sell -298 $139 Sell -292 $139 Sell -290 $140 Sell -281 $139 Sell -275 $140 Sell -267 $139 Sell -264 $139 Sell -264 $139 Sell -253 $139 Sell -251 $139 Sell -246 $139 Sell -244 $139 Sell -241 $139 Sell -237 $136 Sell -233 $139 Sell -223 $141 Sell -223 $141 Sell -222 $138 Sell -215 $139 Sell -200 $139 Sell -200 $137 Sell -196 $138 Sell -194 $139 Sell -180 $139 Sell -176 $141 Sell -172 $140 Sell -161 $139 Sell -153 $140 Sell -150 $139 Sell -150 $138 Sell -145 $138 Sell -132 $139 Sell -117 $140 Sell -92 $140 Sell -85 $139 Sell -83 $139 Sell -81 $139 Sell -77 $139 Sell -65 $140 Sell -60 $140 Sell -60 $140 Sell -57 $139 Sell -54 $140 Sell -51 $139 Sell -49 $139 Sell -43 $139 Sell -38 $138 Sell -35 $140 Sell -35 $140 Sell -31 $139 Sell -22 $139 Sell -21 $138 Sell -20 $138 Sell -20 $139 Sell -15 $139 Sell -9 $138 Sell -5 $138 Sell -5 $139 Sell -1 $139 Sell -1 $139 Purchase 1 $137 Purchase 1 $137 Purchase 1 $139 Purchase 2 $138 Purchase 2 $139 Purchase 3 $139 Purchase 4 $139 Purchase 4 $139 Purchase 5 $138 Purchase 5 $139 Purchase 6 $139 Purchase 7 $140 Purchase 8 $137 Purchase 8 $140 Purchase 8 $140 Purchase 10 $139 Purchase 10 $139 Purchase 11 $140 Purchase 12 $139 Purchase 14 $139 Purchase 22 $140 Purchase 24 $139 Purchase 24 $140 Purchase 26 $140 Purchase 29 $140 Purchase 30 $139 Purchase 33 $140 Purchase 35 $138 Purchase 35 $140 Purchase 35 $140 Purchase 36 $139 Purchase 37 $139 Purchase 37 $140 Purchase 40 $139 Purchase 40 $138 Purchase 43 $139 Purchase 43 $139 Purchase 45 $138 Purchase 48 $139 Purchase 50 $138 Purchase 50 $137 Purchase 50 $139 Purchase 54 $139 Purchase 55 $137 Purchase 55 $139 Purchase 56 $139 Purchase 56 $139 Purchase 62 $139 Purchase 65 $139 Purchase 66 $139 Purchase 67 $140 Purchase 69 $139 Purchase 71 $139 Purchase 72 $139 Purchase 72 $139 Purchase 74 $139 Purchase 74 $139 Purchase 76 $140 Purchase 84 $139 Purchase 85 $138 Purchase 85 $139 Purchase 89 $140 Purchase 92 $139 Purchase 95 $140 Purchase 100 $138 Purchase 100 $138 Purchase 100 $138 Purchase 100 $137 Purchase 100 $138 Purchase 100 $137 Purchase 100 $137 Purchase 100 $137 Purchase 100 $137 Purchase 100 $140 Purchase 100 $139 Purchase 100 $138 Purchase 104 $138 Purchase 104 $139 Purchase 106 $140 Purchase 116 $140 Purchase 122 $139 Purchase 126 $138 Purchase 131 $137 Purchase 132 $140 Purchase 133 $137 Purchase 133 $139 Purchase 139 $138 Purchase 140 $139 Purchase 150 $138 Purchase 150 $137 Purchase 150 $138 Purchase 163 $139 Purchase 166 $139 Purchase 168 $139 Purchase 169 $139 Purchase 169 $139 Purchase 170 $139 Purchase 171 $139 Purchase 171 $139 Purchase 172 $139 Purchase 172 $139 Purchase 173 $139 Purchase 173 $139 Purchase 173 $140 Purchase 174 $139 Purchase 175 $139 Purchase 175 $139 Purchase 176 $139 Purchase 176 $140 Purchase 178 $139 Purchase 178 $139 Purchase 178 $140 Purchase 178 $139 Purchase 181 $139 Purchase 182 $139 