REG - Goldman Sachs Group Rio Tinto - Form 8.3 - RIO TINTO AND RIO TINTO LIMITED
Thu 14:15
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RNS Number : 9687Q Goldman Sachs Grp. (Non Exmpt Ent.) 29 January 2026
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Full name of discloser: GOLDMAN SACHS NON EXEMPT ENTITY GROUP
(b) Owner or controller of interests and short positions disclosed, if
different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a
trust, the trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form RIO TINTO PLC AND RIO TINTO LIMITED
relates:
Use a separate form for each offeror/offeree
(d) If an exempt fund manager connected with an offeror/offeree, state this
and specify identity of offeror/offeree:
(e) Date position held/dealing undertaken: 28 January 2026
For an opening position disclosure, state the latest practicable date
prior to the disclosure
(f) In addition to the company in 1(c) above, is the discloser making YES - disclosing today for GLENCORE PLC
disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more than one
class of relevant securities of the offeror or offeree named in 1(c), copy
table 2(a) or (b) (as appropriate) for each additional class of relevant
security.
(a) Interests and short positions in the relevant securities of
the offeror or offeree to which the disclosure relates following the dealing
(if any)
Class of relevant security: Rio Tinto plc 10p ordinary and ADRs
Interests Short positions
Number % Number %
(1) Relevant securities owned and/or controlled: 649,253* 0.05 0 0.00
(2) Cash-settled derivatives: 0 0.00 0 0.00
(3) Stock-settled derivatives (including options) and agreements to 0 0.00 0 0.00
purchase/sell:
649,253* 0.05 0 0.00
TOTAL:
* GOLDMAN SACHS NON EXEMPT ENTITY GROUP resulting position includes changes
resulting from non-trade related activity.
Class of relevant security: Rio Tinto Limited ordinary
Interests Short positions
Number % Number %
(1) Relevant securities owned and/or controlled: 862,795* 0.23 5,417,990* 1.45
(2) Cash-settled derivatives: 5,092,448 1.37 537,051 0.14
(3) Stock-settled derivatives (including options) and agreements to 0 0.00 0 0.00
purchase/sell:
5,955,243* 1.60 5,955,041* 1.59
TOTAL:
* GOLDMAN SACHS NON EXEMPT ENTITY GROUP resulting position includes changes
resulting from non-trade related activity.
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded
options), or agreements to purchase or sell relevant securities, should be
given on a Supplemental Form 8 (Open Positions).
(b) Rights to subscribe for new securities (including directors'
and other employee options)
Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities
of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as
appropriate) for each additional class of relevant security dealt in.
The currency of all prices and other monetary amounts should be stated.
(a) Purchases and sales
Class of relevant security Purchase/sale Number of securities Price per unit
Rio Tinto plc 10p ordinary Purchase 3,675 67.6627 GBP
Rio Tinto plc 10p ordinary Sale 3,675 67.6627 GBP
ADR Purchase 199 92.7655 USD
ADR Sale 199 92.7655 USD
(b) Cash-settled derivative transactions
Class of relevant security Product description Nature of dealing Number of reference securities Price per unit
e.g. CFD e.g. opening/closing a long/short position, increasing/reducing a long/short
position
Rio Tinto Limited ordinary CFD Reducing a long position 707 151.2000 AUD
Rio Tinto Limited ordinary CFD Reducing a long position 40,000 151.2000 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 40,000 151.2000 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 22,465 151.2000 AUD
Rio Tinto Limited ordinary CFD Reducing a long position 12,682 151.2000 AUD
Rio Tinto Limited ordinary CFD Reducing a long position 22,465 151.2000 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 707 151.2000 AUD
Rio Tinto Limited ordinary CFD Increasing a long position 1,875 151.2000 AUD
Rio Tinto Limited ordinary CFD Reducing a long position 270 151.2000 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 270 151.2000 AUD
Rio Tinto Limited ordinary CFD Opening a short position 40,000 151.2000 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 40,000 151.2000 AUD
Rio Tinto Limited ordinary CFD Increasing a short position 1,875 151.2000 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 12,682 151.2000 AUD
Rio Tinto Limited ordinary CFD Increasing a short position 1,420 152.8106 AUD
Rio Tinto Limited ordinary CFD Increasing a short position 15 152.8293 AUD
Rio Tinto Limited ordinary CFD Increasing a short position 2,332 152.8348 AUD
Rio Tinto Limited ordinary CFD Increasing a long position 13,805 152.8911 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 3,643 152.9293 AUD
Rio Tinto Limited ordinary CFD Increasing a short position 6,226 152.9994 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 3,610 153.0174 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 258 153.0847 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 169 153.1450 AUD
