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:  

9 Dec 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: 49,195,255 9.06% 51,663,373 9.51%
           
(2) Derivatives (other than
options): 7,425,845 1.37% 2,896,509 0.53%
           
(3) Options and agreements to
purchase/sell: 310,000 0.06% 105,000 0.02%
           
(4) TOTAL:
56,931,100 10.48% 54,664,882 10.07%

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 10 45.5900 ZAR
ORD Purchase 14 45.0100 ZAR
ORD Purchase 19 45.4700 ZAR
ORD Purchase 20 45.3200 ZAR
ORD Purchase 30 45.5500 ZAR
ORD Purchase 41 45.5100 ZAR
ORD Purchase 49 45.3100 ZAR
ORD Purchase 63 44.9100 ZAR
ORD Purchase 95 45.1800 ZAR
ORD Purchase 100 3.5490 GBP
ORD Purchase 100 45.2000 ZAR
ORD Purchase 207 45.0200 ZAR
ORD Purchase 304 45.3900 ZAR
ORD Purchase 327 3.4854 GBP
ORD Purchase 445 45.3600 ZAR
ORD Purchase 504 44.9700 ZAR
ORD Purchase 560 45.2400 ZAR
ORD Purchase 600 45.1600 ZAR
ORD Purchase 631 45.5300 ZAR
ORD Purchase 659 44.7100 ZAR
ORD Purchase 826 45.2600 ZAR
ORD Purchase 1,000 44.8300 ZAR
ORD Purchase 1,000 44.8900 ZAR
ORD Purchase 1,071 45.0500 ZAR
ORD Purchase 1,354 44.9000 ZAR
ORD Purchase 1,387 45.1000 ZAR
ORD Purchase 1,404 45.1500 ZAR
ORD Purchase 1,489 45.0000 ZAR
ORD Purchase 1,596 45.3700 ZAR
ORD Purchase 1,599 45.3500 ZAR
ORD Purchase 1,606 45.1900 ZAR
ORD Purchase 1,700 44.8700 ZAR
ORD Purchase 1,952 45.1100 ZAR
ORD Purchase 2,088 45.4100 ZAR
ORD Purchase 2,138 45.3300 ZAR
ORD Purchase 2,265 45.3800 ZAR
ORD Purchase 2,654 45.4000 ZAR
ORD Purchase 3,235 44.9300 ZAR
ORD Purchase 3,259 45.3000 ZAR
ORD Purchase 3,569 45.2100 ZAR
ORD Purchase 3,573 3.5120 GBP
ORD Purchase 4,000 45.2200 ZAR
ORD Purchase 4,000 45.5700 ZAR
ORD Purchase 4,011 45.2800 ZAR
ORD Purchase 4,062 45.1700 ZAR
ORD Purchase 4,129 45.3400 ZAR
ORD Purchase 4,199 3.5282 GBP
ORD Purchase 4,600 3.5033 GBP
ORD Purchase 4,993 45.5000 ZAR
ORD Purchase 5,981 45.2700 ZAR
ORD Purchase 6,390 45.2500 ZAR
ORD Purchase 7,460 3.4986 GBP
ORD Purchase 7,583 45.4400 ZAR
ORD Purchase 7,766 44.7300 ZAR
ORD Purchase 9,000 44.8600 ZAR
ORD Purchase 10,795 45.4500 ZAR
ORD Purchase 14,929 3.5266 GBP
ORD Purchase 15,759 3.4937 GBP
ORD Purchase 17,674 3.5037 GBP
ORD Purchase 20,229 3.5473 GBP
ORD Purchase 76,208 3.5280 GBP
ORD Purchase 199,944 3.5230 GBP
ORD Sale 14 45.4300 ZAR
ORD Sale 33 3.5610 GBP
ORD Sale 39 45.2000 ZAR
ORD Sale 44 45.2600 ZAR
ORD Sale 200 45.0300 ZAR
ORD Sale 504 44.9700 ZAR
ORD Sale 504 45.3600 ZAR
ORD Sale 564 45.3700 ZAR
ORD Sale 600 45.2900 ZAR
ORD Sale 625 3.5562 GBP
ORD Sale 1,001 45.1600 ZAR
ORD Sale 1,166 45.2300 ZAR
ORD Sale 1,240 45.1200 ZAR
ORD Sale 1,323 45.3000 ZAR
ORD Sale 1,332 3.5589 GBP
ORD Sale 1,435 45.2500 ZAR
ORD Sale 1,509 45.0700 ZAR
ORD Sale 1,600 45.4500 ZAR
ORD Sale 1,640 44.9900 ZAR
ORD Sale 1,731 45.5500 ZAR
ORD Sale 1,831 45.1300 ZAR
ORD Sale 2,000 45.2100 ZAR
ORD Sale 2,066 45.2800 ZAR
ORD Sale 2,300 45.3500 ZAR
ORD Sale 2,401 3.5591 GBP
ORD Sale 2,500 44.9800 ZAR
ORD Sale 2,522 45.0200 ZAR
ORD Sale 2,652 45.1100 ZAR
ORD Sale 2,800 3.5614 GBP
ORD Sale 3,141 45.1700 ZAR
ORD Sale 3,236 45.5000 ZAR
ORD Sale 3,741 45.1800 ZAR
ORD Sale 3,827 45.4900 ZAR
ORD Sale 4,000 45.4000 ZAR
ORD Sale 4,020 45.1000 ZAR
ORD Sale 4,135 44.9000 ZAR
ORD Sale 4,145 44.9300 ZAR
ORD Sale 4,507 45.4200 ZAR
ORD Sale 4,846 45.0800 ZAR
ORD Sale 4,885 45.3100 ZAR
ORD Sale 5,207 45.2200 ZAR
ORD Sale 5,492 45.1500 ZAR
ORD Sale 5,756 45.1900 ZAR
ORD Sale 6,029 44.9600 ZAR
ORD Sale 6,335 45.0000 ZAR
ORD Sale 6,502 3.5581 GBP
ORD Sale 6,510 45.0100 ZAR
ORD Sale 6,574 3.5603 GBP
ORD Sale 7,170 45.0400 ZAR
ORD Sale 8,161 44.9500 ZAR
ORD Sale 8,320 3.5074 GBP
ORD Sale 10,200 3.5587 GBP
ORD Sale 14,556 3.5039 GBP
ORD Sale 14,672 3.5314 GBP
ORD Sale 22,333 3.5596 GBP
ORD Sale 24,644 44.9816 ZAR
ORD Sale 31,209 3.5590 GBP
ORD Sale 69,163 3.5187 GBP
ORD Sale 136,515 3.5154 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 6,401 3.5289 GBP
ORD CFD Long 11,298 45.3129 ZAR
ORD CFD Long 24,644 44.9726 ZAR
ORD CFD Long 26,788 3.4983 GBP
ORD CFD Long 35,571 45.1275 ZAR
ORD CFD Long 72,159 45.0890 ZAR
ORD CFD Long 92,199 3.5050 GBP
ORD CFD Short 4,997 3.5300 GBP
ORD CFD Short 6,807 45.0315 ZAR
ORD CFD Short 10,367 3.5017 GBP
ORD CFD Short 31,679 3.5026 GBP
ORD CFD Short 40,808 45.1874 ZAR
ORD CFD Short 52,129 3.5217 GBP
ORD CFD Short 56,420 45.2473 ZAR
ORD CFD Short 120,445 3.5202 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:  

12 Dec 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 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

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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