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3 Nov 2008 09:57
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
BHP Billiton Plc |
|
Class of relevant security to which the dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
31/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
3,449,154 |
GBP 10.60 |
GBP 9.69 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
3,531,649 |
GBP 10.62 |
GBP 9.68 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
5,000 |
GBP 10.57 |
|
Long Swap |
LONG |
333 |
GBP 9.92 |
|
Long Swap |
LONG |
33,373 |
GBP 10.06 |
|
Long Swap |
LONG |
32,000 |
GBP 10.26 |
|
Long Swap |
LONG |
21,187 |
GBP 10.50 |
|
Long Swap |
LONG |
20,500 |
GBP 10.46 |
|
Long Swap |
LONG |
419,350 |
GBP 10.21 |
|
Long Swap |
LONG |
5,809 |
GBP 10.21 |
|
Long Swap |
LONG |
649,866 |
GBP 10.18 |
|
Long Swap |
LONG |
4,727 |
GBP 10.50 |
|
Long Swap |
LONG |
3,678 |
GBP 10.06 |
|
Long Swap |
LONG |
2,728 |
GBP 10.04 |
|
Long Swap |
LONG |
2,348 |
GBP 9.90 |
|
Long Swap |
LONG |
1,576 |
GBP 9.76 |
|
Long Swap |
LONG |
351 |
GBP 10.06 |
|
Long Swap |
LONG |
9,148 |
GBP 9.92 |
|
Long Swap |
LONG |
47,290 |
GBP 10.04 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
20,500 |
GBP 10.45 |
|
Short Swap |
SHORT |
1,477 |
GBP 10.02 |
|
Short Swap |
SHORT |
2,584 |
GBP 10.03 |
|
Short Swap |
SHORT |
2,728 |
GBP 9.96 |
|
Short Swap |
SHORT |
3,678 |
GBP 9.87 |
|
Short Swap |
SHORT |
5,000 |
GBP 10.57 |
|
Short Swap |
SHORT |
15,083 |
GBP 10.29 |
|
Short Swap |
SHORT |
333 |
GBP 10.02 |
|
Short Swap |
SHORT |
21,187 |
GBP 10.29 |
|
Short Swap |
SHORT |
32,000 |
GBP 10.26 |
|
Short Swap |
SHORT |
33,373 |
GBP 10.03 |
|
Short Swap |
SHORT |
47,290 |
GBP 9.96 |
|
Short Swap |
SHORT |
428,498 |
GBP 10.18 |
|
Short Swap |
SHORT |
649,866 |
GBP 10.19 |
|
Short Swap |
SHORT |
13,296 |
GBP 10.07 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry date |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
paid/received per |
|
etc. |
European etc |
unit |
|
Warrant |
Selling |
-4,000 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Buying |
4,000 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Buying |
5,000,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
5,000,000 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
8,000,000 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Buying |
10,000,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Buying |
4,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Selling |
-4,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Selling |
-500 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
8,000,000 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
8,500,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
10,000,000 |
£0.00 |
AMERICAN |
18-Sep-09 |
|
Warrant |
Selling |
-8,500,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Selling |
-35,275 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Selling |
-5,000 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Selling |
-5,000,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call option |
|
3. 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 |
|
Date of disclosure |
03/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Axon Group Plc |
|
Class of relevant security to which the dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
31/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
9,485 |
GBP 6.37 |
GBP 6.36 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
2,692 |
GBP 6.36 |
GBP 6.36 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
3,046 |
GBP 6.36 |
|
Long Swap |
LONG |
1,850 |
GBP 6.37 |
|
Long Swap |
LONG |
1,735 |
GBP 6.37 |
|
Long Swap |
LONG |
906 |
GBP 6.36 |
|
Long Swap |
LONG |
294 |
GBP 6.36 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
842 |
GBP 6.36 |
|
Short Swap |
SHORT |
1,850 |
GBP 6.36 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call option |
|
3. 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 |
|
Date of disclosure |
03/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
HCL EAS Limited |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Rio Tinto Plc |
|
Class of relevant security to which the dealings being |
Common |
|
disclosed relate |
|
Date of dealing |
31/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
754,416 |
GBP 29.77 |
GBP 26.61 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