Rio Tinto Limited ordinary CFD Increasing a short position 169 153.1450 AUD
Rio Tinto Limited ordinary CFD Increasing a short position 1,563 153.1580 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 2,138 153.1600 AUD
Rio Tinto Limited ordinary CFD Opening a short position 22,950 153.1754 AUD
Rio Tinto Limited ordinary CFD Reducing a long position 152 153.1754 AUD
Rio Tinto Limited ordinary CFD Increasing a short position 343 153.1791 AUD
Rio Tinto Limited ordinary CFD Increasing a long position 1 153.1900 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 2 153.2200 AUD
Rio Tinto Limited ordinary CFD Opening a short position 12,682 153.2540 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 1,905 153.3255 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 3,774 153.6227 AUD
Rio Tinto Limited ordinary CFD Opening a short position 40,000 153.6560 AUD
Rio Tinto Limited ordinary CFD Opening a short position 44 153.6794 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 496 153.6867 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 787 153.9983 AUD
Rio Tinto Limited ordinary CFD Increasing a short position 270 154.0156 AUD
Rio Tinto Limited ordinary CFD Increasing a long position 235 154.0280 AUD
Rio Tinto Limited ordinary CFD Increasing a short position 66 154.0642 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 199 154.1023 AUD
Rio Tinto Limited ordinary CFD Opening a long position 17,293 154.1690 AUD
Rio Tinto Limited ordinary CFD Increasing a short position 102 154.7918 AUD
Rio Tinto Limited ordinary CFD Reducing a short position 1,875 154.8200 AUD
Rio Tinto Limited ordinary CFD Opening a long position 152 154.8200 AUD
Rio Tinto Limited ordinary SWAP Reducing a short position 69,347 151.2000 AUD
Rio Tinto Limited ordinary SWAP Increasing a short position 2,978 151.2000 AUD
Rio Tinto Limited ordinary SWAP Reducing a long position 38 151.2000 AUD
Rio Tinto Limited ordinary SWAP Reducing a short position 38 151.2000 AUD
Rio Tinto Limited ordinary SWAP Reducing a long position 69,347 151.2000 AUD
Rio Tinto Limited ordinary SWAP Reducing a short position 2,569 151.2000 AUD
Rio Tinto Limited ordinary SWAP Reducing a long position 2,569 151.2000 AUD
Rio Tinto Limited ordinary SWAP Increasing a long position 2,978 151.2000 AUD
Rio Tinto Limited ordinary SWAP Opening a short position 2,978 152.6490 AUD
Rio Tinto Limited ordinary SWAP Reducing a short position 1,150 153.0474 AUD
Rio Tinto Limited ordinary SWAP Opening a short position 38 154.8200 AUD
Rio Tinto Limited ordinary SWAP Opening a long position 2,704 154.8200 AUD
Rio Tinto Limited ordinary SWAP Increasing a long position 9,992 154.8200 AUD
Rio Tinto Limited ordinary SWAP Increasing a long position 574 154.8200 AUD
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security Product description e.g. call option Writing, purchasing, selling, varying etc. Number of securities to which option relates Exercise price per unit Type Expiry date Option money paid/ received per unit
e.g. American, European etc.
(ii) Exercise
Class of relevant security Product description Exercising / exercised against Number of securities Exercise price per unit
e.g. call option
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
Details of any indemnity or option arrangement, or any agreement or
understanding, formal or informal, relating to relevant securities which may
be an inducement to deal or refrain from dealing entered into by the person
making the disclosure and any party to the offer or any person acting in
concert with a party to the offer:
Irrevocable commitments and letters of intent should not be included. If there
are no such agreements, arrangements or understandings, state "none"
NONE
(b) Agreements, arrangements or understandings relating to
options or derivatives
Details of any agreement, arrangement or understanding, formal or informal,
between the person making the disclosure and any other person relating to:
(i) the voting rights of any relevant securities under any option; or
(ii) the voting rights or future acquisition or disposal of any relevant
securities to which any derivative is referenced:
If there are no such agreements, arrangements or understandings, state "none"
NONE
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
Date of disclosure: 29 January 2026
Contact name: Papa Lette and Andrzej Szyszka
Telephone number*: +33(1) 4212 1459 / +48(22) 317 4817
Public disclosures under Rule 8 of the Code must be made to a Regulatory
Information Service.
The Panel's Market Surveillance Unit is available for consultation in relation
to the Code's disclosure requirements on +44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does not need to be
included, provided contact information has been provided to the Panel's Market
Surveillance Unit.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk
(http://www.thetakeoverpanel.org.uk) .
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