16th Nov 2007 12:08
UBS Securities Australia Limited16 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 15 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 260,064 0.06% 3,668,682 0.80% (2) Derivatives (other than options)Warrants(3) Options and agreements to purchase/sell 6,521,431 1.43% 4,323,968 0.95% Total 6,777,703 1.49% 6,974,477 1.75% (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 - 763 134.7Sale - 660 134.59Sale - 656 134.7Sale - 280 134.59Sale - 274 134.7Sale - 158 134.7Sale - 47 134.7Sale - 45 134.69Sale - 34 134.69Sale - 23 134.7Sale - 20 137.5Sale - 11 134.59Purchase 2 134.64Purchase 2 134.72Purchase 5 134.7Purchase 6 134.64Purchase 11 134.59Purchase 19 134.7Purchase 35 134.72Purchase 45 134.68Purchase 45 134.69Purchase 47 134.72Purchase 49 134.71Purchase 56 134.7Purchase 66 134.68Purchase 113 134.68Purchase 119 134.59Purchase 130 134.73Purchase 144 134.64Purchase 147 134.64Purchase 162 134.68Purchase 177 134.73Purchase 224 134.7Purchase 247 134.68Purchase 270 134.64Purchase 280 134.59Purchase 300 135.68Purchase 316 134.7Purchase 399 134.68Purchase 420 134.68Purchase 454 134.69Purchase 548 134.7Purchase 635 134.68Purchase 641 134.7Purchase 660 134.59Purchase 713 134.68Purchase 814 134.7Purchase 984 134.68Purchase 1,516 134.68Purchase 1,527 134.7Purchase 1,951 134.71Purchase 1,981 134.7Purchase 2,000 134.7Purchase 2,000 134.68Purchase 3,609 134.73Purchase 5,000 134.7TOTAL SALE 2,971TOTAL PURCHASE 28,869 (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 price European etc. date paid/received per $AUD unit $AUD Call Warrant Sale -7999 85 E 24-Jan-08 51.29Call Warrant Sale -6999 85 E 24-Jan-08 51.29Call Warrant Sale -5999 85 E 24-Jan-08 51.29Call Warrant Sale -3999 85 E 24-Jan-08 51.29Call Warrant Sale -1057 96 E 6-Nov-08 0Call Warrant Sale -560 96 E 6-Nov-08 51.54Call Warrant Sale -500 50 E 22-Nov-07 84.58Call Warrant Sale -150 96 E 6-Nov-08 0Call Warrant Sale -77 96 E 6-Nov-08 52.863Call Warrant Sale -1 85 E 24-Jan-08 50.29Call Warrant Sale -1 85 E 24-Jan-08 51.29Call Warrant Sale -1 85 E 24-Jan-08 51.29Call Warrant Sale -1 85 E 24-Jan-08 51.29Call Warrant Purchase 150 57 E 22-Nov-07 27.474Call Warrant Purchase 1057 57 E 22-Nov-07 27.317 (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 16 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 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 15 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 1,133,506 0.11% 793,144 0.08% (2) Derivatives (other than options)Warrants(3) Options and agreements to purchase/sell 1,124,274 0.11% Total 1,133,506 0.11% 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) (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 16 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