EPT Disclosure - Rio Tinto plc

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 | HSBC Financial Products | | | (France) SNC | |-----------------------------------------+-------------------------| | Company dealt in | Rio Tinto Plc | |-----------------------------------------+-------------------------| | Class of relevant security to which the | 10p Ordinary | | dealings being disclosed relate (Note | | | 1) | | |-----------------------------------------+-------------------------| | Date of dealing | 21.08.08 | +-------------------------------------------------------------------+ 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 |480,418 (0%) | | |securities | | | | | | | |---------------+--------------------------+------------------------------------------------| |(2) Derivatives|2,076 (0%) |10,945 (0%) | |(other than | | | |options) | | | | | | | |---------------+--------------------------+------------------------------------------------| |(3) Options and| | | |agreements to | | | |purchase/sell | | | |---------------+--------------------------+------------------------------------------------| |Total |482,494 (0%) |10,945 (0%) | | | | | +-------------------------------------------------------------------------------------------+ (b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 2) +--------------------------------------------------------------------------+ |Class of | Long | Short | |relevant | | | |security: | | | | | | | |---------------+----------------------------+-----------------------------| | |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 +----------------------------------------------------------------+ | Purchase/sale | Number of securities | Price per unit (Note 4) | | | | | |---------------+----------------------+-------------------------| | Purchase | 36 | 5,142p. | | | | | +----------------------------------------------------------------+ (b) Derivatives transactions (other than options) +-------------------------------------------------------------------+ | Product | Long/short (Note | Number of securities | Price per | | name, | 5) | (Note 6) | unit (Note | | e.g. CFD | | | 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 money | |name, |selling, |securities to which|price |American, |date |paid/received | |e.g. call|purchasing, |the option relates | |European | |per unit (Note| |option |varying etc.|(Note 6) | |etc. | |4) | | | | | | | | | |---------+------------+-------------------+--------+----------+------+--------------| | | | | | | | | +------------------------------------------------------------------------------------+ (ii) Exercising +-------------------------------------------------------------------+ | Product name, e.g. | Number of securities | Exercise price per | | call option | | unit (Note 4) | | | | | |--------------------+----------------------+-----------------------| | | | | | | | | +-------------------------------------------------------------------+ (d) Other dealings (including new securities) (Note 3) +-------------------------------------------------------------------+ | Nature of transaction | Details | Price per unit (if applicable) | | (Note 7) | | (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 +-------------------------------------------------------------------+ | Date of disclosure | 22.08.08 | |------------------------------------------+------------------------| | Contact name | Herve Baudry | |------------------------------------------+------------------------| | Telephone number | +33 1 4070 3829 | |------------------------------------------+------------------------| | Name of offeree /offeror with which | BHP Billiton Plc / BHP | | connected | Billiton Ltd | |------------------------------------------+------------------------| | Nature of connection (Note 9) | Connected 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 38.5(b) DETAILS OF OPEN POSITIONS (This form should be attached to Form 38.5(b)) 2, OPEN POSITIONS (Note 1) +-------------------------------------------------------------------------+ |Product name,|Written or|Number of |Exercise|Type, e.g.|Expiry | |e.g. call |purchased |securities to which|price |American, |date | |option | |the option or |(Note 2)|European | | | | |derivative relates | |etc. | | |-------------+----------+-------------------+--------+----------+--------| |Equity Swap |Written |119 | | |22.09.08| |-------------+----------+-------------------+--------+----------+--------| |Equity Swap |Written |434 | | |16.10.08| |-------------+----------+-------------------+--------+----------+--------| |Equity Swap |Written |2,911 | | |11.04.11| |-------------+----------+-------------------+--------+----------+--------| |EMTN (Reverse|Purchased |581 | | |11.04.11| |Convertible) | | | | | | |-------------+----------+-------------------+--------+----------+--------| |Equity Swap |Written |4,270 | | |19.04.13| | | | | | | | |-------------+----------+-------------------+--------+----------+--------| |EMTN (Reverse|Purchased |853 | | |04.06.09| |Convertible) | | | | | | |-------------+----------+-------------------+--------+----------+--------| |Equity Swap |Written |3,211 | | |01.07.09| |-------------+----------+-------------------+--------+----------+--------| |EMTN (Reverse|Purchased |642 | | |01.07.09| |Convertible) | | | | | | +-------------------------------------------------------------------------+ 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 Rules 8 and 38.5 and their Notes which can be viewed on the Takeover Panel's website at www.thetakeoverpanel.org.uk ---END OF MESSAGE---