4 Nov 2011 09:39
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING
IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: Bank of America Merrill Lynch
(b) Name of offeror/offeree in relation to whose relevant securities this INVESTEC PLC
form relates:
(c) Name of the party to the offer with which exempt Advisor to INVESTEC PLC and INVESTEC LTD
principal trader is connected:
(d) Date dealing undertaken: 03/11/2011
(e) Has the EPT previously disclosed, or is it today disclosing, under the NO
Code in respect of any other party to this offer?
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of Purchase/ Total number Highest price Lowest price
relevant Sales of securities per unit per unit
security paid/received paid/received
Common - GB00B17BBQ50 Purchase 44,263 GBP 3.71 GBP 3.62
Common - GB00B17BBQ50 Sale 37,871 GBP 3.75 GBP 3.63
(b) Derivatives transactions (other than options)
Class of Product description Nature of dealing Number of reference Price per unit
relevant eg. CFD securities
security
Common - GB00B17BBQ50 Swap SHORT 458 GBP 3.66
Common - GB00B17BBQ50 Swap SHORT 1468 GBP 3.66
Common - GB00B17BBQ50 Swap SHORT 2101 GBP 3.66
Common - GB00B17BBQ50 Swap SHORT 2384 GBP 3.67
Common - GB00B17BBQ50 Swap SHORT 6472 GBP 3.68
Common - GB00B17BBQ50 Swap SHORT 9412 GBP 3.68
Common - GB00B17BBQ50 Swap SHORT 14933 GBP 3.64
Common - GB00B17BBQ50 Swap SHORT 100 GBP 3.62
Class of Product description Nature of dealing Number of reference Price per unit
relevant eg. CFD securities
security
Common - GB00B17BBQ50 Swap LONG 1596 GBP 3.75
Common - GB00B17BBQ50 Swap LONG 2125 GBP 3.69
Common - GB00B17BBQ50 Swap LONG 6472 GBP 3.72
Common - GB00B17BBQ50 Swap LONG 1384 GBP 3.70
Common - GB00B17BBQ50 Swap LONG 1197 GBP 3.75
Common - GB00B17BBQ50 Swap LONG 1059 GBP 3.75
Common - GB00B17BBQ50 Swap LONG 1000 GBP 3.70
Common - GB00B17BBQ50 Swap LONG 854 GBP 3.69
Common - GB00B17BBQ50 Swap LONG 458 GBP 3.69
Common - GB00B17BBQ50 Swap LONG 431 GBP 3.68
Common - GB00B17BBQ50 Swap LONG 387 GBP 3.69
Common - GB00B17BBQ50 Swap LONG 2551 GBP 3.75
(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 description purchasing, securities price date money
security selling, to which per unit paid/
varying etc. option received
relates per unit
(ii) Exercising
Class of relevant security Product description Number of securities Exercise price per unit
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
3. 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 exempt principal trader making the
disclosure and any party to the offer or any person acting in concert with a party to the
offer:
NONE
(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between
the exempt principal trader 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:
NONE
Date of disclosure: 04/11/2011
Contact name: Balenkosi Dungeni
Telephone number: +44 20 7996 1639
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING
IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: Bank of America Merrill Lynch
(b) Name of offeror/offeree in relation to whose relevant securities this INVESTEC LTD
form relates:
(c) Name of the party to the offer with which exempt Advisor to INVESTEC PLC and INVESTEC LTD
principal trader is connected:
(d) Date dealing undertaken: 03/11/2011
(e) Has the EPT previously disclosed, or is it today disclosing, under the NO
Code in respect of any other party to this offer?
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of Purchase/ Total number Highest price Lowest price
relevant Sales of securities per unit per unit
security paid/received paid/received
Common - ZAE000081949 Purchase 2,738 ZAR 47.64 ZAR 47.63
Common - ZAE000081949 Sale 2,738 ZAR 47.64 ZAR 47.64
(b) Derivatives transactions (other than options)
Class of Product description Nature of dealing Number of reference Price per unit
relevant securities
security
(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 description purchasing, securities price date money
security selling, to which per unit paid/
varying etc. option received
relates per unit
(ii) Exercising
Class of relevant security Product description Number of securities Exercise price per unit
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
3. 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 exempt principal trader making the
disclosure and any party to the offer or any person acting in concert with a party to the
offer:
NONE
(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between
the exempt principal trader 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:
NONE
Date of disclosure: 04/11/2011
Contact name: Doug Berwick
Telephone number: +44 20 7995 8859
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING
IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: Bank of America Merrill Lynch
(b) Name of offeror/offeree in relation to whose relevant securities this Evolution Group Plc
form relates:
(c) Name of the party to the offer with which exempt Advisor to INVESTEC PLC and INVESTEC LTD
principal trader is connected:
(d) Date dealing undertaken: 03/11/2011
(e) Has the EPT previously disclosed, or is it today disclosing, under the NO
Code in respect of any other party to this offer?
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of Purchase/ Total number Highest price Lowest price
relevant Sales of securities per unit per unit
security paid/received paid/received
Common - GB0030221864 Purchase 40,699 GBP 0.83 GBP 0.82
Common - GB0030221864 Sale 822 GBP 0.84 GBP 0.83
(b) Derivatives transactions (other than options)
Class of Product description Nature of dealing Number of reference Price per unit
relevant eg. CFD securities
security
Common - GB0030221864 Swap SHORT 12557 GBP 0.82
Common - GB0030221864 Swap SHORT 9263 GBP 0.82
Common - GB0030221864 Swap SHORT 6139 GBP 0.83
Common - GB0030221864 Swap SHORT 5188 GBP 0.82
Common - GB0030221864 Swap SHORT 4688 GBP 0.82
Common - GB0030221864 Swap SHORT 2758 GBP 0.83
Common - GB0030221864 Swap SHORT 100 GBP 0.84
Common - GB0030221864 Swap SHORT 6 GBP 0.84
Class of Product description Nature of dealing Number of reference Price per unit
relevant eg. CFD securities
security
Common - GB0030221864 Swap LONG 100 GBP 0.83
Common - GB0030221864 Swap LONG 223 GBP 0.82
Common - GB0030221864 Swap LONG 499 GBP 0.84
(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 description purchasing, securities price date money
security selling, to which per unit paid/
varying etc. option received
relates per unit
(ii) Exercising
Class of relevant security Product description Number of securities Exercise price per unit
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
3. 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 exempt principal trader making the
disclosure and any party to the offer or any person acting in concert with a party to the
offer:
NONE
(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between
the exempt principal trader 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:
NONE
Date of disclosure: 04/11/2011
Contact name: Doug Berwick
Telephone number: +44 20 7995 8859