Form 8.3 - Investec Plc

Form 8.3 - Investec Plc

BARCLAYS PLC

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Identity of the person whose positions/dealings   Barclays PLC.
  are being disclosed:  
(b) Owner or controller of interest and short
  positions disclosed, if different from 1(a):  
(c) Name of offeror/offeree in relation to whose INVESTEC PLC
  relevant securities this form relates:  
(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
  offeror/offeree:  
(e) Date position held/dealing undertaken: 7 November 2011
(f) Has the discloser previously disclosed, or are YES:
they today disclosing, under the Code in respect EVOLUTION GROUP PLC
  of any other party to this offer? INVESTEC LIMITED

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 (if any)

Class of relevant security:     ORD            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 43,626,767 8.04% 45,966,547 8.47%
           
(2) Derivatives (other than
options): 1,615,096 0.30% 436,674 0.08%
           
(3) Options and agreements to
purchase/sell: 310,000 0.06% 105,000 0.02%
           
(4) TOTAL:
45,551,863 8.40% 46,508,221 8.57%

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).

(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 (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

(a) Purchases and sales

Class of relevant   Purchase/sale   Number of   Price per unit
security   securities  
ORD Purchase 15 45.4700 ZAR
ORD Purchase 145 46.9400 ZAR
ORD Purchase 200 46.2600 ZAR
ORD Purchase 379 46.9300 ZAR
ORD Purchase 390 46.6900 ZAR
ORD Purchase 500 3.6120 GBP
ORD Purchase 541 46.3800 ZAR
ORD Purchase 545 45.9200 ZAR
ORD Purchase 600 3.6073 GBP
ORD Purchase 600 46.6000 ZAR
ORD Purchase 690 46.7500 ZAR
ORD Purchase 696 45.9700 ZAR
ORD Purchase 781 46.6700 ZAR
ORD Purchase 831 46.9000 ZAR
ORD Purchase 1,000 46.0200 ZAR
ORD Purchase 1,000 46.0600 ZAR
ORD Purchase 1,000 46.0700 ZAR
ORD Purchase 1,076 46.5800 ZAR
ORD Purchase 1,081 45.9900 ZAR
ORD Purchase 1,100 3.6216 GBP
ORD Purchase 1,157 46.4700 ZAR
ORD Purchase 1,203 45.9300 ZAR
ORD Purchase 1,234 46.9700 ZAR
ORD Purchase 1,240 3.6256 GBP
ORD Purchase 1,279 46.6600 ZAR
ORD Purchase 1,285 46.6100 ZAR
ORD Purchase 1,342 46.6500 ZAR
ORD Purchase 1,382 46.4300 ZAR
ORD Purchase 1,456 46.7300 ZAR
ORD Purchase 1,470 46.6200 ZAR
ORD Purchase 1,489 46.8900 ZAR
ORD Purchase 1,766 46.7800 ZAR
ORD Purchase 1,812 45.9500 ZAR
ORD Purchase 1,867 46.4900 ZAR
ORD Purchase 2,074 46.8000 ZAR
ORD Purchase 2,127 46.4800 ZAR
ORD Purchase 2,239 45.9000 ZAR
ORD Purchase 2,307 45.8300 ZAR
ORD Purchase 2,361 46.5400 ZAR
ORD Purchase 2,436 46.5700 ZAR
ORD Purchase 2,567 46.6300 ZAR
ORD Purchase 2,590 46.0400 ZAR
ORD Purchase 2,820 45.8900 ZAR
ORD Purchase 2,926 46.2300 ZAR
ORD Purchase 2,957 46.3500 ZAR
ORD Purchase 3,152 46.6400 ZAR
ORD Purchase 3,900 45.8800 ZAR
ORD Purchase 4,000 46.4400 ZAR
ORD Purchase 4,036 46.2400 ZAR
ORD Purchase 4,427 46.3300 ZAR
ORD Purchase 4,586 46.5200 ZAR
