Shareholder information
Market listings and share prices
The principal market for Rio Tinto plc shares is the London Stock Exchange (LSE).
As a constituent of the Financial Times Stock Exchange 100 index (FTSE 100), Rio Tinto plc shares trade through the Stock Exchange Electronic Trading Service (SETS) system.
Central to the SETS system is the electronic order book on which an LSE member firm can post buy and sell orders, either on its own behalf or for its clients. Buy and sell orders are executed against each other automatically in strict price, then size, priority. The order book operates from 8.00 am to 4.30 pm daily. From 7.50 am to 8.00 am orders may be added to, or deleted from the book, but execution does not occur. At 8.00 am the market opens by means of an uncrossing algorithm which calculates the greatest volume of trades on the book which can be executed, then matches the orders, leaving unexecuted orders on the book at the start of trading.
All orders placed on the order book are firm and are for standard three day settlement. While the order book is vital to all market participants, orders are anonymous, with the counterparties being revealed to each other only after execution of the trade.
Use of the order book is not mandatory but all trades, regardless of size, executed over the SETS system are published immediately. The only exception to this is where a Worked Principal Agreement (WPA) is entered into for trades greater than eight times Normal Market Size (NMS). Rio Tinto plc has an NMS of 100,000 shares. Publication of trades entered under a WPA is delayed until the earlier of 80 per cent of the risk position assumed by the member firm taking on the trade being unwound or the end of the business day.
Closing LSE share prices are published in most UK national newspapers and are also available during the day on the Rio Tinto and other websites.
Rio Tinto plc has a sponsored American Depositary Receipt (ADR) facility with JPMorgan Chase Bank NA (JPMorgan) under a Deposit Agreement, dated 13 July 1988, as amended on 11 June 1990, as further amended and restated on 15 February 1999 and as further amended and restated on 18 February 2005 when JPMorgan became Rio Tinto plc's depository. The ADRs evidence Rio Tinto plc American Depositary Shares (ADS), each representing four ordinary shares. The shares are registered with the US Securities and Exchange Commission (SEC), are listed on the New York Stock Exchange (NYSE) and are traded under the symbol 'RTP'.
Rio Tinto plc shares are also listed on Euronext.
The following table shows share prices for the period indicated, the reported high and low middle market quotations, which represent an average of bid and asked prices, for Rio Tinto plc's shares on the LSE based on the LSE Daily Official List, and the highest and lowest sale prices of the Rio Tinto plc ADSs as reported on the NYSE composite tape.
| Pence per Rio Tinto plc share |
US$ per Rio Tinto plc ADS |
|||
|---|---|---|---|---|
| High | Low | High | Low | |
| 2004 | 1,574 | 1,212 | 119.39 | 86.42 |
| 2005 | 2,657 | 1,472 | 183.29 | 111.57 |
| 2006 | 3,322 | 2,352 | 253.33 | 176.09 |
| 2007 | 5,784 | 2,505 | 478.35 | 193.60 |
| 2008 | 7,078 | 1,049 | 554.93 | 60.72 |
| Aug 2008 | 5,259 | 4,535 | 394.52 | 346.76 |
| Sep 2008 | 5,010 | 3,310 | 339.99 | 226.50 |
| Oct 2008 | 3,487 | 2,050 | 254.24 | 138.69 |
| Nov 2008 | 3,135 | 1,550 | 200.10 | 98.50 |
| Dec 2008 | 1,558 | 1,049 | 98.75 | 60.72 |
| Jan 2009 | 1,927 | 1,380 | 117.20 | 79.17 |
| 2007 | ||||
| First quarter | 2,940 | 2,505 | 230.60 | 193.60 |
| Second quarter | 3,916 | 2,888 | 311.50 | 230.60 |
| Third quarter | 4,228 | 2,929 | 343.40 | 234.65 |
| Fourth quarter | 5,784 | 4,050 | 478.35 | 334.30 |
| 2008 | ||||
| First quarter | 5,850 | 4,159 | 464.00 | 331.31 |
| Second quarter | 7,078 | 5,233 | 554.93 | 419.75 |
| Third quarter | 5,764 | 3,310 | 468.24 | 226.50 |
| Fourth quarter | 3,487 | 1,049 | 254.24 | 60.72 |
As at 19 February 2009, there were 51,785 holders of record of Rio Tinto plc's shares. Of these holders, 276 had registered addresses in the US and held a total of 290,009 Rio Tinto plc shares, representing 0.028 per cent of the total number of Rio Tinto plc shares issued and outstanding as at such date. In addition, 77,626,696 million Rio Tinto plc shares were registered in the name of a custodian account in London which represented 7.729 per cent of the publicly held Rio Tinto plc shares issued and outstanding. These shares were represented by 19,406,674 million Rio Tinto plc ADSs held of record by 41,378 ADR holders. In addition, certain accounts of record with registered addresses other than in the US hold shares, in whole or in part, beneficially for US persons.
