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: 25 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: 48,140,237 8.87% 50,424,054 9.29%
           
(2) Derivatives (other than
options): 9,174,872 1.69% 3,968,930 0.73%
           
(3) Options and agreements to
purchase/sell: 310,000 0.06% 105,000 0.02%
           
(4) TOTAL:
57,625,109 10.61% 54,497,984 10.04%

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 1 43.4600 ZAR
ORD Purchase 53 3.2950 GBP
ORD Purchase 166 43.4900 ZAR
ORD Purchase 215 43.4700 ZAR
ORD Purchase 342 43.5800 ZAR
ORD Purchase 358 43.5900 ZAR
ORD Purchase 500 3.2970 GBP
ORD Purchase 700 43.3600 ZAR
ORD Purchase 799 43.4100 ZAR
ORD Purchase 799 43.5500 ZAR
ORD Purchase 800 43.2200 ZAR
ORD Purchase 826 43.4800 ZAR
ORD Purchase 833 43.6700 ZAR
ORD Purchase 918 43.3800 ZAR
ORD Purchase 967 43.4500 ZAR
ORD Purchase 1,015 43.6600 ZAR
ORD Purchase 1,083 43.3200 ZAR
ORD Purchase 1,118 43.2700 ZAR
ORD Purchase 1,141 43.5200 ZAR
ORD Purchase 1,228 43.4000 ZAR
ORD Purchase 1,242 3.3022 GBP
ORD Purchase 1,311 43.5100 ZAR
ORD Purchase 1,348 43.2100 ZAR
ORD Purchase 1,394 43.3900 ZAR
ORD Purchase 1,458 43.6900 ZAR
ORD Purchase 1,542 43.6800 ZAR
ORD Purchase 1,969 43.2500 ZAR
ORD Purchase 2,134 43.6000 ZAR
ORD Purchase 2,848 43.5700 ZAR
ORD Purchase 2,966 43.6300 ZAR
ORD Purchase 3,000 43.5600 ZAR
ORD Purchase 3,492 43.6400 ZAR
ORD Purchase 3,538 3.2847 GBP
ORD Purchase 3,617 43.2800 ZAR
ORD Purchase 4,283 43.3700 ZAR
ORD Purchase 4,413 43.3300 ZAR
ORD Purchase 4,501 43.2900 ZAR
ORD Purchase 4,812 3.2760 GBP
ORD Purchase 5,792 43.3000 ZAR
ORD Purchase 6,253 43.3100 ZAR
ORD Purchase 7,557 43.6200 ZAR
ORD Purchase 8,403 43.7000 ZAR
ORD Purchase 10,403 3.2870 GBP
ORD Purchase 11,729 43.3400 ZAR
ORD Purchase 12,166 43.6500 ZAR
ORD Purchase 12,778 43.3500 ZAR
ORD Purchase 13,775 3.3066 GBP
ORD Purchase 14,180 43.6100 ZAR
ORD Purchase 15,039 3.2782 GBP
ORD Purchase 29,103 3.2712 GBP
ORD Purchase 30,563 3.2766 GBP
ORD Purchase 31,210 3.2680 GBP
ORD Purchase 38,822 3.2925 GBP
ORD Purchase 89,209 3.2818 GBP
ORD Purchase 322,925 3.2751 GBP
ORD Sale 200 43.6900 ZAR
ORD Sale 300 43.6500 ZAR
ORD Sale 358 43.4300 ZAR
ORD Sale 379 43.2400 ZAR
ORD Sale 441 43.7200 ZAR
ORD Sale 676 3.3162 GBP
ORD Sale 940 43.5700 ZAR
ORD Sale 1,000 3.2590 GBP
ORD Sale 1,106 43.7500 ZAR
ORD Sale 1,227 43.5200 ZAR
ORD Sale 1,279 43.2600 ZAR
ORD Sale 1,711 43.2700 ZAR
ORD Sale 2,362 43.2100 ZAR
ORD Sale 2,460 3.2976 GBP
ORD Sale 2,671 3.3188 GBP
ORD Sale 2,747 43.3800 ZAR
ORD Sale 3,046 43.4000 ZAR
ORD Sale 3,400 3.2921 GBP
ORD Sale 3,440 3.3053 GBP
ORD Sale 3,782 43.2200 ZAR
ORD Sale 4,000 43.7400 ZAR
ORD Sale 4,055 43.4200 ZAR
ORD Sale 4,140 43.4500 ZAR
ORD Sale 4,700 43.3600 ZAR
ORD Sale 4,729 43.3900 ZAR
ORD Sale 5,016 43.2900 ZAR
ORD Sale 5,048 43.4100 ZAR
ORD Sale 5,618 43.3200 ZAR
ORD Sale 5,859 3.3205 GBP
ORD Sale 6,679 43.2300 ZAR
ORD Sale 6,770 43.2800 ZAR
ORD Sale 7,368 43.3500 ZAR
ORD Sale 7,597 3.3020 GBP
ORD Sale 8,247 43.3400 ZAR
ORD Sale 8,760 43.2000 ZAR
ORD Sale 10,390 3.2954 GBP
ORD Sale 10,694 43.3700 ZAR
ORD Sale 11,263 3.2713 GBP
ORD Sale 13,338 43.3100 ZAR
ORD Sale 24,658 43.3300 ZAR
ORD Sale 28,168 43.3000 ZAR
ORD Sale 28,487 3.2681 GBP
ORD Sale 31,081 3.3035 GBP
ORD Sale 39,284 3.3133 GBP
ORD Sale 40,057 43.2500 ZAR
ORD Sale 100,787 43.3531 ZAR
ORD Sale 128,397 3.2834 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 1,145 43.2521 ZAR
ORD CFD Long 4,506 3.2669 GBP
ORD CFD Long 27,004 3.3019 GBP
ORD CFD Long 34,079 3.2701 GBP
ORD CFD Long 34,120 3.2811 GBP
ORD CFD Long 100,787 43.3444 ZAR
ORD CFD Long 195,993 43.3031 ZAR
ORD CFD Short 83 43.3338 ZAR
ORD CFD Short 780 3.3136 GBP
ORD CFD Short 8,860 43.4102 ZAR
ORD CFD Short 9,688 3.2765 GBP
ORD CFD Short 15,039 3.2782 GBP
ORD CFD Short 22,342 43.5649 ZAR
ORD CFD Short 25,050 3.3180 GBP
ORD CFD Short 28,034 3.2643 GBP
ORD CFD Short 48,493 43.6313 ZAR
ORD CFD Short 301,442 3.2660 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:  

28 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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