ORD Purchase 4,651 45.9100 ZAR
ORD Purchase 4,799 46.2500 ZAR
ORD Purchase 4,832 46.5000 ZAR
ORD Purchase 5,050 46.5100 ZAR
ORD Purchase 5,055 46.2900 ZAR
ORD Purchase 5,138 46.3900 ZAR
ORD Purchase 5,166 46.3200 ZAR
ORD Purchase 5,307 46.2800 ZAR
ORD Purchase 5,558 46.5300 ZAR
ORD Purchase 5,881 46.5600 ZAR
ORD Purchase 5,906 46.2700 ZAR
ORD Purchase 5,958 46.3600 ZAR
ORD Purchase 6,352 46.4200 ZAR
ORD Purchase 6,652 46.2200 ZAR
ORD Purchase 6,751 45.8500 ZAR
ORD Purchase 7,429 45.9400 ZAR
ORD Purchase 7,696 46.4100 ZAR
ORD Purchase 9,507 3.6639 GBP
ORD Purchase 9,523 45.9600 ZAR
ORD Purchase 10,272 46.3400 ZAR
ORD Purchase 10,885 46.3000 ZAR
ORD Purchase 11,384 46.4500 ZAR
ORD Purchase 12,106 46.3100 ZAR
ORD Purchase 12,970 46.4000 ZAR
ORD Purchase 14,365 46.0000 ZAR
ORD Purchase 15,795 3.6437 GBP
ORD Purchase 22,971 46.0500 ZAR
ORD Purchase 26,978 3.6251 GBP
ORD Purchase 46,211 3.6469 GBP
ORD Purchase 69,074 47.0100 ZAR
ORD Purchase 73,122 46.0857 ZAR
ORD Purchase 220,925 3.6417 GBP
ORD Sale 31 46.8900 ZAR
ORD Sale 32 45.9200 ZAR
ORD Sale 32 46.3900 ZAR
ORD Sale 36 46.1500 ZAR
ORD Sale 56 46.4700 ZAR
ORD Sale 100 46.2300 ZAR
ORD Sale 106 46.6400 ZAR
ORD Sale 112 45.9700 ZAR
ORD Sale 254 45.5500 ZAR
ORD Sale 268 45.9400 ZAR
ORD Sale 394 46.6200 ZAR
ORD Sale 396 46.4900 ZAR
ORD Sale 402 46.0400 ZAR
ORD Sale 413 46.4200 ZAR
ORD Sale 500 46.2100 ZAR
ORD Sale 500 46.3200 ZAR
ORD Sale 500 46.3800 ZAR
ORD Sale 500 46.4300 ZAR
ORD Sale 500 46.7800 ZAR
ORD Sale 546 46.3500 ZAR
ORD Sale 600 46.4400 ZAR
ORD Sale 600 46.5200 ZAR
ORD Sale 600 46.5400 ZAR
ORD Sale 600 46.5500 ZAR
ORD Sale 600 46.6000 ZAR
ORD Sale 663 46.5700 ZAR
ORD Sale 700 45.8500 ZAR
ORD Sale 700 46.5800 ZAR
ORD Sale 781 46.6700 ZAR
ORD Sale 788 45.9300 ZAR
ORD Sale 800 46.6500 ZAR
ORD Sale 900 46.3300 ZAR
ORD Sale 1,000 45.8400 ZAR
ORD Sale 1,000 45.8700 ZAR
ORD Sale 1,000 46.0200 ZAR
ORD Sale 1,000 46.0500 ZAR
ORD Sale 1,000 46.0700 ZAR
ORD Sale 1,000 46.3400 ZAR
ORD Sale 1,000 46.7300 ZAR
ORD Sale 1,200 46.0300 ZAR
ORD Sale 1,234 46.9700 ZAR
ORD Sale 1,243 46.2500 ZAR
ORD Sale 1,269 46.9000 ZAR
ORD Sale 1,424 46.9300 ZAR
ORD Sale 1,434 3.5877 GBP
ORD Sale 1,500 45.9100 ZAR
ORD Sale 1,500 46.3000 ZAR
ORD Sale 1,600 45.9000 ZAR
ORD Sale 1,600 46.4100 ZAR
ORD Sale 1,600 47.0100 ZAR
ORD Sale 1,661 46.5000 ZAR
ORD Sale 1,757 46.5600 ZAR
ORD Sale 1,800 46.3700 ZAR
ORD Sale 2,000 46.0600 ZAR
ORD Sale 2,000 46.4500 ZAR
ORD Sale 2,030 46.0000 ZAR
ORD Sale 2,200 46.1000 ZAR
ORD Sale 2,214 3.5852 GBP
ORD Sale 2,504 46.4000 ZAR
ORD Sale 2,630 45.9900 ZAR
ORD Sale 2,647 45.9500 ZAR
ORD Sale 2,766 46.0100 ZAR
ORD Sale 4,000 46.2000 ZAR
ORD Sale 4,256 3.6841 GBP
ORD Sale 5,643 3.6872 GBP
ORD Sale 6,500 45.9600 ZAR
ORD Sale 6,577 45.9800 ZAR
ORD Sale 9,685 45.8900 ZAR
ORD Sale 14,206 3.6856 GBP
ORD Sale 15,928 3.6338 GBP
ORD Sale 18,149 3.6164 GBP
ORD Sale 29,854 3.5912 GBP
ORD Sale 31,154 3.6209 GBP
ORD Sale 65,611 3.6869 GBP
ORD Sale 97,208 3.6259 GBP
ORD Sale 238,852 3.6228 GBP

