31st Oct 2008 15:25
FORM 8.3
DEALINGS BY PERSONS WITH INTERESTS IN SECURITIES REPRESENTING 1% OR MORE
(Rule 8.3 of the City Code on Takeovers and Mergers)
1. KEY INFORMATION
|
Name of person dealing (Note 1) |
BlackRock Group |
|
Company dealt in |
Rio Tinto Plc |
|
Class of relevant security to which the dealings being disclosed relate (Note 2) |
10p Ordinary shares |
|
Date of dealing |
30th October 2008 |
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 |
27,394,174 |
2.74% |
||
|
(2) Derivatives (other than options) |
102,600 |
0.01% |
||
|
(3) Options and agreements to purchase/sell |
143,500* |
0.01% |
-147,000 |
-0.01% |
|
Total |
27,640,274 |
2.77% |
-147,000 |
-0.01% |
*Please note that the number of long options was understated by 45,000 for the period 16th October 08 - 29th October 08.
The November Put option @ GBP 32.00 was incorrectly calculated due to a data error.
The supplemental form has been updated accordingly.
|
(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)
Purchases and sales
|
Purchase/sale |
Number of securities |
Price per unit (Note 5) |
|
Purchase |
13,767 |
GBP 27.66 |
|
Purchase |
5,500 |
GBP 27.67 |
|
Purchase |
45 ADR = 180 ord shares |
USD 174.17 |
|
Purchase |
10 ADR = 40 ord shares |
USD 174.49 |
|
Purchase |
11 ADR = 44 ord shares |
USD 174.50 |
|
Purchase |
11 ADR = 44 ord shares |
USD 175.59 |
|
Purchase |
1 ADR = 4 ord shares |
USD 178.51 |
|
Purchase |
2 ADR = 8 ord shares |
USD 179.00 |
|
Purchase |
100 ADR = 400 ord shares |
USD 179.84 |
|
Purchase |
3 ADR = 12 ord shares |
USD 180.91 |
|
Purchase |
2 ADR = 8 ord shares |
USD 180.92 |
|
Purchase |
2 ADR = 8 ord shares |
USD 181.04 |
|
Purchase |
17 ADR = 68 ord shares |
USD 183.23 |
|
Purchase |
1 ADR = 4 ord shares |
USD 184.49 |
|
Purchase |
6 ADR = 24 ord shares |
USD 186.68 |
|
Purchase |
8 ADR = 32 ord shares |
USD 186.75 |
|
Purchase |
3 ADR = 12 ord shares |
USD 187.93 |
|
Sale |
4,000 |
GBP 28.51 |
|
Sale |
98,900 |
GBP 28.52 |
|
Sale |
1 ADR = 4 ord shares |
USD 174.86 |
|
Sale |
4 ADR = 16 ord shares |
USD 174.87 |
|
Sale |
1 ADR = 4 ord shares |
USD 177.57 |
|
Sale |
15 ADR = 60 ord shares |
USD 177.58 |
|
Sale |
1 ADR = 4 ord shares |
USD 178.56 |
|
Sale |
1 ADR = 4 ord shares |
USD 178.64 |
|
Sale |
5 ADR = 20 ord shares |
USD 178.65 |
|
Sale |
1 ADR = 4 ord shares |
USD 178.70 |
|
Sale |
3 ADR = 12 ord shares |
USD 179.14 |
|
Sale |
10 ADR = 40 ord shares |
USD 179.15 |
|
Sale |
3 ADR = 12 ord shares |
USD 179.92 |
|
Sale |
4 ADR = 16 ord shares |
USD 179.93 |
|
Sale |
1 ADR = 4 ord shares |
USD 180.13 |
|
Sale |
26 ADR = 104 ord shares |
USD 180.14 |
|
Sale |
1 ADR = 4 ord shares |
USD 180.32 |
|
Sale |
1 ADR = 4 ord shares |
USD 180.34 |
|
Sale |
2 ADR = 8 ord shares |
USD 180.35 |
|
Sale |
2 ADR = 8 ord shares |
USD 180.96 |
|
Sale |
1 ADR = 4 ord shares |
USD 181.54 |
|
Sale |
1 ADR = 4 ord shares |
USD 181.56 |
|
Sale |
2 ADR = 8 ord shares |
USD 181.59 |
|
Sale |
8 ADR = 32 ord shares |
USD 182.10 |
|
Sale |
6 ADR = 24 ord shares |
USD 182.31 |
|
Sale |
177 ADR = 708 ord shares |
USD 182.69 |
|
Sale |
116 ADR = 464 ord shares |
USD 182.99 |
|
Sale |
74 ADR = 296 ord shares |
USD 183.01 |
|
Sale |
646 ADR = 2,584 ord shares |
USD 183.02 |
|
Sale |
157 ADR = 628 ord shares |
USD 183.03 |
|
Sale |
86 ADR = 344 ord shares |
USD 183.04 |
|
Sale |
37 ADR = 148 ord shares |
USD 183.08 |
|
Sale |
7,892 ADR = 31,568 ord shares |
USD 183.09 |
NB There was a net transfer out of 325 ADR = 1,300 ordinary shares.
Derivatives transactions (other than options)
|
Product name, e.g. CFD |
Long/short (Note 6) |
Number of securities (Note 7) |
Price per unit (Note 5) |
|
CFD |
Short |
992 |
GBP 28.008 |
(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) |
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.
None………………………………………………………………………………………………………………………
Is a Supplemental Form 8 attached? (Note 9) YES
|
Date of disclosure |
31st October 2008 |
|
Contact name |
Kai Chew |
|
Telephone number |
020 7743 2602 |
|
If a connected EFM, name of offeree/offeror with which connected |
BHP Billiton |
|
If a connected EFM, state nature of connection (Note 10) |
Category 2 |
Note:
The Notes on Form 8.3 can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk
SUPPLEMENTAL FORM 8
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 8.1, Form 8.1(b)(ii) or Form 8.3, as appropriate)
OPEN POSITIONS (Note 1)
|
Product name, e.g. call option |
Written or purchased |
Number of securities to which the option or derivative relates |
Exercise price (Note 2) |
Type, e.g. American, European etc. |
Expiry date |
|
Call Option |
Bought |
22,500 |
GBP 65.00 |
European |
7th November 2008 |
|
Call Option |
Sold |
-55,000 |
GBP 71.50 |
European |
7th November 2008 |
|
Put Option |
Sold |
50,000 |
GBP 32.00 |
American |
21st November 2008 |
|
Call Option |
Sold |
-10,000 |
GBP 33.00 |
American |
21st November 2008 |
|
Put Option |
Sold |
71,000 |
GBP 52.00 |
American |
19th December 2008 |
|
Put Option |
Bought |
-50,000 |
GBP 32.00 |
American |
19th December 2008 |
|
Call option |
Sold |
-32,000 ord shares (i.e. -8,000 ADRs) |
USD 195.00 |
American |
20th December 2008 |
Notes
1. Where there are open option positions or open derivative positions (except for CFDs), full details should be given. Full details of any existing agreements to purchase or to sell should also be given on this form.
2. For all prices and other monetary amounts, the currency must be stated.
For details of the Code's dealing disclosure requirements, see Rule 8 and its Notes which can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk
Related Shares:
Rio Tinto