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 [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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