Form 8 (DD) - Investec plc

RNS Number : 5167P
Investec PLC
04 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:

03/10/2011

(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:

 

22,036,276

 

4.0626

 

5,138,183

 

0.9473

(2) Derivatives (other than options):





(3) Options and agreements to purchase/sell:

 

3,215

 

0.0006

 

114,106

 

0.0210

 

     TOTAL:

 

22,039,491

 

4.0631

 

5,252,289

 

0.9683

 

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

3003

4276

Ordinary

Purchase

1163

4280

Ordinary

Purchase

1166

4283

Ordinary

Purchase

2747

4284

Ordinary

Purchase

2330

4285

Ordinary

Purchase

192

4285

Ordinary

Purchase

3928

4287

Ordinary

Purchase

347

4288

Ordinary

Purchase

2069

4290

Ordinary

Purchase

2081

4291

Ordinary

Purchase

1173

4298

Ordinary

Purchase

160

4299

Ordinary

Purchase

4004

4299

Ordinary

Purchase

122

4301

Ordinary

Purchase

1000

4301

Ordinary

Purchase

2767

4303

Ordinary

Purchase

1116

4305

Ordinary

Purchase

3195

4307

Ordinary

Purchase

11

4308

Ordinary

Purchase

15386

4310

Ordinary

Purchase

11302

4314

Ordinary

Purchase

190

4317

Ordinary

Purchase

100

4317

Ordinary

Purchase

9615

4320

Ordinary

Purchase

2867

4321

Ordinary

Purchase

1032

4323

Ordinary

Purchase

11012

4324

Ordinary

Purchase

2857

4328

Ordinary

Purchase

6358

4329

Ordinary

Purchase

2749

4330

Ordinary

Purchase

5498

4331

Ordinary

Purchase

14283

4332

Ordinary

Purchase

3285

4336

Ordinary

Purchase

2381

4337

Ordinary

Purchase

3807

4339

Ordinary

Purchase

10028

4340

Ordinary

Purchase

1070

4344

Ordinary

Purchase

12780

4345

Ordinary

Purchase

3725

4346

Ordinary

Purchase

13228

4347

Ordinary

Purchase

8565

4348

Ordinary

Purchase

7186

4349

Ordinary

Purchase

7497

4362

Ordinary

Purchase

15506

4363

Ordinary

Purchase

4457

4364

Ordinary

Purchase

250

4365

Ordinary

Purchase

18480

4365

Ordinary

Purchase

10860

4366

Ordinary

Purchase

9213

4367

Ordinary

Purchase

6246

4368

Ordinary

Purchase

2434

4369

Ordinary

Purchase

8124

4370

Ordinary

Purchase

2608

4370

Ordinary

Purchase

6688

4370

Ordinary

Purchase

3163

4370

Ordinary

Purchase

1053

4371

Ordinary

Purchase

6660

4373

Ordinary

Purchase

2021

4375

Ordinary

Purchase

2720

4376

Ordinary

Purchase

13481

4377

Ordinary

Purchase

12771

4378

Ordinary

Purchase

7742

4379

Ordinary

Purchase

52

4380

Ordinary

Purchase

10258

4382

Ordinary

Purchase

9683

4383

Ordinary

Purchase

6733

4384

Ordinary

Purchase

10954

4385

Ordinary

Purchase

5988

4386

Ordinary

Purchase

5273

4387

Ordinary

Purchase

6774

4388

Ordinary

Purchase

1000

4389

Ordinary

Purchase

9549

4389

Ordinary

Purchase

6215

4390

Ordinary

Purchase

5000

4392

Ordinary

Sale

-1032

4284

Ordinary

Sale

-1032

4294

Ordinary

Sale

-1032

4299

Ordinary

Sale

-7500

4300

Ordinary

Sale

-1032

4300

Ordinary

Sale

-122

4301

Ordinary

Sale

-1032

4314

Ordinary

Sale

-1032

4323

Ordinary

Sale

-1032

4330

Ordinary

Sale

-1032

4340

Ordinary

Sale

-5000

4341

Ordinary

Sale

-540

4341

Ordinary

Sale

-2064

4347

Ordinary

Sale

-1000

4350

Ordinary

Sale

-1032

4350

Ordinary

Sale

-1032

4356

Ordinary

Sale

-2500

4365

Ordinary

Sale

-1032

4374

Ordinary

Sale

-3712

4383

Ordinary

Sale

-1032

4394

Ordinary

Sale

-1032

4395

 

 

 

 

(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:

04/10/2011

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 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 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 +44 (0)20 7638 0129.

 

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


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