EPT Disclosure
FORM 38.5(b)
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS
WITHOUT RECOGNISED INTERMEDIARY STATUS, OR WITH RI STATUS
BUT NOT DEALING IN A CLIENT-SERVING CAPACITY
(Rule 38.5(b) of the Takeover Code)
1. KEY INFORMATION
| Name of exempt principal trader | ABN AMRO BANK N.V. London Branch (Subsidiary of RFS Holding N.V.) |
| Company dealt in | Rio Tinto Plc |
| Class of relevant security to which the dealings being disclosed relate (Note 1) | ORD GBP 0.10 |
| Date of dealing | 5 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 2)
|
|
Long | Short |
|
|
Number (%) | Number (%) |
| (1) Relevant securities | 1,408,901 (0.1412%) | 12,436 (0.0012%) |
| (2) Derivatives (other than options) | 270 (0.0000%) | 130,343 (0.0131%) |
| (3) Options and agreements to purchase/sell | 560,022 (0.0561%) | 777,150 (0.0779%) |
| Total | 1,969,193 (0.1973%) | 919,929 (0.0922%) |
(b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 2)
| Class of relevant security: | Long | Short |
|
|
Number (%) | Number (%) |
| (1) Relevant securities | 0 (0%) | 0 (0%) |
| (2) Derivatives (other than options) | 0 (0%) | 0 (0%) |
| (3) Options and agreements to purchase/sell | 0 (0%) | 0 (0%) |
| Total | 0 (0%) | 0 (0%) |
(c) Rights to subscribe (Note 2)
| Class of relevant security: | Details |
3. DEALINGS (Note 3)
(a) Purchases and sales
| Purchase/sale | Number of securities | Price per unit (Note 4) |
|
Purchase
Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase TOTALS:
Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale TOTALS: |
3,000
4,500 4,400 5,579 1,053 1,609 565 2,383 478 198 800 2,200 12,000 24 15,000 2,000 4,608 39,725 34,500 600 135,222
113 313 3,000 189 4,400 5,266 313 253 337 141 216 143 219 43 100 142 244 178 175 140 215 123 195 103 143 141 600 97 279 56,800 103 137 126 28,300 83,985 187,272 |
43.0250 GBP
43.0800 GBP 43.1446 GBP 43.1500 GBP 43.4600 GBP 43.4700 GBP 43.4800 GBP 43.4900 GBP 43.5000 GBP 43.5200 GBP 43.6800 GBP 43.6900 GBP 43.7000 GBP 43.7800 GBP 43.8000 GBP 43.8300 GBP 43.8475 GBP 44.2340 GBP 44.3500 GBP 44.4400 GBP
42.9900 GBP 43.0300 GBP 43.0600 GBP 43.1000 GBP 43.1500 GBP 43.1554 GBP 43.1554 GBP 43.2200 GBP 43.4000 GBP 43.4900 GBP 43.5100 GBP 43.5200 GBP 43.6500 GBP 43.6700 GBP 43.6900 GBP 43.7600 GBP 43.8000 GBP 43.8900 GBP 43.9200 GBP 43.9600 GBP 43.9900 GBP 44.0600 GBP 44.2100 GBP 44.2500 GBP 44.2800 GBP 44.4200 GBP 44.4400 GBP 44.4600 GBP 44.5200 GBP 44.9050 GBP 45.0900 GBP 45.3400 GBP 45.4200 GBP 47.9400 GBP 43.7800 GBP |
(b) Derivatives transactions (other than options)
|
Product name,
e.g. CFD |
Long/short (Note 5) | Number of securities (Note 6) | Price per unit (Note 4) |
| Dec 2009 Put Warrant | Short | 500 | 0.3900 EUR |
| Dec 2009 Put Warrant | Long | 20 | 0.4000 EUR |
| Dec 2009 Put Warrant | Short | 700 | 0.4000 EUR |
| Dec 2009 Call Warrant | Short | 2,500 | 0.6600 EUR |
| Dec 2009 Call Warrant | Short | 1,500 | 0.1700 EUR |
| Dec 2009 Call Warrant | Short | 10,000 | 0.1000 EUR |
| Dec 2009 Call Warrant | Long | 100 | 0.7000 EUR |
(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 6) |
Exercise
price |
Type, e.g. American, European etc. |
Expiry
date |
Option money
paid/received per unit (Note 4) |
| Dec 2008 Put Option | Purchased | 150 | 38.0000 GBP | American | 19-12-2008 | 2.0500 GBP |
