Form 8 (DD) - Investec plc

RNS Number : 4107P

Investec PLC

03 October 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:	30/09/2011
(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:	21,639,740	3.9895	130,919	0.0241
(2) Derivatives (other than options):
(3) Options and agreements to purchase/sell:	3,215	0.0006	114,106	0.0210
TOTAL:	21,642,955	3.9900	245,025	0.0451

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	5,198	4363
Ordinary	Purchase	700	4365
Ordinary	Purchase	1,032	4375
Ordinary	Purchase	200	4375
Ordinary	Purchase	751	4376
Ordinary	Purchase	413	4379
Ordinary	Purchase	1,252	4388
Ordinary	Purchase	3,600	4389
Ordinary	Purchase	3,253	4391
Ordinary	Purchase	3,253	4392
Ordinary	Purchase	1,651	4394
Ordinary	Purchase	3,250	4395
Ordinary	Purchase	5,094	4397
Ordinary	Purchase	3,247	4398
Ordinary	Purchase	6,089	4399
Ordinary	Purchase	1,331	4400
Ordinary	Purchase	300	4400
Ordinary	Purchase	413	4401
Ordinary	Purchase	4,483	4402
Ordinary	Purchase	1,053	4403
Ordinary	Purchase	741	4404
Ordinary	Purchase	2,015	4405
Ordinary	Purchase	2,236	4406
Ordinary	Purchase	3,557	4407
Ordinary	Purchase	4,339	4409
Ordinary	Purchase	2,000	4410
Ordinary	Purchase	2,764	4410
Ordinary	Purchase	1,032	4411
Ordinary	Purchase	4,303	4412
Ordinary	Purchase	11,796	4413
Ordinary	Purchase	3,535	4414
Ordinary	Purchase	4,456	4415
Ordinary	Purchase	5,000	4416
Ordinary	Purchase	300	4420
Ordinary	Purchase	2,092	4425
Ordinary	Purchase	3,225	4429
Ordinary	Purchase	2,126	4430
Ordinary	Purchase	1,919	4433
Ordinary	Purchase	715	4436
Ordinary	Purchase	2,477	4442
Ordinary	Sale	-1,032	4362
Ordinary	Sale	-5,478	4363
Ordinary	Sale	-1,032	4363
Ordinary	Sale	-1,787	4363
Ordinary	Sale	-6,000	4365
Ordinary	Sale	-2,000	4366
Ordinary	Sale	-8,000	4367
Ordinary	Sale	-8,000	4369
Ordinary	Sale	-350	4370
Ordinary	Sale	-2,064	4370
Ordinary	Sale	-19,184	4370
Ordinary	Sale	-2,064	4371
Ordinary	Sale	-10,000	4371
Ordinary	Sale	-840	4373
Ordinary	Sale	-2,064	4374
Ordinary	Sale	-1,032	4375
Ordinary	Sale	-8,618	4375
Ordinary	Sale	-1,198	4376
Ordinary	Sale	-250	4377
Ordinary	Sale	-809	4377
Ordinary	Sale	-1,032	4378
Ordinary	Sale	-91	4379
Ordinary	Sale	-3,319	4380
Ordinary	Sale	-22,000	4380
Ordinary	Sale	-1,032	4382
Ordinary	Sale	-1,032	4383
Ordinary	Sale	-1,230	4384
Ordinary	Sale	-3,943	4385
Ordinary	Sale	-4,904	4388
Ordinary	Sale	-2,064	4388
Ordinary	Sale	-3,096	4389
Ordinary	Sale	-1,032	4390
Ordinary	Sale	-6,776	4390
Ordinary	Sale	-2,064	4391
Ordinary	Sale	-5,385	4391
Ordinary	Sale	-1,032	4392
Ordinary	Sale	-1,181	4393
Ordinary	Sale	-941	4393
Ordinary	Sale	-3,170	4394
Ordinary	Sale	-1,032	4394
Ordinary	Sale	-500	4395
Ordinary	Sale	-1,032	4395
Ordinary	Sale	-1,408	4396
Ordinary	Sale	-215	4396
Ordinary	Sale	-2,031	4397
Ordinary	Sale	-1,032	4397
Ordinary	Sale	-12,000	4397
Ordinary	Sale	-3,883	4400
Ordinary	Sale	-3,069	4400
Ordinary	Sale	-215	4400
Ordinary	Sale	-1,000	4400
Ordinary	Sale	-1,032	4401
Ordinary	Sale	-737	4405
Ordinary	Sale	-1,032	4405
Ordinary	Sale	-1,585	4407
Ordinary	Sale	-1,876	4410
Ordinary	Sale	-696	4411
Ordinary	Sale	-1,032	4411
Ordinary	Sale	-1,343	4412
Ordinary	Sale	-1,626	4413
Ordinary	Sale	-964	4414
Ordinary	Sale	-964	4415
Ordinary	Sale	-25,000	4415
Ordinary	Sale	-1,624	4416
Ordinary	Sale	-1,032	4416
Ordinary	Sale	-1,032	4418
Ordinary	Sale	-1,032	4420
Ordinary	Sale	-1,032	4425
Ordinary	Sale	-1,032	4426
Ordinary	Sale	-1,002	4427
Ordinary	Sale	-1,448	4430
Ordinary	Sale	-1,584	4431
Ordinary	Sale	-1,529	4432
Ordinary	Sale	-908	4434
Ordinary	Sale	-1,418	4435
Ordinary	Sale	-413	4437
Ordinary	Sale	-1,521	4440

(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:	03/10/2011
Contact name:	Gary Darch
Telephone number:	0207 597 4549

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	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	Purchase	2,500	ZAR 46	American	15/12/2011
0.02p ordinary	Futures	Written	9,346		European	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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