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: 13 December 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: 48,711,935 8.97% 51,757,732 9.53%
           
(2) Derivatives (other than
options): 4,286,547 0.79% 1,419,844 0.26%
           
(3) Options and agreements to
purchase/sell: 310,000 0.06% 105,000 0.02%
           
(4) TOTAL:
53,308,482 9.82% 53,282,576 9.81%

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 4 44.5400 ZAR
ORD Purchase 8 44.4600 ZAR
ORD Purchase 25 44.0700 ZAR
ORD Purchase 100 44.3800 ZAR
ORD Purchase 100 44.6200 ZAR
ORD Purchase 200 44.6300 ZAR
ORD Purchase 400 44.5300 ZAR
ORD Purchase 578 44.2900 ZAR
ORD Purchase 702 44.5700 ZAR
ORD Purchase 873 44.2500 ZAR
ORD Purchase 900 44.0500 ZAR
ORD Purchase 904 44.1900 ZAR
ORD Purchase 1,004 44.3000 ZAR
ORD Purchase 1,100 44.2000 ZAR
ORD Purchase 1,480 44.3200 ZAR
ORD Purchase 1,620 44.5600 ZAR
ORD Purchase 1,798 44.5800 ZAR
ORD Purchase 1,807 44.3300 ZAR
ORD Purchase 2,434 44.3400 ZAR
ORD Purchase 2,654 44.2300 ZAR
ORD Purchase 2,915 44.4200 ZAR
ORD Purchase 3,000 44.5900 ZAR
ORD Purchase 3,100 44.2700 ZAR
ORD Purchase 3,606 44.5200 ZAR
ORD Purchase 4,295 44.3600 ZAR
ORD Purchase 4,600 44.5500 ZAR
ORD Purchase 4,907 3.4497 GBP
ORD Purchase 5,065 44.3900 ZAR
ORD Purchase 5,549 44.4100 ZAR
ORD Purchase 5,785 44.4700 ZAR
ORD Purchase 5,817 44.3500 ZAR
ORD Purchase 5,872 44.4900 ZAR
ORD Purchase 6,000 44.4400 ZAR
ORD Purchase 6,987 44.4800 ZAR
ORD Purchase 7,394 44.4000 ZAR
ORD Purchase 7,530 44.3100 ZAR
ORD Purchase 8,039 44.3700 ZAR
ORD Purchase 8,895 3.4406 GBP
ORD Purchase 10,719 3.4585 GBP
ORD Purchase 12,162 3.4559 GBP
ORD Purchase 13,186 44.4500 ZAR
ORD Purchase 15,801 44.3171 ZAR
ORD Purchase 16,292 3.4560 GBP
ORD Purchase 27,466 3.4543 GBP
ORD Purchase 33,092 3.4484 GBP
ORD Purchase 51,586 3.4524 GBP
ORD Purchase 60,285 3.4511 GBP
ORD Purchase 149,148 44.2200 ZAR
ORD Purchase 168,901 3.4508 GBP
ORD Purchase 1,811,386 44.5000 ZAR
ORD Sale 29 44.4000 ZAR
ORD Sale 90 3.4200 GBP
ORD Sale 100 44.5700 ZAR
ORD Sale 185 44.2500 ZAR
ORD Sale 300 44.4500 ZAR
ORD Sale 388 44.6000 ZAR
ORD Sale 567 44.3400 ZAR
ORD Sale 617 44.2000 ZAR
ORD Sale 705 44.1700 ZAR
ORD Sale 800 44.3200 ZAR
ORD Sale 1,100 44.2600 ZAR
ORD Sale 1,191 44.4600 ZAR
ORD Sale 1,250 44.1500 ZAR
ORD Sale 1,300 44.5300 ZAR
ORD Sale 1,300 44.5400 ZAR
ORD Sale 1,321 44.4200 ZAR
ORD Sale 1,346 44.3300 ZAR
ORD Sale 1,400 3.4575 GBP
ORD Sale 1,485 44.3500 ZAR
ORD Sale 1,569 44.2700 ZAR
ORD Sale 2,000 44.3800 ZAR
ORD Sale 2,271 44.3000 ZAR
ORD Sale 3,367 44.4300 ZAR
ORD Sale 7,551 44.2200 ZAR
ORD Sale 8,826 44.5100 ZAR
ORD Sale 10,098 3.4498 GBP
ORD Sale 11,884 3.4321 GBP
ORD Sale 15,278 3.4571 GBP
ORD Sale 23,571 3.4541 GBP
ORD Sale 60,873 3.4549 GBP
ORD Sale 62,420 3.4430 GBP
ORD Sale 141,190 3.4514 GBP
ORD Sale 1,806,006 44.5000 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 29 44.3858 ZAR
ORD CFD Long 100 44.5522 ZAR
ORD CFD Long 388 44.5821 ZAR
ORD CFD Long 3,663 3.4380 GBP
ORD CFD Long 5,887 44.3176 ZAR
ORD CFD Long 7,485 3.4485 GBP
ORD CFD Long 15,213 3.4441 GBP
ORD CFD Long 30,844 44.4214 ZAR
ORD CFD Long 33,977 3.4541 GBP
ORD CFD Long 63,747 3.4553 GBP
ORD CFD Long 1,800,000 3.4583 GBP
ORD CFD Short 4,449 3.4498 GBP
ORD CFD Short 6,076 3.4544 GBP
ORD CFD Short 11,807 44.2376 ZAR
ORD CFD Short 13,512 3.4449 GBP
ORD CFD Short 15,493 44.3298 ZAR
ORD CFD Short 15,801 44.3258 ZAR
ORD CFD Short 31,924 44.3996 ZAR
ORD CFD Short 46,039 3.4435 GBP
ORD CFD Short 69,541 44.4468 ZAR
ORD CFD Short 75,644 3.4624 GBP
ORD CFD Short 1,800,000 44.5044 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:  

14 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.

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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