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1 Nov 2011 11:04
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 INVESTEC PLC
relevant securities this form relates:
(c) Name of the party to the offer with which exempt Advisor to INVESTEC PLC and
principal trader is connected: INVESTEC LTD
(d) Date dealing undertaken: 31/10/2011
(e) Has the EPT previously disclosed, or is it today NO
disclosing, under the 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 144,923 GBP 3.93 GBP 3.78
Common - GB00B17BBQ50 Sale 78,665 GBP 3.92 GBP 3.78
(b) Derivatives transactions (other than options)
Class of Product Nature of dealing Number of Price per unit
relevant description reference securities
security eg. CFD
Common - GB00B17BBQ50 Swap SHORT 10829 GBP 3.92 Common - GB00B17BBQ50 Swap SHORT 11456 GBP 3.87 Common - GB00B17BBQ50 Swap SHORT 408 GBP 3.91
Common - GB00B17BBQ50 Swap SHORT 985 GBP 3.78
Common - GB00B17BBQ50 Swap SHORT 1245 GBP 3.84
Common - GB00B17BBQ50 Swap SHORT 1729 GBP 3.90
Common - GB00B17BBQ50 Swap SHORT 1894 GBP 3.78
Common - GB00B17BBQ50 Swap SHORT 3419 GBP 3.78
Common - GB00B17BBQ50 Swap SHORT 135 GBP 3.82
Common - GB00B17BBQ50 Swap SHORT 5325 GBP 3.81
Class of Product Nature of dealing Number of Price per unit
relevant description reference securities
security eg. CFD
Common - GB00B17BBQ50 Swap LONG 1062 GBP 3.76
Common - GB00B17BBQ50 Swap LONG 4273 GBP 3.92
Common - GB00B17BBQ50 Swap LONG 3900 GBP 3.80
Common - GB00B17BBQ50 Swap LONG 1196 GBP 3.93
Common - GB00B17BBQ50 Swap LONG 905 GBP 3.84
Common - GB00B17BBQ50 Swap LONG 843 GBP 3.84
Common - GB00B17BBQ50 Swap LONG 684 GBP 3.84
Common - GB00B17BBQ50 Swap LONG 6425 GBP 3.92
(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 Product description Number of securities Exercise price per unit
security
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of dealing Details Price per unit (if
security 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: 01/11/2011
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 Evolution Group Plc
relevant securities this form relates:
(c) Name of the party to the offer with which exempt Advisor to INVESTEC PLC and
principal trader is connected: INVESTEC LTD
(d) Date dealing undertaken: 31/10/2011
(e) Has the EPT previously disclosed, or is it today NO
disclosing, under the 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 18,624 GBP 0.87 GBP 0.86
Common - GB0030221864 Sale 13,081 GBP 0.89 GBP 0.86
(b) Derivatives transactions (other than options)
Class of Product Nature of dealing Number of Price per unit
relevant description reference securities
security eg. CFD
Common - GB0030221864 Swap SHORT 5143 GBP 0.85
Common - GB0030221864 Swap SHORT 4002 GBP 0.86
Common - GB0030221864 Swap SHORT 3882 GBP 0.88
Common - GB0030221864 Swap SHORT 2664 GBP 0.87
Common - GB0030221864 Swap SHORT 1714 GBP 0.86
Common - GB0030221864 Swap SHORT 1219 GBP 0.86
Class of Product Nature of dealing Number of Price per unit
relevant description reference securities
security eg. CFD
Common - GB0030221864 Swap LONG 810 GBP 0.86
Common - GB0030221864 Swap LONG 1398 GBP 0.87
Common - GB0030221864 Swap LONG 4052 GBP 0.85
Common - GB0030221864 Swap LONG 6821 GBP 0.89
(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 Product description Number of securities Exercise price per unit
security
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of dealing Details Price per unit (if
security 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: 01/11/2011
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 INVESTEC LTD
relevant securities this form relates:
(c) Name of the party to the offer with which exempt Advisor to INVESTEC PLC and
principal trader is connected: INVESTEC LTD
(d) Date dealing undertaken: 31/10/2011
(e) Has the EPT previously disclosed, or is it today NO
disclosing, under the 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 Sale 13,641 ZAR 48.74 ZAR 48.74
(b) Derivatives transactions (other than options)
Class of Product description Nature of dealing Number of Price per unit
relevant reference 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 Product description Number of securities Exercise price per unit
security
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of dealing Details Price per unit (if
security 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: 01/11/2011
Contact name: Doug Berwick
Telephone number: +44 20 7995 8859
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