ADR holders
ADR holders may instruct JPMorgan as to how the shares represented by their ADRs should be voted.
Registered holders of ADRs will have the Annual report and Summary financial statements and interim reports mailed to them at their record address. ADR holders will receive the Annual report and Summary financial statements and interim reports on request.
Rio Tinto is subject to the US Securities and Exchange Commission (SEC) reporting requirements for foreign companies. A Form 20-F, which corresponds with the Form 10-K in US public companies, will be filed with the SEC. Rio Tinto's Form 20-F and other filings can be viewed on the Rio Tinto website as well as the SEC web site at www.sec.gov
Rio Tinto Limited
Rio Tinto Limited shares are listed on the Australian Securities Exchange (ASX) and the New Zealand Securities Exchange. The ASX is the principal trading market for Rio Tinto Limited shares. The ASX is a national stock exchange operating in the capital city of each Australian State with an automated trading system.
Closing ASX share prices are published in most Australian newspapers and are also available during the day on the Rio Tinto and other websites.
The following table sets out, for the periods indicated, the high and low closing sale prices of Rio Tinto Limited shares based upon information provided by the ASX. There is no established trading market in the US for Rio Tinto Limited's shares.
| A$ per Rio Tinto Limited share |
||
|---|---|---|
| High | Low | |
| 2004 | 40.20 | 31.98 |
| 2005 | 69.10 | 38.82 |
| 2006 | 87.97 | 65.38 |
| 2007 | 146.90 | 69.50 |
| 2008 | 156.10 | 32.00 |
| Aug 2008 | 127.50 | 110.79 |
| Sep 2008 | 124.96 | 84.50 |
| Oct 2008 | 95.00 | 62.62 |
| Nov 2008 | 86.60 | 42.01 |
| Dec 2008 | 42.70 | 32.00 |
| Jan 2009 | 46.93 | 37.25 |
| 2007 | ||
| First quarter | 80.11 | 69.50 |
| Second quarter | 101.15 | 77.20 |
| Third quarter | 108.22 | 81.16 |
| Fourth quarter | 146.90 | 104.43 |
| 2008 | ||
| First quarter | 137.10 | 101.00 |
| Second quarter | 156.10 | 124.17 |
| Third quarter | 137.50 | 84.50 |
| Fourth quarter | 95.00 | 32.00 |
As at 19 February 2009, there were 150,547 holders of record of Rio Tinto Limited shares. Of these holders, 281 had registered addresses in the US, representing approximately 0.072 per cent of the total number of Rio Tinto Limited shares issued and outstanding as of such date. In addition, nominee accounts of record with registered addresses other than in the US may hold Rio Tinto Limited shares, in whole or in part, beneficially for US persons.
Investment warning
Past performance of shares is not necessarily a guide to future performance. The value of shares and investments and the income derived from them can go down as well as up, and investors may not get back the amount they invested.
