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 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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