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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 disclosure: 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 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)
28/11/2011
(e) Date dealing undertaken:
(f) Has the party previously disclosed, or is YES - INVESTEC LTD &
it today disclosing, under the Code in respect EVOLUTION GROUP PLC
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: 18,863,599 3.4740 0 0.0000
(2) Derivatives (other than
options):
(3) Options and agreements to
purchase/sell: 3,215 0.0006 114,106 0.0210
TOTAL: 18,866,814 3.4746 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 Purchase/sale Number of Price per
relevant securities unit ZAR
security (cents)
Ordinary Purchase 2,000 4355
Ordinary Purchase 1,500 4355
Ordinary Purchase 55,000 4360
Ordinary Purchase 2 4367
Ordinary Purchase 2,250 4380
Ordinary Purchase 5,000 4390
Ordinary Purchase 2,000 4390
Ordinary Purchase 400 4393
Ordinary Purchase 370 4395
Ordinary Purchase 620 4396
Ordinary Purchase 450 4397
Ordinary Purchase 414 4403
Ordinary Purchase 1 4406
Ordinary Purchase 328 4414
Ordinary Purchase 620 4423
Ordinary Purchase 825 4426
Ordinary Purchase 400 4431
Ordinary Purchase 912 4432
Ordinary Purchase 826 4440
Ordinary Purchase 4,489 4440
Ordinary Purchase 620 4440
Ordinary Purchase 680 3.369 GBP
Ordinary Purchase 55690 3.397 GBP
Ordinary Sale 207 4354
Ordinary Sale 2 4367
Ordinary Sale 200 4385
Ordinary Sale 480 3.369 GBP
Ordinary Sale 200 3.371 GBP
Ordinary Sale 450 3.39 GBP
Ordinary Sale 500 3.39 GBP
Ordinary Sale 1000 3.39 GBP
Ordinary Sale 321 3.39 GBP
Ordinary Sale 5771 3.39 GBP
Ordinary Sale 300 3.391 GBP
Ordinary Sale 500 3.391 GBP
Ordinary Sale 317 3.391 GBP
Ordinary Sale 500 3.391 GBP
Ordinary Sale 1204 3.391 GBP
Ordinary Sale 139 3.391 GBP
Ordinary Sale 357 3.392 GBP
Ordinary Sale 500 3.392 GBP
Ordinary Sale 317 3.392 GBP
Ordinary Sale 1500 3.392 GBP
Ordinary Sale 2734 3.392 GBP
Ordinary Sale 1374 3.392 GBP
Ordinary Sale 300 3.392 GBP
Ordinary Sale 300 3.393 GBP
Ordinary Sale 1457 3.393 GBP
Ordinary Sale 2159 3.394 GBP
Ordinary Sale 1162 3.394 GBP
Ordinary Sale 504 3.394 GBP
Ordinary Sale 515 3.394 GBP
Ordinary Sale 552 3.394 GBP
Ordinary Sale 379 3.394 GBP
Ordinary Sale 600 3.394 GBP
Ordinary Sale 69 3.394 GBP
Ordinary Sale 1320 3.394 GBP
Ordinary Sale 8445 3.394 GBP
Ordinary Sale 709 3.395 GBP
Ordinary Sale 510 3.395 GBP
Ordinary Sale 256 3.397 GBP
Ordinary Sale 506 3.397 GBP
Ordinary Sale 387 3.397 GBP
Ordinary Sale 519 3.397 GBP
Ordinary Sale 450 3.397 GBP
Ordinary Sale 499 3.397 GBP
Ordinary Sale 383 3.397 GBP
Ordinary Sale 3657 3.398 GBP
Ordinary Sale 1361 3.398 GBP
Ordinary Sale 1841 3.398 GBP
Ordinary Sale 510 3.398 GBP
Ordinary Sale 910 3.398 GBP
Ordinary Sale 954 3.399 GBP
Ordinary Sale 132 3.399 GBP
Ordinary Sale 660 3.399 GBP
Ordinary Sale 300 3.399 GBP
Ordinary Sale 265 3.399 GBP
Ordinary Sale 1325 3.399 GBP
Ordinary Sale 259 3.399 GBP
Ordinary Sale 1260 3.399 GBP
Ordinary Sale 100 3.40 GBP
Ordinary Sale 1650 3.40 GBP
Ordinary Sale 506 3.40 GBP
Ordinary Sale 235 3.40 GBP
(b) Derivatives transactions
(other than options)
Class of Product Nature of dealing Number of Price per
relevant description e.g. opening/closing a reference unit
security e.g. CFD long/short position, securities
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, securitie price e.g. date money
security ion e.g. selling, s to per unit American paid/
call varying which , receive
option etc. option European d per
relates etc. unit
(ii) Exercising
Class of relevant Product Number of Exercise price per unit
security description securities
e.g. call option
(d) Other dealings (including
subscribing for new securities)
Class of Nature of dealing Details Price per unit (if
relevant e.g. subscription, 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: 29/11/2011
Contact name: Gary Darch
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 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 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 Purchase 2,500 ZAR 46 American 15/12/2011
ordinary
0.02p Futures Written 9,346 European 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: 29/11/2011 11:31:01 Supplied by www.sharenet.co.za
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