REG - JPM Sec Australia Rio Tinto - Form 8.5 (EPT/NON-RI)- Rio Tinto Plc and Ltd
Thu 11:45
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RNS Number : 9462Q J.P. Morgan Securities Australia 29 January 2026
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 Australia Limited
(b) 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
(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: Ordinary
Interests Short positions
Number % Number %
(1) Relevant securities owned and/or controlled: 1,082,614 0.29 6,931,066 1.87
(2) Cash-settled derivatives: 6,663,711 1.80 1,013,583 0.27
(3) Stock-settled derivatives (including options) and agreements to 87,323 0.02 1,530 0.00
purchase/sell:
7,833,648 2.11 7,946,179 2.14
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
Ordinary Purchase 803,135 156.1505 AUD 152.7508 AUD
Sale 1,127,990 154.8200 AUD 152.7196 AUD
(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
Ordinary Equity Swap Decrease Long 110,652 152.8770 AUD
642 153.0869 AUD
Decrease Short 195 152.7196 AUD
242 152.7923 AUD
456 152.8983 AUD
7,125 152.9114 AUD
8,043 152.9393 AUD
10,122 152.9427 AUD
11,133 152.9656 AUD
51,442 153.4485 AUD
Increase Long 39,362 153.2590 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.
Ordinary Call Option Purchasing 23 132.00 AUD American 17/12/2026 25.1000AUD
Put Option Selling 140.00AUD American 17/09/2026 8.17 AUD
500
Call Option 158.00AUD American 17/09/2026
Selling 8.12 AUD
500
(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 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: 29 January 2026
Contact name: Hetvi Shah
Telephone number: 44 2034 936359
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.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk
(http://www.thetakeoverpanel.org.uk) .
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 Australia Limited
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.
Ordinary Call Options Purchased 23,000 164.01 AUD European 16/4/2026
Call Options Purchased 23,000 161.51 AUD European 19/3/2026
Call Options
Purchased 21,000 132.01 AUD European 19/3/2026
Put Options Written 530 128.00 AUD American 19/3/2026
Call Options Purchased 20,300 170.01 AUD European 21/5/2026
Call options Purchased 23 132.00 AUD American 17/1/2026
Put Options Written 500 140.00 AUD American 17/09/2026
Call Option Written 500 158.00 AUD American 17/09/2026
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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