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INL/INP - Investec Limited/Investec plc - Form 8 (DD)
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 INVESTEC BANK PLC /
person acting in concert making the INVESTEC LTD
disclosure:
(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 INVESTEC PLC
whose relevant securities this form
relates:
Use a separate form for each
offeror/offeree
(d) Status of person making the OFFEROR
disclosure:
e.g. offeror, offeree, person acting
in concert with the offeror/offeree
(specify name of offeror/offeree)
(e) Date dealing undertaken: 04/08/2011
(f) Has the party previously disclosed, or YES - INVESTEC LTD
is it today disclosing, under the Code in
respect of any other party to this offer'
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 0.02p ordinary
security:
Interests Short positions
Number % Number %
(1) Relevant securities
owned and/or controlled: 35,836,213 6.6067
(2) Derivatives (other
than options):
(3) Options and 113,526 0.0209
agreements to
purchase/sell:
TOTAL: 35,836,213 6.6067 113,526 0.0209
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 Purchase/sale Number of Price per unit
relevant securities
security
Ordinary Purchase 16212 ZAR 4810
Purchase 400 ZAR 4883
Purchase 1000 ZAR 4890
Purchase 500 ZAR 4898
Purchase 1000 ZAR 4900
Purchase 500 ZAR 4902
Purchase 728 ZAR 4906
Purchase 200 ZAR 4910
Purchase 350 ZAR 4915
Purchase 1200 ZAR 4915
Purchase 2500 ZAR 4917
Purchase 5000 ZAR 4928
Purchase 2327 ZAR 4929
Purchase 7673 ZAR 4930
Purchase 7586 ZAR 4944
Purchase 42414 ZAR 4945
Purchase 700 ZAR 4948
Purchase 2200 ZAR 4955
Purchase 2071 ZAR 5020
Purchase 1033 ZAR 5025
Purchase 2540 ZAR 5029
Purchase 23586 ZAR 5030
Purchase 500 ZAR 8705
Purchase 1000 ZAR 8705
Purchase 1000 ZAR 8710
Purchase 1000 ZAR 8710
Sale 1040 ZAR 4904
Sale 3950 ZAR 4910
Sale 10090 ZAR 4920
Sale 3940 ZAR 4924
Sale 1000 ZAR 4960
Sale 24248 ZAR 5030
Sale 752 ZAR 5031
Purchase 219 GBP 429.4
Sale 219 GBP 448.055
(b) Derivatives transactions (other than options)
Class of Product Nature of dealing Number of Price per
relevant description e.g. opening/closing reference unit
security e.g. CFD a long/short securities
position,
increasing/reducing
a long/short
position
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry Option
relevant descriptio purchasing, securities price e.g. date money
security n e.g. selling, to which per American, paid/
call varying option unit European receiv
option etc. relates etc. ed per
unit
(ii) Exercising
Class of relevant Product Number of Exercise price
security description securities per unit
e.g. call option
(d) Other dealings (including subscribing for new securities)
Class of Nature of dealing Details Price per unit
relevant e.g. subscription, (if
security conversion 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: 05/08/2011
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 INVESTEC BANK PLC/LTD
being disclosed:
Name of offeror/offeree in relation to INVESTEC PLC
whose relevant securities the disclosure
relates:
2. OPTIONS AND DERIVATIVES
Class of Product Written Number of Exercise Type Expiry
relevant description or securities price e.g. date
security e.g. call purchased to which per unit American,
option option or European
derivative etc.
relates
0.02p Put Option Purchased 4,760 ZAR 42 American 15/12/2011
ordinary
0.02p Call Option Purchased 1,000 ZAR 59 American 15/09/2011
ordinary
0.02p Put Option Purchased 50,000 ZAR 75 European 16/07/2012
ordinary
0.02p Call Option Purchased 25,000 ZAR 62 European 31/08/2011
ordinary
0.02p Put Option Written 25,000 ZAR 52 European 31/08/2011
ordinary
0.02p Call Option Written 50,000 ZAR 75 European 16/07/2012
ordinary
0.02p Futures Purchased 715 European 15/12/2011
ordinary
0.02p Futures Written 8,766 European 15/09/2011
ordinary
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.
Date: 05/08/2011 14:26:53 Supplied by www.sharenet.co.za
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