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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: 13/09/2011
(f) Has the party previously disclosed, or YES - INVESTEC LTD &
is it today disclosing, under the Code in EVOLUTION GROUP PLC
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: 22,354,216 4.1210 1,251,185 0.2307
(2) Derivatives (other than
options):
(3) Options and agreements
to purchase/sell: 4,499 0.0008 105,328 0.0194
TOTAL: 22,358,715 4.1220 1,356,513 0.2501
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 9,705 4660
Ordinary Purchase 40,295 4661
Ordinary Purchase 827 4664
Ordinary Purchase 1,550 4665
Ordinary Purchase 937 4675
Ordinary Purchase 4,000 4683
Ordinary Purchase 827 4684
Ordinary Purchase 4,063 4684
Ordinary Purchase 15,000 4685
Ordinary Purchase 827 4687
Ordinary Purchase 1,000 4687
Ordinary Purchase 5,000 4690
Ordinary Purchase 10,000 4695
Ordinary Purchase 827 4700
Ordinary Purchase 5,000 4700
Ordinary Purchase 1,136 4705
Ordinary Purchase 50,000 4725
Ordinary Purchase 4,846 4725
Ordinary Purchase 946 4725
Ordinary Purchase 827 4728
Ordinary Purchase 827 4734
Ordinary Purchase 827 4741
Ordinary Purchase 827 4748
Ordinary Purchase 1,000 4768
Ordinary Sale 108 4651
Ordinary Sale 2,528 4661
Ordinary Sale 1,072 4665
Ordinary Sale 827 4670
Ordinary Sale 97 4670
Ordinary Sale 108 4672
Ordinary Sale 5 4695
Ordinary Sale 500 4700
Ordinary Sale 5,000 4700
Ordinary Sale 500 4710
Ordinary Sale 827 4713
Ordinary Sale 822 4716
Ordinary Sale 500 4718
Ordinary Sale 579 4725
Ordinary Sale 827 4728
Ordinary Sale 550 4748
Ordinary Sale 1,414 4762
(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 descript- purchasing, securities price e.g. date money
security ion e.g. selling, to which per unit American paid/
call varying option , receiv
option etc. relates European ed per
etc. 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: 14/09/2011
Contact name: Jacqueline Lovis
Telephone number: 0207 597 4815
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 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 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
0.02p Put Option Purchase 2,500 ZAR 46 American 15/12/2011
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: 14/09/2011 13:53:01 Supplied by www.sharenet.co.za
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