REG - JP Morgan Sec LLC Rio Tinto - Form 8.5 (EPT/NON-RI)-Rio Tinto plc and Limited
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RNS Number : 1876R J.P. Morgan Securities LLC 30 January 2026
AMENDMENT
FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR
WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: J.P. Morgan Securities LLC
(b) Name of offeror/offeree in relation to whose relevant securities this form Rio Tinto plc and Limited
relates:
Use a separate form for each offeror/offeree
(c) Name of the party to the offer with which exempt principal trader is Corporate Broker to Rio Tinto plc and Rio Tinto Limited
connected:
(d) Date position held/dealing undertaken: 28 January 2026
For an opening position disclosure, state the latest practicable date
prior to the disclosure
(e) In addition to the company in 1(b) above, is the exempt principal trader Yes, Glencore plc
making 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 EXEMPT PRINCIPAL TRADER
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(b), 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: ADR
Interests Short positions
Number % Number %
(1) Relevant securities owned and/or controlled: 1,371,538 0.11 687,895 0.05
(2) Cash-settled derivatives: 49,509 0.00 2,019,297 0.16
(3) Stock-settled derivatives (including options) and agreements to 301,062 0.02 235,500 0.02
purchase/sell:
1,722,109 0.13 2,942,692 0.23
TOTAL:
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 EXEMPT PRINCIPAL TRADER
Where there have been dealings in more than one class of relevant securities
of the offeror or offeree named in 1(b), 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 Purchases/ sales Total number of securities Highest price per unit paid/received Lowest price per unit paid/received
ADR Purchase 32,821 93.3700 USD 78.1666 USD
Sale 30,651 93.3700 USD 92.3350 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
ADR Equity Swap Decrease Short 3 93.2700 USD
1,465 92.8964 USD
Increase Short 2,270 93.0330 USD
Decrease Long 2,295 93.0469 USD
(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(USD) Type Expiry date Option money paid/ received per unit
e.g. American, European etc.
(ii)
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 exempt
principal trader 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 exempt principal trader 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? Yes
Date of disclosure: 30 January 2026
Contact name: Hetvi Shah
Telephone number: 44 2034 936359
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS,
AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the "Code")
1. KEY INFORMATION
Full name of person making disclosure: J.P. Morgan Securities LLC
Name of offeror/offeree in relation to whose relevant securities the Rio Tinto plc and Rio Tinto Limited
disclosure relates:
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class of relevant security Product description e.g. call option Written or purchased Number of securities to which option or derivative relates Exercise price per unit(USD) Type Expiry date
e.g. American, European etc.
Call Option Purchased 35,000.00 100 GBP American 15/01/2027
Put Option Written 200,000.00 60 GBP American 18/06/2026
Put Option Purchased 500.0000 55 GBP American 18/06/2026
Put Option Written 35,000.00 75 GBP American 15/01/2027
Put Option Written 500.00 70 GBP American 18/06/2026
Call Option Purchased 50,000.00 80 GBP American 20/03/2026
Call Option Purchased 473.53 1.1292 USD American 6/10/2026
Call Option Purchased 2,605.71 1.1778 USD American 10/4/2026
Call Option Purchased 1,171.52 1.1264 USD American 29/09/2026
Call Option Purchased 167.78 1.2248 USD American 15/10/2027
Call Option Purchased 1,588.39 1.1438 USD American 27/04/2026
Call Option Purchased 1,510.82 1.1373 USD American 4/11/2026
Put Option Purchased 200,000.00 N/A American 29/07/2026
Put Option Purchased 8,043.95 62.1585 USD American 25/03/2026
ADR
Purchased
Written
Purchased
Written
Written
Purchased
Purchased
Purchased
Purchased
Purchased
Purchased
Purchased
Purchased
Purchased
35,000.00
200,000.00
500.0000
35,000.00
500.00
50,000.00
473.53
2,605.71
1,171.52
167.78
1,588.39
1,510.82
200,000.00
8,043.95
100 GBP
60 GBP
55 GBP
75 GBP
70 GBP
80 GBP
1.1292 USD
1.1778 USD
1.1264 USD
1.2248 USD
1.1438 USD
1.1373 USD
N/A
62.1585 USD
American
American
American
American
American
American
American
American
American
American
American
American
American
American
15/01/2027
18/06/2026
18/06/2026
15/01/2027
18/06/2026
20/03/2026
6/10/2026
10/4/2026
29/09/2026
15/10/2027
27/04/2026
4/11/2026
29/07/2026
25/03/2026
3. AGREEMENTS TO PURCHASE OR SELL ETC.
Full details should be given so that the nature of the interest or position
can be fully understood:
It is not necessary to provide details on a Supplemental Form (Open Positions)
with regard to cash-settled derivatives.
The currency of all prices and other monetary amounts should be stated.
The Panel's Market Surveillance Unit is available for consultation in relation
to the Code's disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk
(http://www.thetakeoverpanel.org.uk/) .
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