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 are being disclosed:   BARCLAYS PLC
(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 whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

INVESTEC PLC

(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:  

24 November 2011

(f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer?  

YES:

EVOLUTION GROUP PLC

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: 47,847,574 8.82% 50,266,313 9.27%
           
(2) Derivatives (other than
options): 8,715,101 1.61% 3,669,442 0.68%
           
(3) Options and agreements to
purchase/sell: 310,000 0.06% 105,000 0.02%
           
(4) TOTAL:
56,872,675 10.48% 54,040,755 9.96%

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 48 43.1500 ZAR
ORD Purchase 292 43.1200 ZAR
ORD Purchase 358 43.4600 ZAR
ORD Purchase 400 43.2900 ZAR
ORD Purchase 425 43.0100 ZAR
ORD Purchase 525 43.5900 ZAR
ORD Purchase 800 43.5800 ZAR
ORD Purchase 1,000 3.2905 GBP
ORD Purchase 1,000 43.2800 ZAR
ORD Purchase 1,013 3.3161 GBP
ORD Purchase 1,127 43.4300 ZAR
ORD Purchase 1,499 43.7200 ZAR
ORD Purchase 1,523 43.4700 ZAR
ORD Purchase 1,582 43.7800 ZAR
ORD Purchase 1,610 43.2000 ZAR
ORD Purchase 1,716 43.6300 ZAR
ORD Purchase 1,989 43.6700 ZAR
ORD Purchase 2,106 43.5100 ZAR
ORD Purchase 2,200 3.2869 GBP
ORD Purchase 2,464 43.6600 ZAR
ORD Purchase 2,469 43.7100 ZAR
ORD Purchase 2,521 43.5700 ZAR
ORD Purchase 2,524 43.6400 ZAR
ORD Purchase 2,756 3.3172 GBP
ORD Purchase 2,859 43.7600 ZAR
ORD Purchase 2,933 42.9800 ZAR
ORD Purchase 3,000 43.3000 ZAR
ORD Purchase 3,298 43.0700 ZAR
ORD Purchase 3,330 43.5200 ZAR
ORD Purchase 3,534 43.4400 ZAR
ORD Purchase 3,581 43.4900 ZAR
ORD Purchase 3,980 43.5400 ZAR
ORD Purchase 4,173 43.6100 ZAR
ORD Purchase 4,222 43.7400 ZAR
ORD Purchase 4,280 43.1000 ZAR
ORD Purchase 4,390 43.1900 ZAR
ORD Purchase 4,419 43.7000 ZAR
ORD Purchase 5,387 43.5000 ZAR
ORD Purchase 7,206 43.5300 ZAR
ORD Purchase 7,247 43.5600 ZAR
ORD Purchase 7,881 43.6500 ZAR
ORD Purchase 8,784 43.6900 ZAR
ORD Purchase 8,984 3.3139 GBP
ORD Purchase 9,911 43.5500 ZAR
ORD Purchase 9,954 42.9900 ZAR
ORD Purchase 10,545 3.2762 GBP
ORD Purchase 13,991 43.6800 ZAR
ORD Purchase 16,899 43.6000 ZAR
ORD Purchase 17,926 3.2939 GBP
ORD Purchase 20,668 3.3164 GBP
ORD Purchase 22,568 43.0000 ZAR
ORD Purchase 29,196 3.2849 GBP
ORD Purchase 55,727 3.2927 GBP
ORD Purchase 191,659 3.2972 GBP
ORD Purchase 721,953 3.2919 GBP
ORD Sale 25 43.2400 ZAR
ORD Sale 298 43.5300 ZAR
ORD Sale 300 43.7000 ZAR
ORD Sale 477 43.7400 ZAR
ORD Sale 500 43.2300 ZAR
ORD Sale 604 43.6900 ZAR
ORD Sale 700 43.3500 ZAR
ORD Sale 729 43.2200 ZAR
ORD Sale 900 43.0200 ZAR
ORD Sale 930 43.3400 ZAR
ORD Sale 965 43.3200 ZAR
ORD Sale 1,000 42.9000 ZAR
ORD Sale 1,000 42.9700 ZAR
ORD Sale 1,021 3.3068 GBP
ORD Sale 1,100 43.6200 ZAR
ORD Sale 1,122 43.2700 ZAR
ORD Sale 1,188 43.5100 ZAR
