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 | BHP Billiton Plc | |
| Class of relevant security to which the dealings being disclosed relate (Note 1) | ORD 0.50 USD | |
| 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 | 5,406,964 (0.2450%) | 1,007,317 (0.0456%) | |||
| (2) Derivatives (other than options) | 6,000 (0.0003%) | 88,783 (0.0040%) | |||
| (3) Options and agreements to purchase/sell | 200,000 (0.0091%) | 781,000 (0.0354%) | |||
| Total | 5,612,964 (0.2544%) | 1,877,100 (0.0850%) |
(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 TOTAL
Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale Sale TOTAL |
2,771
7,288 12,158 4,500 8,000 20,200 16,577 10,500 10,436 19,564 2,500 1,400 2,963 142,500 57,500 318,857
467 472 20,409 948 8,737 6,892 15,000 614 1,400 12,000 10,000 675 20,000 3,056 1,944 526 185,079 288,219 |
14.3000 GBP
14.3100 GBP 14.3200 GBP 14.3400 GBP 14.3600 GBP 14.3782 GBP 14.3800 GBP 14.4600 GBP 14.4800 GBP 14.5000 GBP 14.5300 GBP 14.5500 GBP 14.5880 GBP 14.6873 GBP 14.6924 GBP
14.3100 GBP 14.3400 GBP 14.3800 GBP 14.3818 GBP 14.3818 GBP 14.3818 GBP 14.4500 GBP 14.4700 GBP 14.5500 GBP 14.5600 GBP 14.7200 GBP 14.7300 GBP 14.8300 GBP 14.8800 GBP 14.8900 GBP 15.1200 GBP 14.4700 GBP |
00
(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 2008 Call Warrant | Short | 500 | 0.1300 EUR | ||||
| Dec 2009 Call Warrant | Short | 350 | 0.2600 EUR | ||||
| Dec 2009 Call Warrant | Short | 30 | 0.0900 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) |
(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 2010 Call Option | Purchase | 100,000 | 16.3500 GBP | Euro | 17-Dec-10 | ||||||
| Dec 2010 Put Option | Written | 100,000 | 16.3500 GBP | Euro | 17-Dec-10 | ||||||
| Sep 2008 Put Option | Purchased | 300,000 | 13.0000 GBP | American | 19-Sep-08 | ||||||
| Sep 2008 Call Option | Written | 300,000 | 17.0000 GBP | American | 19-Sep-08 | ||||||
| June 2009 Put Option | Purchased | 1,000 | 12.000 GBP | American | 19-Jun-09 |
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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