Purchase 182 $139 Purchase 183 $139 Purchase 184 $140 Purchase 185 $138 Purchase 185 $139 Purchase 185 $139 Purchase 186 $139 Purchase 186 $139 Purchase 188 $139 Purchase 188 $139 Purchase 194 $140 Purchase 194 $139 Purchase 197 $140 Purchase 197 $140 Purchase 199 $140 Purchase 200 $137 Purchase 200 $137 Purchase 200 $137 Purchase 200 $137 Purchase 200 $137 Purchase 200 $140 Purchase 200 $137 Purchase 203 $139 Purchase 204 $140 Purchase 207 $138 Purchase 207 $138 Purchase 207 $138 Purchase 211 $140 Purchase 212 $139 Purchase 213 $139 Purchase 214 $139 Purchase 215 $140 Purchase 215 $139 Purchase 216 $138 Purchase 216 $139 Purchase 217 $139 Purchase 218 $138 Purchase 222 $138 Purchase 235 $139 Purchase 249 $137 Purchase 251 $138 Purchase 274 $138 Purchase 279 $140 Purchase 279 $140 Purchase 285 $139 Purchase 298 $139 Purchase 300 $138 Purchase 300 $138 Purchase 300 $137 Purchase 300 $140 Purchase 312 $139 Purchase 354 $139 Purchase 366 $140 Purchase 366 $140 Purchase 384 $138 Purchase 392 $137 Purchase 395 $140 Purchase 399 $138 Purchase 400 $138 Purchase 400 $138 Purchase 400 $137 Purchase 429 $139 Purchase 494 $137 Purchase 500 $138 Purchase 567 $137 Purchase 581 $139 Purchase 582 $137 Purchase 700 $137 Purchase 780 $139 Purchase 794 $138 Purchase 800 $137 Purchase 800 $138 Purchase 812 $138 Purchase 979 $140 Purchase 994 $138 Purchase 1,000 $138 Purchase 1,000 $137 Purchase 1,080 $138 Purchase 1,210 $140 Purchase 1,247 $140 Purchase 1,354 $140 Purchase 1,500 $140 Purchase 1,716 $140 Purchase 1,719 $139 Purchase 1,800 $137 Purchase 1,885 $137 Purchase 1,900 $138 Purchase 1,904 $140 Purchase 2,000 $138 Purchase 2,292 $137 Purchase 2,374 $138 Purchase 2,460 $138 Purchase 2,815 $138 Purchase 4,000 $140 Purchase 4,021 $140 Purchase 4,149 $140 Purchase 4,200 $138 Purchase 5,000 $137 Purchase 5,000 $137 Purchase 5,000 $140 Purchase 5,200 $137 Purchase 5,200 $137 Purchase 5,532 $139 Purchase 7,500 $140 Purchase 9,000 $139 Purchase 9,500 $140 Purchase 9,941 $139 Purchase 10,000 $141 Purchase 10,000 $140 Purchase 10,000 $138 Purchase 10,851 $140 Purchase 11,203 $135 Purchase 19,052 $141 Purchase 21,321 $139 Purchase 121,663 $139 TOTAL PURCHASES 363,354 TOTAL SALES 286,566 (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) Warrant Purchasing 500 85 European 28 Jan 08 56.63Warrant Purchasing 500 85 European 28 Jan 08 55.36 (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 14 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 13 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 2,891,441 0.29% 793,144 0.08% (2) Derivatives (other than options) Warrants(3) Options and agreements to purchase/sell 1,124,274 0.11% Total 4,015,715 0.40% 793,144 0.08% (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) (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 14 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