ORD Sale 1,317 43.0800 ZAR
ORD Sale 1,324 42.9400 ZAR
ORD Sale 1,406 42.9100 ZAR
ORD Sale 1,565 43.3900 ZAR
ORD Sale 1,635 43.5600 ZAR
ORD Sale 1,809 43.0900 ZAR
ORD Sale 2,106 42.9500 ZAR
ORD Sale 2,353 43.1700 ZAR
ORD Sale 2,464 43.6400 ZAR
ORD Sale 2,791 42.9600 ZAR
ORD Sale 2,859 43.7600 ZAR
ORD Sale 3,010 43.6100 ZAR
ORD Sale 3,050 43.2000 ZAR
ORD Sale 3,133 43.2100 ZAR
ORD Sale 3,330 43.2800 ZAR
ORD Sale 3,466 43.4300 ZAR
ORD Sale 3,553 43.4100 ZAR
ORD Sale 3,900 3.3119 GBP
ORD Sale 3,909 3.2496 GBP
ORD Sale 4,000 42.9800 ZAR
ORD Sale 4,000 43.2600 ZAR
ORD Sale 4,000 43.3800 ZAR
ORD Sale 4,000 43.7700 ZAR
ORD Sale 4,100 43.7200 ZAR
ORD Sale 4,122 3.2848 GBP
ORD Sale 4,484 43.7100 ZAR
ORD Sale 4,571 43.3000 ZAR
ORD Sale 5,001 43.5500 ZAR
ORD Sale 5,170 43.6500 ZAR
ORD Sale 5,206 43.7500 ZAR
ORD Sale 5,303 43.3600 ZAR
ORD Sale 5,653 43.6300 ZAR
ORD Sale 5,657 3.3062 GBP
ORD Sale 6,134 3.3020 GBP
ORD Sale 6,295 3.3218 GBP
ORD Sale 6,500 42.9900 ZAR
ORD Sale 7,211 43.6700 ZAR
ORD Sale 7,221 43.6800 ZAR
ORD Sale 7,485 43.4400 ZAR
ORD Sale 7,524 43.0400 ZAR
ORD Sale 8,054 43.2900 ZAR
ORD Sale 9,289 43.5400 ZAR
ORD Sale 9,536 43.4000 ZAR
ORD Sale 9,713 43.5200 ZAR
ORD Sale 10,140 43.5800 ZAR
ORD Sale 10,688 43.4500 ZAR
ORD Sale 10,841 3.3072 GBP
ORD Sale 11,462 43.4900 ZAR
ORD Sale 11,680 43.0700 ZAR
ORD Sale 11,771 43.5700 ZAR
ORD Sale 12,905 3.3063 GBP
ORD Sale 14,256 43.6600 ZAR
ORD Sale 14,309 43.4800 ZAR
ORD Sale 15,140 43.5900 ZAR
ORD Sale 16,317 43.4700 ZAR
ORD Sale 17,427 43.0300 ZAR
ORD Sale 17,694 43.4200 ZAR
ORD Sale 25,800 3.3156 GBP
ORD Sale 26,174 43.4600 ZAR
ORD Sale 28,521 43.0500 ZAR
ORD Sale 31,485 43.7800 ZAR
ORD Sale 48,328 43.5000 ZAR
ORD Sale 48,494 43.0000 ZAR
ORD Sale 49,650 3.2906 GBP
ORD Sale 59,609 3.2955 GBP
ORD Sale 86,567 3.3008 GBP
ORD Sale 135,400 43.6000 ZAR
ORD Sale 259,165 43.4698 ZAR

(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 2,353 43.1561 ZAR
ORD CFD Long 7,463 43.7659 ZAR
ORD CFD Long 13,938 43.7624 ZAR
ORD CFD Long 14,043 3.3325 GBP
ORD CFD Long 24,720 3.2856 GBP
ORD CFD Long 35,150 3.2811 GBP
ORD CFD Long 81,388 43.0838 ZAR
ORD CFD Long 259,165 43.4611 ZAR
ORD CFD Long 536,142 43.4587 ZAR
ORD CFD Short 2,351 43.4869 ZAR
ORD CFD Short 3,244 43.2791 ZAR
ORD CFD Short 5,896 43.5080 ZAR
ORD CFD Short 6,889 43.5667 ZAR
ORD CFD Short 17,772 3.2704 GBP
ORD CFD Short 50,041 3.3242 GBP
ORD CFD Short 56,820 43.1609 ZAR
ORD CFD Short 66,642 3.2860 GBP
ORD CFD Short 103,931 43.6125 ZAR
ORD CFD Short 803,989 3.2910 GBP

(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: 25 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.

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 being disclosed:  

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

INVESTEC PLC

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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