Form 8 (DD) - Investec plc

RNS Number : 0723L
Investec PLC
29 April 2010
 



Investec Limited
Incorporated in the Republic of South Africa
Registration number 1925/002833/06
JSE share code: INL
ISIN:
ZAE000081949

Investec plc
Incorporated in England and Wales
Registration number 3633621
JSE share code: INP
ISIN: GB00B17BBQ50

 

FORM 8 (DD)

 

PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)

Rules 8.1, 8.2 and 8.4 of the Takeover Code (the "Code")

 

1.         KEY INFORMATION

 

(a) Identity of the party to the offer or person acting in concert making the disclosure:

INVESTEC PLC (DEALINGS BY INVESTEC SECURITIES LTD; INVESTEC ASSET MANAGEMENT (PTY) LTD)

(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

     The naming of nominee or vehicle companies is insufficient


(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

     Use a separate form for each offeror/offeree

INVESTEC PLC

(d) Status of person making the disclosure:

     e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)

OFFEROR

(e) Date dealing undertaken:

28/04/2010

(f)  Has the party previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer?

YES - INVESTEC LTD

 

2.         POSITIONS OF THE PERSON MAKING THE DISCLOSURE

 

(a)        Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing

 

Class of relevant security:

 

0.02p ordinary

 

 

Interests

Short positions

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

42,547,268

9.0667



(2) Derivatives (other than options):





(3) Options and agreements to purchase/sell:

527,100

0.1119

4,258,000

0.9038

 

     TOTAL:

43,074,368

9.1431

4,258,000

0.9038

 

All interests and all short positions should be disclosed.

 

Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

 

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

 

(b)        Rights to subscribe for new securities (including directors' and other executive options)

 

Class of relevant security in relation to which subscription right exists:

0.02p ordinary

Details, including nature of the rights concerned and relevant percentages:

1,643,900 staff share options

 

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.

 

3.         DEALINGS BY THE PERSON MAKING THE DISCLOSURE

 

(a)        Purchases and sales

 

Class of relevant security

Purchase/sale

 

Number of securities

Price per unit

 

0.02p ordinary

INVESTEC ASSET MANAGEMENT (PTY) LTD


Sale

Sale


INVESTEC SECURITIES LTD


Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale

Sale


 

 

305,181

712,090



 

 

1,942

1,346

622

1,070

5,075

465

8,234

961

1,387

1,125

1,070

1,070

200

500

2,535

51

35

536

750

211

2,997

1,238

71

15,000

48

241

200

3,000

1,927

240

2,980

892

968

500

2,999

1,178

175

1,000

300

962

188

1,070

973

41

892

170

395

10,000

2,500

500

2,000

1,811

739

327

159

200

892

1,070

1,000

892

406

892

1,000

100

589

1,500

892

892

303

500

54,862

350

500

892

540

1,070

1,000

1,000


 

 

ZAR 61.36

ZAR 58.85



 

 

ZAR 58.00

ZAR 58.31

ZAR 58.34

ZAR 58.35

ZAR 58.37

ZAR 58.40

ZAR 58.40

ZAR 58.41

ZAR 58.42

ZAR 58.43

ZAR 58.44

ZAR 58.49

ZAR 58.55

ZAR 58.55

ZAR 58.55

ZAR 58.64

ZAR 58.66

ZAR 58.68

ZAR 58.70

ZAR 58.70

ZAR 58.71

ZAR 58.74

ZAR 58.75

ZAR 58.75

ZAR 58.77

ZAR 58.78

ZAR 58.79

ZAR 58.79

ZAR 58.83

ZAR 58.85

ZAR 58.86

ZAR 58.87

ZAR 58.88

ZAR 58.89

ZAR 58.89

ZAR 58.92

ZAR 58.96

ZAR 58.99

ZAR 59.00

ZAR 59.00

ZAR 59.00

ZAR 59.02

ZAR 59.05

ZAR 59.05

ZAR 59.17

ZAR 59.40

ZAR 59.40

ZAR 61.31

ZAR 96.00

ZAR 96.00

ZAR 96.39

ZAR 48.00

ZAR 58.00

ZAR 58.27

ZAR 58.30

ZAR 58.31

ZAR 58.35

ZAR 58.40

ZAR 58.42

ZAR 58.43

ZAR 58.44

ZAR 58.45

ZAR 58.48

ZAR 58.51

ZAR 58.55

ZAR 58.58

ZAR 58.58

ZAR 58.60

ZAR 58.64

ZAR 58.65

ZAR 58.68

ZAR 58.70

ZAR 58.80

ZAR 58.81

ZAR 58.92

ZAR 58.99

ZAR 59.00

ZAR 96.00

 

(b)        Derivatives transactions (other than options)

 

Class of relevant security

Product description

e.g. CFD

Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit


 

 




 

(c)        Options transactions in respect of existing securities

 

(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

e.g. American, European etc.

Expiry date

Option money paid/ received per unit

0.02p ordinary shares

Equity Futures

Writing

44,600


European

17/06/2010


 

(ii)        Exercising

 

Class of relevant security

Product description

e.g. call option

Number of securities

Exercise price per unit




 

 

 

(d)        Other dealings (including subscribing for new securities)

 

Class of relevant security

Nature of dealing

e.g. subscription, conversion

Details

Price per unit (if applicable)


 

 



 

The currency of all prices and other monetary amounts should be stated.

 

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.

 

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 party to the offer or person acting in concert making the disclosure and any other person:

If there are no such agreements, arrangements or understandings, state "none"

 

 

 

 

(b)        Agreements, arrangements or understandings relating to options or derivatives

 

Details of any agreement, arrangement or understanding, formal or informal, between the party to the offer or person acting in concert 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"

 

 

 

 

(c)        Attachments

 

Are any Supplemental Forms attached?

 

Supplemental Form 8 (Open Positions)

YES

Supplemental Form 8 (SBL)

NO

 

 

Date of disclosure:

29/04/2010

Contact name:

DAVID BURFOOT

Telephone number:

0207 597 4394

 

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk.  The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.

 

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.



 

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

 

DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the "Code")

 

 

1.         KEY INFORMATION

 

Identity of person whose open positions are being disclosed:

INVESTEC SECURITIES LTD

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

INVESTEC PLC

 

2.         OPTIONS AND DERIVATIVES

 

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

Type

e.g. American, European etc.

Expiry date

0.02p ordinary

Call Option

Purchased

452,100

58 Rand

American

17/06/2010

0.02p ordinary

Call Option

Written

17,600

54 Rand

American

17/06/2010

0.02p ordinary

Call Option

Written

75,000

80 Rand

European

15/10/2010

0.02p ordinary

Put Option

Written

75,000

80 Rand

European

15/10/2010

0.02p ordinary

Futures

Written

269,100


European

17/06/2010

0.02p ordinary

Futures

Written

101,000


European

16/09/2010

0.02p ordinary

Futures

Written

1,865,800


European

15/12/2010

0.02p ordinary

Futures

Written

360,100


European

17/03/2011

0.02p ordinary

Futures

Written

1,569,400


European

17/06/2010

 

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 contracts for differences ("CFDs") or spread bets.

 

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 dealing disclosure requirements on +44 (0)20 7638 0129.

 

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

 

 


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