Form 8 (DD) - Investec plc

RNS Number : 5895P

Investec PLC

05 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:	04/10/2011
(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:	22,242,401	4.1006	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:	22,245,616	4.1011	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)
Original	Purchase	1,032	4206
Original	Purchase	2,427	4208
Original	Purchase	3,714	4210
Original	Purchase	2,793	4214
Original	Purchase	6,758	4215
Original	Purchase	4,217	4216
Original	Purchase	1,185	4218
Original	Purchase	9,532	4220
Original	Purchase	6,898	4222
Original	Purchase	3,815	4223
Original	Purchase	8,596	4224
Original	Purchase	17,908	4225
Original	Purchase	2,366	4226
Original	Purchase	243	4230
Original	Purchase	1,740	4230
Original	Purchase	5,242	4240
Original	Purchase	4,275	4243
Original	Purchase	6,203	4244
Original	Purchase	1,263	4245
Original	Purchase	1,567	4246
Original	Purchase	265	4247
Original	Purchase	6,398	4249
Original	Purchase	6,013	4250
Original	Purchase	1,000	4250
Original	Purchase	3,267	4251
Original	Purchase	1,000	4251
Original	Purchase	6,674	4253
Original	Purchase	6,444	4254
Original	Purchase	1,032	4255
Original	Purchase	10,255	4256
Original	Purchase	2,063	4256
Original	Purchase	7,309	4257
Original	Purchase	3,260	4258
Original	Purchase	459	4259
Original	Purchase	3,260	4260
Original	Purchase	5,053	4261
Original	Purchase	5,214	4262
Original	Purchase	5,123	4263
Original	Purchase	9,181	4264
Original	Purchase	3,536	4265
Original	Purchase	8,533	4266
Original	Purchase	9,432	4268
Original	Purchase	6,400	4269
Original	Purchase	7,219	4270
Original	Purchase	2,600	4273
Original	Purchase	3,248	4276
Original	Purchase	3,010	4278
Original	Purchase	8,998	4279
Original	Purchase	7,012	4280
Original	Purchase	3,242	4283
Original	Purchase	413	4284
Original	Purchase	2,593	4285
Original	Purchase	1,039	4287
Original	Purchase	1,193	4288
Original	Purchase	3,981	4289
Original	Purchase	413	4291
Original	Purchase	1,239	4292
Original	Purchase	6,714	4300
Original	Purchase	3,018	4301
Original	Purchase	6,402	4304
Original	Purchase	2,384	4305
Original	Purchase	413	4314
Original	Purchase	5,146	4319
Original	Purchase	1,252	4321
Original	Purchase	2,064	4338
Original	Purchase	2,063	4339
Original	Purchase	2,562	4349
Original	Sale	-1,032	4202
Original	Sale	-1,032	4206
Original	Sale	-1,032	4215
Original	Sale	-1,032	4218
Original	Sale	-1,032	4220
Original	Sale	-1,032	4225
Original	Sale	-702	4230
Original	Sale	-19,987	4230
Original	Sale	-1,139	4234
Original	Sale	-2,064	4235
Original	Sale	-2,000	4240
Original	Sale	-1,032	4241
Original	Sale	-1,032	4244
Original	Sale	-64	4247
Original	Sale	-1,032	4249
Original	Sale	-1,032	4250
Original	Sale	-1,032	4251
Original	Sale	-1,864	4252
Original	Sale	-1,232	4255
Original	Sale	-10,255	4256
Original	Sale	-200	4260
Original	Sale	-700	4260
Original	Sale	-1,032	4261
Original	Sale	-101	4261
Original	Sale	-1,032	4265
Original	Sale	-100	4268
Original	Sale	-5,000	4269
Original	Sale	-1,032	4269
Original	Sale	-1,700	4270
Original	Sale	-732	4276
Original	Sale	-300	4277
Original	Sale	-2,217	4280
Original	Sale	-2,100	4280
Original	Sale	-1,032	4289
Original	Sale	-500	4295
Original	Sale	-825	4300
Original	Sale	-483	4311

(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:	05/10/2011
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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