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD CFD Long 163 46.5550 ZAR
ORD CFD Long 500 46.1952 ZAR
ORD CFD Long 630 45.9716 ZAR
ORD CFD Long 1,516 3.6892 GBP
ORD CFD Long 8,278 3.6836 GBP
ORD CFD Long 9,120 3.5865 GBP
ORD CFD Long 9,446 3.6812 GBP
ORD CFD Long 18,110 46.2727 ZAR
ORD CFD Long 18,525 46.3259 ZAR
ORD CFD Long 24,041 3.6225 GBP
ORD CFD Long 35,663 46.1124 ZAR
ORD CFD Long 296,482 3.6177 GBP
ORD CFD Short 86 3.6802 GBP
ORD CFD Short 500 45.9600 ZAR
ORD CFD Short 1,516 3.6754 GBP
ORD CFD Short 1,781 3.6804 GBP
ORD CFD Short 3,186 46.5100 ZAR
ORD CFD Short 12,481 47.0288 ZAR
ORD CFD Short 15,441 3.6429 GBP
ORD CFD Short 16,492 46.1222 ZAR
ORD CFD Short 17,140 3.6080 GBP
ORD CFD Short 22,075 46.4458 ZAR
ORD CFD Short 27,429 3.6193 GBP
ORD CFD Short 60,698 3.6249 GBP
ORD CFD Short 73,122 46.0949 ZAR
ORD CFD Short 196,523 46.2163 ZAR

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(ii) Exercising

Class of relevant security   Product description

e.g. call option

  Number of securities   Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security   Nature of dealing

e.g. subscription, conversion

  Details   Price per unit (if 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 person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

If there are no such agreements, arrangements or understandings, state “none”

NONE

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the person 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

Is a Supplemental Form 8 (Open Positions) attached?  

YES

Date of disclosure:  

8 Nov 2011

Contact name:   Geoff Smith
Telephone number:   020 7116 2913

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.

143221.01

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 the person whose positions/dealings   Barclays PLC.
are being disclosed:  
Name of offeror/offeree in relation to whose INVESTEC PLC
relevant securities this from relates:  

2. OPTIONS AND DERIVATIVES

Class   Product   Writing,   Number   Exercise   Type   Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
      relates      
ORD Put Options Purchased 105,000 4,039.0000 American 15 Mar 2012
ORD Put Options Written -105,000 4,752.0000 American 15 Mar 2012
ORD Call Options Purchased 105,000 5,702.0000 American 15 Mar 2012
ORD Put Options Purchased 50,000 4,425.0000 American 15 Dec 2011
ORD Put Options Purchased 50,000 4,500.0000 American 15 Dec 2011

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.

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