(ii) Exercising
| Product name, e.g. call option | Number of securities | Exercise price per unit (Note 4) |
(d) Other dealings (including new securities) (Note 3)
| Nature of transaction (Note 7) | Details | Price per unit (if applicable) (Note 4) |
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. |
Is a Supplemental Form 38.5(b) attached? (Note 8) YES/NO
| Date of disclosure | 8 September 2008 |
| Contact name | Fraser Wyeth |
| Telephone number | (020) 7678 0480 |
| Name of offeree/offeror with which connected | Rio Tinto Plc |
| Nature of connection (Note 9) | Advisor |
Notes: The Notes on Form 38.5(b) 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 |
| Dec 2008 Put Option | Written | 1,022 | 30.3400 GBP | American | 19-Dec-08 |
| Dec 2008 Put Option | Purchased | 150 | 38.0000 GBP | American | 19-Dec-08 |
| Dec 2008 Put Option | Purchased | 10,000 | 40.0000 GBP | American | 19-Dec-08 |
| Dec 2008 Put Option | Purchased | 1,000 | 44.0000 GBP | American | 19-Dec-08 |
| Dec 2008 Call Option | Purchased | 1,000 | 48.0000 GBP | American | 19-Dec-08 |
| Dec 2008 Put Option | Written | 10,000 | 48.0000 GBP | American | 19-Dec-08 |
| Dec 2008 Call Option | Purchased | 48,000 | 52.0000 GBP | American | 19-Dec-08 |
| Dec 2008 Put Option | Written | 12,000 | 52.0000 GBP | American | 19-Dec-08 |
| Dec 2008 Call Option | Written | 58,000 | 56.0000 GBP | American | 19-Dec-08 |
| Dec 2008 Put Option | Written | 75,000 | 56.0000 GBP | American | 19-Dec-08 |
| Dec 2008 Call Option | Written | 2,000 | 72.0000 GBP | American | 19-Dec-08 |
| Sep 2008 Put Option | Purchase | 10,000 | 40.0000 GBP | American | 19-Sep-08 |
| Sep 2008 Put Option | Purchase | 7,000 | 44.0000 GBP | American | 19-Sep-08 |
| Sep 2008 Call Option | Purchase | 33,000 | 48.0000 GBP | American | 19-Sep-08 |
| Sep 2008 Put Option | Purchase | 16,000 | 48.0000 GBP | American | 19-Sep-08 |
| Sep 2008 Call Option | Written | 5,000 | 52.0000 GBP | American | 19-Sep-08 |
| Sep 2008 Call Option | Purchase | 26,000 | 56.0000 GBP | American | 19-Sep-08 |
| Sep 2008 Put Option | Written | 1,000 | 56.0000 GBP | American | 19-Sep-08 |
| Sep 2008 Call Option | Written | 7,000 | 60.0000 GBP | American | 19-Sep-08 |
| Sep 2008 Call Option | Written | 6,000 | 64.0000 GBP | American | 19-Sep-08 |
| Dec 2009 Put Option | Purchase | 1,000 | 40.0000 GBP | American | 18-Dec-09 |
| June 2009 Call Option | Purchase | 29,000 | 48.0000 GBP | American | 19-Jun-09 |
| June 2009 Put Option | Written | 10,000 | 48.0000 GBP | American | 19-Jun-09 |
| June 2009 Call Option | Written | 4,000 | 56.0000 GBP | American | 19-Jun-09 |
| June 2009 Put Option | Written | 14,000 | 56.0000 GBP | American | 19-Jun-09 |
| Dec 2008 Call Option | Written | 75,000 | 52.0000 GBP | European | 19-Dec-08 |
| Dec 2010 Put Option | Purchase | 75,000 | 56.0000 GBP | European | 17-Dec-10 |
| Dec 2008 Put Option | Written | 150,000 | 38.0000 GBP | European | 19-Dec-08 |
| Dec 2008 Call Option | Purchase | 150,000 | 60.0000 GBP | European | 19-Dec-08 |
| Sep 2008 Put Option | Purchase | 250,000 | 44.0000 GBP | American | 19-Sep-08 |
| Dec 2008 Put Option | Purchase | 250,000 | 27.0000 GBP | European | 19-Dec-08 |
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
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