Form 8 (DD) - Investec plc

RNS Number : 7786P

Investec PLC

07 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:	06/10/2011
(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:	22,705,746	4.1860	0	0.0000
(2) Derivatives (other than options):
(3) Options and agreements to purchase/sell:	3,215	0.0006	114,106	0.0210
TOTAL:	22,708,961	4.1866	114,106	0.0210

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	1,177	4248
Ordinary	Purchase	1,190	4264
Ordinary	Purchase	5,170	4265
Ordinary	Purchase	5,842	4267
Ordinary	Purchase	3,889	4268
Ordinary	Purchase	2,380	4269
Ordinary	Purchase	8,006	4270
Ordinary	Purchase	6,761	4271
Ordinary	Purchase	2,107	4274
Ordinary	Purchase	1,032	4277
Ordinary	Purchase	1,078	4280
Ordinary	Purchase	2,648	4282
Ordinary	Purchase	1,032	4283
Ordinary	Purchase	1,032	4284
Ordinary	Purchase	3,849	4284
Ordinary	Purchase	2,326	4285
Ordinary	Purchase	3,686	4287
Ordinary	Purchase	1,306	4288
Ordinary	Purchase	1,887	4289
Ordinary	Purchase	3,835	4290
Ordinary	Purchase	589	4291
Ordinary	Purchase	500	4291
Ordinary	Purchase	1,511	4292
Ordinary	Purchase	4,425	4293
Ordinary	Purchase	4,196	4294
Ordinary	Purchase	2,095	4295
Ordinary	Purchase	1,032	4296
Ordinary	Purchase	2,097	4297
Ordinary	Purchase	3,950	4298
Ordinary	Purchase	600	4298
Ordinary	Purchase	7,079	4298
Ordinary	Purchase	11,149	4299
Ordinary	Purchase	490	4300
Ordinary	Purchase	4,800	4300
Ordinary	Purchase	1,000	4300
Ordinary	Purchase	536	4300
Ordinary	Purchase	11,255	4300
Ordinary	Purchase	1,203	4302
Ordinary	Purchase	1,032	4304
Ordinary	Purchase	1,303	4304
Ordinary	Purchase	1,032	4305
Ordinary	Purchase	292	4305
Ordinary	Purchase	10,036	4306
Ordinary	Purchase	9,623	4307
Ordinary	Purchase	17,395	4308
Ordinary	Purchase	14,872	4309
Ordinary	Purchase	4,958	4310
Ordinary	Purchase	2,756	4311
Ordinary	Purchase	1,032	4312
Ordinary	Purchase	4,337	4312
Ordinary	Purchase	16,727	4313
Ordinary	Purchase	150	4314
Ordinary	Purchase	4,326	4314
Ordinary	Purchase	500	4315
Ordinary	Purchase	1,158	4315
Ordinary	Purchase	170	4316
Ordinary	Purchase	2,087	4316
Ordinary	Purchase	6,260	4317
Ordinary	Purchase	200	4318
Ordinary	Purchase	8,307	4318
Ordinary	Purchase	250	4319
Ordinary	Purchase	400	4320
Ordinary	Purchase	834	4320
Ordinary	Purchase	1,608	4321
Ordinary	Purchase	7,104	4322
Ordinary	Purchase	1,032	4323
Ordinary	Purchase	7,818	4323
Ordinary	Purchase	1,032	4324
Ordinary	Purchase	7,060	4324
Ordinary	Purchase	250	4325
Ordinary	Purchase	1,534	4325
Ordinary	Purchase	3,504	4326
Ordinary	Purchase	1,943	4327
Ordinary	Purchase	1,032	4328
Ordinary	Purchase	1,032	4329
Ordinary	Purchase	1,058	4332
Ordinary	Purchase	1,210	4340
Ordinary	Sale	-1,032	4290
Ordinary	Sale	-16,218	4291
Ordinary	Sale	-1,032	4291
Ordinary	Sale	-9,428	4291
Ordinary	Sale	-1,032	4293
Ordinary	Sale	-101	4293
Ordinary	Sale	-1,032	4294
Ordinary	Sale	-1,032	4295
Ordinary	Sale	-2,500	4300
Ordinary	Sale	-500	4300
Ordinary	Sale	-1,842	4309
Ordinary	Sale	-222	4312
Ordinary	Sale	-1,032	4314
Ordinary	Sale	-1,032	4316
Ordinary	Sale	-1,000	4316

(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:	07/10/2011
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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