Form 8 (DD) - Investec plc

RNS Number : 4020O

Investec PLC

16 September 2011

 

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

(jointly "Investec")

As part of the dual listed company structure, Investec plc and Investec Limited notify both the London Stock Exchange and the JSE Limited of matters which are required to be disclosed under the Disclosure, Transparency and Listing Rules of the United Kingdom Listing Authority (the "UKLA") and/or the JSE Listing Requirements.

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 BANK PLC / INVESTEC 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:	15/09/2011
(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 & EVOLUTION GROUP PLC

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:	21,343,643	3.9347	983,557	0.1813
(2) Derivatives (other than options):
(3) Options and agreements to purchase/sell:	4,499	0.0008	105,328	0.0194
TOTAL:	21,348,142	3.9357	1,088,885	0.2007

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

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 ZAR (Cents)
Ordinary	Purchase	1,745	4835
Ordinary	Purchase	1,033	4836
Ordinary	Purchase	2,571	4838
Ordinary	Purchase	528	4839
Ordinary	Purchase	25,506	4839
Ordinary	Purchase	4,454	4840
Ordinary	Purchase	25,000	4840
Ordinary	Purchase	1,033	4841
Ordinary	Purchase	3,099	4844
Ordinary	Purchase	951	4845
Ordinary	Purchase	827	4847
Ordinary	Purchase	1,033	4848
Ordinary	Purchase	2,894	4850
Ordinary	Purchase	1,033	4852
Ordinary	Purchase	455	4855
Ordinary	Purchase	2,269	4859
Ordinary	Purchase	2,480	4861
Ordinary	Purchase	827	4863
Ordinary	Purchase	211	4869
Ordinary	Purchase	2,480	4870
Ordinary	Purchase	1,240	4889
Ordinary	Purchase	1,240	4897
Ordinary	Purchase	1822	410.9
Ordinary	Purchase	2401	411
Ordinary	Purchase	903	411.0163
Ordinary	Purchase	2213	411.1
Ordinary	Purchase	100	411.2
Ordinary	Purchase	1854	411.3
Ordinary	Purchase	18	411.6
Ordinary	Purchase	188	413.2
Ordinary	Purchase	30	413.7
Ordinary	Purchase	18750	416
Ordinary	Sale	270	4787
Ordinary	Sale	817,791	4839
Ordinary	Sale	950	4845
Ordinary	Sale	149	4845
Ordinary	Sale	1,081	4868
Ordinary	Sale	4620	410.9
Ordinary	Sale	4012	411
Ordinary	Sale	903	411.0163
Ordinary	Sale	3997	411.1
Ordinary	Sale	200	411.2
Ordinary	Sale	1854	411.3
Ordinary	Sale	2226	411.4
Ordinary	Sale	2000	411.5
Ordinary	Sale	18	411.6
Ordinary	Sale	926	411.7
Ordinary	Sale	3254	411.9
Ordinary	Sale	637	412
Ordinary	Sale	693	412.1
Ordinary	Sale	1723	412.3
Ordinary	Sale	998	412.5
Ordinary	Sale	188	413.4
Ordinary	Sale	30	413.7

(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

(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"

None.

(c)        Attachments

Are any Supplemental Forms attached?

Supplemental Form 8 (Open Positions)	YES
Supplemental Form 8 (SBL)	NO

Date of disclosure:	16/09/2011
Contact name:	Jacqueline Lovis
Telephone number:	0207 597 4815

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 [e-mail].  The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on [phone].

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 BANK PLC/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	Put Option	Purchased	4,760	ZAR 42	American	15/12/2011
0.02p ordinary	Call Option	Purchased	1,000	ZAR 59	American	15/09/2011
0.02p ordinary	Put Option	Purchased	50,000	ZAR 75	European	16/07/2012
0.02p ordinary	Call Option	Written	50,000	ZAR 75	European	16/07/2012
0.02p ordinary	Futures	Purchased	715		European	15/12/2011
0.02p ordinary	Put Option	Purchased	284	ZAR 43	American	15/09/2011
0.02p ordinary	Call Option	Purchased	284	ZAR 58	American	15/09/2011
0.02p ordinary	Call Option	Written	284	ZAR 51	American	15/09/2011
0.02p ordinary	Put Option	Purchase	2,500	ZAR 46	American	15/12/2011

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 [phone].

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

 

END

 

 

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