Form 8 (DD) - Investec plc

RNS Number : 5134R

Investec PLC

04 November 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:	03/11/2011
(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:	19,236,953	3.5465	0	0.0000
(2) Derivatives (other than options):
(3) Options and agreements to purchase/sell:	3,215	0.0006	114,106	0.0210
TOTAL:	19,240,168	3.5471	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	701	9400
Ordinary	Purchase	150	4685
Ordinary	Purchase	140	9320
Ordinary	Purchase	390	9340
Ordinary	Purchase	300	4670
Ordinary	Purchase	1,610	9330
Ordinary	Purchase	7,346	4643
Ordinary	Purchase	620	4640
Ordinary	Purchase	620	4641
Ordinary	Purchase	826	4667
Ordinary	Purchase	620	4672
Ordinary	Purchase	620	4674
Ordinary	Purchase	620	4685
Ordinary	Purchase	620	4708
Ordinary	Purchase	620	4718
Ordinary	Purchase	2	4697
Ordinary	Purchase	2,000	4645
Ordinary	Sale	1,240	4643
Ordinary	Sale	1,031	4643
Ordinary	Sale	2,049	4671
Ordinary	Sale	9,907	4671
Ordinary	Sale	15,102	4671
Ordinary	Sale	6,150	4671
Ordinary	Sale	12,288	4671
Ordinary	Sale	16,423	4671
Ordinary	Sale	9,764	4671
Ordinary	Sale	287	4671
Ordinary	Sale	6,079	4671
Ordinary	Sale	57,757	4671
Ordinary	Sale	1,938	4671
Ordinary	Sale	39,549	4671
Ordinary	Sale	6,318	4671
Ordinary	Sale	2,779	4671
Ordinary	Sale	3,163	4671
Ordinary	Sale	4,080	4671
Ordinary	Sale	9,251	4671
Ordinary	Sale	6,446	4671
Ordinary	Sale	5,949	4671
Ordinary	Sale	10,633	4671
Ordinary	Sale	8,230	4671
Ordinary	Sale	22,211	4671
Ordinary	Sale	1,383	4671
Ordinary	Sale	8,257	4671
Ordinary	Sale	4,806	4671
Ordinary	Sale	143,555	4671
Ordinary	Sale	7,250	4671
Ordinary	Sale	6,969	4671
Ordinary	Sale	3,174	4671
Ordinary	Sale	116,524	4671
Ordinary	Sale	3,600	4671
Ordinary	Sale	34,256	4671
Ordinary	Sale	4,918	4671
Ordinary	Sale	204	4671
Ordinary	Sale	840	4671
Ordinary	Sale	18,437	4671
Ordinary	Sale	940	4702
Ordinary	Sale	326	4702
Ordinary	Sale	4,685	4703
Ordinary	Sale	620	4704
Ordinary	Sale	1,033	4710
Ordinary	Sale	1,697	4713
Ordinary	Sale	1,697	4715
Ordinary	Sale	3,390	4716
Ordinary	Sale	2,351	4718
Ordinary	Sale	268	4730
Ordinary	Sale	1,610	9330
Ordinary	Sale	390	9340
Ordinary	Sale	1,800	9400

(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:	04/11/2011
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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