RNS Number:1227U
UBS Securities LLC
09 May 2008
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 UBS Securities LLC
Company dealt in Rio Tinto PLC
(ISIN US7672041008)
Class of relevant security to which the
dealings being disclosed relate (Note 1)
Ordinary shares dealt in ADR form
ADR (1 ADR = 4 Ords)
Date of dealing 08 May 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 0 Ords - 4556 Ords 0.00
(equivalent (equivalent
to 0 ADRs) to 1139 ADRs)
(2) Derivatives (other than - - - -
options)
(3) Options and agreements to 0 Ords - 0 Ords -
purchase/sell (equivalent (equivalent
to 0 ADRs to 0
ADRs)
Total 0 Ords - 4556 0.00
(equivalent Ords
to 0 ADRs) (equivalent
to 1139
ADRs)
(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
(2) Derivatives (other than
options)
(3) Options and agreements to
purchase/sell
Total
(c) Rights to subscribe (Note 2)
Class of relevant security: Details
3. DEALINGS (Note 3)
(a) Purchases and sales
Buy/Sell Equivalent Trade Price (USD)
Ord Quantity
B 11444 508.149
B 4800 509.418
B 1600 511.385
B 70692 509.803
B 1600 507.865
B 20048 508.465
B 18120 509.966
S 19312 509.671
S 15252 508.252
S 800 507
S 33808 509.58
S 2800 510.096
S 800 506.23
S 5348 508.424
S 50184 509.807
Total Buys 128304
Total Sells 128304
(b) Derivatives transactions (other than options)
Product name, e.g Long/short (Note 5) Number of securities Price per unit
CFD (Note 6) (Note 4)
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Product Writing, Number of Exercise Type, e.g. Expiry Option
name,e.g. selling, securities price American, date money paid/
call purchasing, to which the European received per
option varying etc option etc. unit (Note
relates 4)
(Note 6)
(ii) Exercising
Product name, e.g. call Number of securities Exercise price per unit
option (Note 4)
(d) Other dealings (including new securities) (Note 3)
Nature of transaction Details Price per unit (if applicable)
(Note 7)
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)
NO
Date of disclosure 09 May 2008
Contact name Richard Mulcahy
Telephone number 203 719 0467
Name of offeree/offeror with which connected BHP Billiton
Nature of connection (Note 9) Connected Adviser
Notes
The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website at
www.thetakeoverpanel.org.uk
This information is provided by RNS
The company news service from the London Stock Exchange
END
EMMFKCKQPBKDQPK
|