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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 / INVESTEC
person acting in concert making the 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 disclosure: OFFEROR
e.g. offeror, offeree, person acting in
concert with the offeror/offeree (specify
name of offeror/offeree)
(e) Date dealing undertaken: 12/08/2011
(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 security: 0.02p ordinary
Interests Short positions
Number % Number %
(1) Relevant securities
owned and/or controlled: 27,489,106 5.0678 4,094,680 0.7549
(2) Derivatives (other than
options):
(3) Options and agreements
to purchase/sell: 1,999 0.0004 105,328 0.0194
TOTAL: 27,491,105 5.0682 4,200,008 0.7743
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
relevant securities unit
security
ZAR (Cents)
Ordinary Purchase 2092 4703
Purchase 372 4712
Purchase 809 4725
Purchase 4191 4726
Purchase 809 4729
Purchase 34191 4730
Purchase 218 4778
Purchase 610 4784
Purchase 101 4800
Purchase 894 4801
Purchase 1104 4808
Purchase 974 4810
Purchase 4153 4816
Purchase 204 4817
Purchase 491 4818
Purchase 40777 4820
Purchase 2507 4821
Purchase 1000 4823
Purchase 654 4824
Purchase 280 4825
Purchase 1001 4826
Purchase 206 4829
Purchase 4644 4830
Purchase 1501 4831
Purchase 2194 4832
Purchase 2359 4833
Purchase 838 4834
Purchase 3949 4835
Purchase 2452 4836
Purchase 827 4837
Purchase 4649 4837
Purchase 8257 4838
Purchase 23342 4839
Purchase 18864 4840
Purchase 1063 4841
Purchase 2422 4842
Purchase 1877 4843
Purchase 2187 4844
Purchase 10425 4848
Purchase 5637 4849
Purchase 12718 4850
Purchase 2000 4851
Purchase 4294 4851
Purchase 1448 4852
Purchase 4571 4853
Purchase 6682 4853
Purchase 14822 4854
Purchase 391 4854
Purchase 1654 4855
Purchase 58607 4855
Purchase 11459 4855
Purchase 4233 4856
Purchase 500 4857
Purchase 827 4858
Purchase 1929 4858
Purchase 12720 4859
Purchase 1654 4860
Purchase 44591 4860
Purchase 5489 4861
Purchase 1472 4862
Purchase 2675 4863
Purchase 1023 4864
Purchase 3243 4865
Purchase 3081 4868
Purchase 1539 4869
Purchase 3333 4870
Purchase 827 4871
Purchase 1277 4871
Purchase 5614 4874
Purchase 31956 4875
Purchase 1535 4876
Purchase 827 4880
Purchase 827 4885
Purchase 827 4888
Purchase 2404 4890
Purchase 550 4895
Purchase 1100 4895
Purchase 2094 4897
Purchase 41 4898
Purchase 827 4899
Purchase 29481 4899
Purchase 4502 4900
Purchase 827 4901
Purchase 577 4901
Purchase 827 4902
Purchase 1400 4902
Purchase 6000 4903
Purchase 388 4904
Purchase 1000 4905
Purchase 1529 4905
Purchase 6600 4906
Purchase 827 4927
Purchase 827 4933
Sale 827 4729
Sale 471 4785
Sale 827 4795
Sale 471 4796
Sale 377 4798
Sale 827 4801
Sale 377 4801
Sale 7214 4822
Sale 1100 4822
Sale 7782 4822
Sale 1200 4823
Sale 800 4830
Sale 471 4899
Sale 4000 4900
Sale 471 4901
(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 Exer- Type Expiry Option
relevant descry- purchasi of cise e.g. date money
security ption ng, security- price America paid/
e.g. call selling, ies to per n, recei-ved
option varying which unit Europea per unit
etc. option n etc.
relates
0.02p Call Written 25,000 ZAR 62 Europea 31/08/20
ordinary Option n 11
0.02p Put Purchase 25,000 ZAR 52 Europea 31/08/20
ordinary Option d n 11
0.02p Put Purchase 25,000 ZAR 62 Europea 31/08/20
ordinary Option d n 11
0.02p Call Written 25,000 ZAR 52 Europea 31/08/20
ordinary Option n 11
0.02p Futures Purchase 8,766 Europea 15/09/20
ordinary d n 11
(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 applicable)
security conversion
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: 15/08/2011
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 whose INVESTEC PLC
relevant securities the disclosure relates:
2. OPTIONS AND DERIVATIVES
Class of Product Written or Number of Exercise Type Expiry
relevant description purchased securities price e.g. date
security e.g. call 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 Written 50,000 ZAR 75 European 16/07/2012
ordinary
0.02p Futures Purchased 715 European 15/12/2011
ordinary
0.02p Put Option Purchased 284 ZAR 43 American 15/09/2011
ordinary
0.02p Call Option Purchased 284 ZAR 58 American 15/09/2011
ordinary
0.02p Call Option Written 284 ZAR 51 American 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: 15/08/2011 14:09:00 Supplied by www.sharenet.co.za
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