825,350 |
GBP 29.65 |
GBP 26.71 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
311,228 |
GBP 28.08 |
|
Long Swap |
LONG |
45 |
GBP 27.69 |
|
Long Swap |
LONG |
500 |
GBP 29.06 |
|
Long Swap |
LONG |
627 |
GBP 28.53 |
|
Long Swap |
LONG |
3,152 |
GBP 27.37 |
|
Long Swap |
LONG |
3,425 |
GBP 27.04 |
|
Long Swap |
LONG |
3,552 |
GBP 28.12 |
|
Long Swap |
LONG |
4,118 |
GBP 28.50 |
|
Long Swap |
LONG |
4,220 |
GBP 28.40 |
|
Long Swap |
LONG |
4,361 |
GBP 28.12 |
|
Long Swap |
LONG |
5,080 |
GBP 27.69 |
|
Long Swap |
LONG |
5,776 |
GBP 28.12 |
|
Long Swap |
LONG |
19,934 |
GBP 28.53 |
|
Long Swap |
LONG |
29,141 |
GBP 27.69 |
|
Long Swap |
LONG |
18 |
GBP 27.04 |
|
Long Swap |
LONG |
119,257 |
GBP 28.12 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
6,078 |
GBP 28.57 |
|
Short Swap |
SHORT |
500 |
GBP 29.05 |
|
Short Swap |
SHORT |
1,786 |
GBP 28.12 |
|
Short Swap |
SHORT |
2,920 |
GBP 29.03 |
|
Short Swap |
SHORT |
3,552 |
GBP 28.19 |
|
Short Swap |
SHORT |
3,607 |
GBP 29.03 |
|
Short Swap |
SHORT |
311,186 |
GBP 28.12 |
|
Short Swap |
SHORT |
5,080 |
GBP 27.19 |
|
Short Swap |
SHORT |
10,000 |
GBP 28.55 |
|
Short Swap |
SHORT |
17,555 |
GBP 28.30 |
|
Short Swap |
SHORT |
19,500 |
GBP 28.61 |
|
Short Swap |
SHORT |
32,566 |
GBP 27.65 |
|
Short Swap |
SHORT |
119,257 |
GBP 28.03 |
|
Short Swap |
SHORT |
114 |
GBP 29.03 |
|
Short Swap |
SHORT |
3,651 |
GBP 29.03 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry date |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
paid/received per |
|
etc. |
European etc |
unit |
|
Warrant |
Selling |
-11,200 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
11,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Buying |
11,200 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
29,500 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Buying |
78,330 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
2,000,000 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
2,500,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
13,000,000 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Buying |
14,000,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Selling |
-2,500,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
4,000 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Selling |
-29,500 |
£0.00 |
AMERICAN |
19-Jun-09 |
|
Warrant |
Selling |
-1,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Selling |
-11,000 |
£0.00 |
AMERICAN |
16-Jan-09 |
|
Warrant |
Selling |
-1,100 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
1,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
3,500,000 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Buying |
3,999,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Buying |
9,000,000 |
£0.00 |
AMERICAN |
18-Sep-09 |
|
Warrant |
Selling |
-3,999,000 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
Warrant |
Selling |
-60,000 |
£0.00 |
AMERICAN |
18-Sep-09 |
|
Warrant |
Selling |
-42,050 |
£0.00 |
AMERICAN |
18-Sep-09 |
|
Warrant |
Selling |
-3,000 |
£0.00 |
AMERICAN |
17-Apr-09 |
|
Warrant |
Selling |
-78,330 |
£0.00 |
AMERICAN |
17-Oct-08 |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call option |
|
3. 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 |
|
Date of disclosure |
03/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
OJSC Polyus Gold (OR) ADR. |
|
Class of relevant security to which the dealings being |
ADR |
|
disclosed relate |
|
Date of dealing |
31/10/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities purchased |
Highest price paid |
Lowest price paid |
|
7,280 |
USD 11.02 |
USD 10.80 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
1,244 |
USD 11.02 |
USD 10.88 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, selling, |
Number of securities |
Exercise price |
Type, e.g. |
Expiry |
Option money |
|
eg call option |
purchasing, varying |
under option |
American, |
date |
paid/received per |
|
etc. |
European etc |
unit |
|
(ii) Exercising |
|
Product name |
Number of securities under option |
Exercise price |
|
eg call option |
|
3. 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 |
|
Date of disclosure |
03/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
KazakhGold Group Limited |
|
Nature of connection # |
Advisor |
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