22nd Sep 2008 14:50
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 |
19th September 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 |
31,756,641 |
3.18% |
||
|
(2) Derivatives (other than options) |
126,100 |
0.01% |
||
|
(3) Options and agreements to purchase/sell |
122,500 |
0.01% |
-227,000 |
-0.02% |
|
Total |
32,005,241 |
3.20% |
-227,000 |
-0.02% |
|
(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 |
1,000* |
GBP 54.00 |
|
Purchase |
33,576 |
GBP 39,8109 |
|
Purchase |
99,800 |
GBP 41.52 |
|
Purchase |
8,800 |
GBP 41.68 |
|
Purchase |
2 ADR = 8 ord shares |
USD 291.33 |
|
Purchase |
3 ADR = 12 ord shares |
USD 292.61 |
|
Purchase |
10 ADR = 40 ord shares |
USD 294.32 |
|
Purchase |
1 ADR = 4 ord shares |
USD 295.63 |
|
Purchase |
1 ADR = 4 ord shares |
USD 296.00 |
|
Purchase |
20 ADR = 80 ord shares |
USD 306.38 |
|
Purchase |
1 ADR = 4 ord shares |
USD 308.55 |
|
Sale |
6,918 |
GBP 38.30 |
|
Sale |
200,000 |
GBP 39.2743 |
|
Sale |
219 |
GBP 41.68 |
|
Sale |
1 ADR = 4 ord shares |
USD 294.32 |
|
Sale |
18 ADR = 72 ord shares |
USD 299.75 |
|
Sale |
1 ADR = 4 ord shares |
USD 302.72 |
|
Sale |
1 ADR = 4 ord shares |
USD 303.87 |
|
Sale |
6 ADR = 24 ord shares |
USD 303.88 |
|
Sale |
151 ADR = 604 ord shares |
USD 304.54 |
|
Sale |
23 ADR = 92 ord shares |
USD 305.01 |
|
Sale |
5 ADR = 20 ord shares |
USD 305.03 |
|
Sale |
100 ADR = 400 ord shares |
USD 305.04 |
|
Sale |
8 ADR = 32 ord shares |
USD 305.10 |
|
Sale |
20 ADR = 80 ord shares |
USD 305.11 |
|
Sale |
2 ADR = 8 ord shares |
USD 305.23 |
|
Sale |
1 ADR = 4 ord shares |
USD 305.30 |
|
Sale |
40 ADR = 160 ord shares |
USD 306.76 |
|
Sale |
2 ADR = 8 ord shares |
USD 307.02 |
|
Sale |
2 ADR = 8 ord shares |
USD 307.03 |
|
Sale |
10 ADR = 40 ord shares |
USD 307.09 |
|
Sale |
8 ADR = 32 ord shares |
USD 307.28 |
|
Sale |
17 ADR = 68 ord shares |
USD 307.29 |
|
Sale |
3 ADR = 12 ord shares |
USD 307.51 |
|
Sale |
5 ADR = 20 ord shares |
USD 307.52 |
|
Sale |
1 ADR = 4 ord shares |
USD 307.53 |
|
Sale |
9 ADR = 36 ord shares |
USD 307.54 |
|
Sale |
37 ADR = 148 ord shares |
USD 307.93 |
|
Sale |
16 ADR = 64 ord shares |
USD 307.98 |
|
Sale |
1 ADR = 4 ord shares |
USD 308.07 |
|
Sale |
22 ADR = 88 ord shares |
USD 308.08 |
|
Sale |
11 ADR = 44 ord shares |
USD 308.56 |
|
Sale |
47 ADR = 188 ord shares |
USD 308.96 |
|
Sale |
22 ADR = 88 ord shares |
USD 309.00 |
|
Sale |
1 ADR = 4 ord shares |
USD 309.06 |
|
Sale |
1 ADR = 4 ord shares |
USD 309.08 |
|
Sale |
10 ADR = 40 ord shares |
USD 309.09 |
|
Sale |
6 ADR = 24 ord shares |
USD 309.17 |
|
Sale |
35 ADR = 140 ord shares |
USD 309.18 |
|
Sale |
1 ADR = 4 ord shares |
USD 309.24 |
|
Sale |
33 ADR = 132 ord shares |
USD 309.25 |
|
Sale |
69 ADR = 276 ord shares |
USD 309.26 |
|
Sale |
4 ADR = 16 ord shares |
USD 309.28 |
|
Sale |
1 ADR = 4 ord shares |
USD 309.74 |
|
Sale |
6 ADR = 24 ord shares |
USD 309.75 |
|
Sale |
5 ADR = 20 ord shares |
USD 309.79 |
|
Sale |
21 ADR = 84 ord shares |
USD 309.80 |
|
Sale |
10 ADR = 40 ord shares |
USD 311.28 |
|
Sale |
15 ADR = 60 ord shares |
USD 311.37 |
|
Sale |
1 ADR = 4 ord shares |
USD 311.40 |
|
Sale |
25 ADR = 100 ord shares |
USD 311.41 |
|
Sale |
10 ADR = 40 ord shares |
USD 311.52 |
|
Sale |
3 ADR = 12 ord shares |
USD 312.51 |
Note: There was a net transfer out of 150 ADRs representing 600 ordinary shares.
* Purchase at GBP 54.00 due to partial exercise of Put Options against BlackRock.
(b) Derivatives transactions (other than options)
|
Product name, e.g. CFD |
Long/short (Note 6) |
Number of securities (Note 7) |
Price per unit (Note 5) |
(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) |
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 |
22nd September 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 |
Notes
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 |
Sold |
-108,000 (i.e. 27,000 ADRs) |
USD 410.00 |
American |
18 October 2008 |
|
Call Option |
Sold |
-64,000 |
GBP 73.898 |
European |
4 November 2008 |
|
Call Option |
Bought |
22,500 |
GBP 65.00 |
European |
7 November 2008 |
|
Call Option |
Sold |
-55,000 |
GBP 71.50 |
European |
7 November 2008 |
|
Put Option |
Sold |
100,000 |
GBP 52.00 |
American |
19 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