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: 14 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: 49,518,253 9.12% 52,215,665 9.62%
           
(2) Derivatives (other than
options): 5,532,093 1.02% 2,108,842 0.39%
           
(3) Options and agreements to
purchase/sell: 310,000 0.06% 105,000 0.02%
           
(4) TOTAL:
55,360,346 10.20% 54,429,507 10.02%

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 42 43.1600 ZAR
ORD Purchase 90 44.2000 ZAR
ORD Purchase 161 43.2200 ZAR
ORD Purchase 200 3.4200 GBP
ORD Purchase 268 3.3038 GBP
ORD Purchase 470 43.7700 ZAR
ORD Purchase 500 43.2500 ZAR
ORD Purchase 500 43.8000 ZAR
ORD Purchase 500 43.8900 ZAR
ORD Purchase 500 43.9800 ZAR
ORD Purchase 504 43.5900 ZAR
ORD Purchase 700 44.0100 ZAR
ORD Purchase 712 3.4220 GBP
ORD Purchase 738 43.9700 ZAR
ORD Purchase 786 3.2986 GBP
ORD Purchase 826 3.3028 GBP
ORD Purchase 827 43.7600 ZAR
ORD Purchase 906 43.2600 ZAR
ORD Purchase 913 43.9100 ZAR
ORD Purchase 940 43.3700 ZAR
ORD Purchase 995 43.8400 ZAR
ORD Purchase 1,000 43.5000 ZAR
ORD Purchase 1,000 43.7400 ZAR
ORD Purchase 1,004 44.0000 ZAR
ORD Purchase 1,006 43.6900 ZAR
ORD Purchase 1,013 43.8700 ZAR
ORD Purchase 1,014 43.7000 ZAR
ORD Purchase 1,053 43.6400 ZAR
ORD Purchase 1,147 43.8100 ZAR
ORD Purchase 1,200 43.9500 ZAR
ORD Purchase 1,255 43.7500 ZAR
ORD Purchase 1,277 43.9200 ZAR
ORD Purchase 1,451 44.0200 ZAR
ORD Purchase 1,507 43.8500 ZAR
ORD Purchase 1,509 43.7200 ZAR
ORD Purchase 1,669 43.2700 ZAR
ORD Purchase 1,862 43.2100 ZAR
ORD Purchase 2,005 43.8600 ZAR
ORD Purchase 2,021 43.6500 ZAR
ORD Purchase 2,277 43.7800 ZAR
ORD Purchase 2,511 43.8300 ZAR
ORD Purchase 2,569 43.6200 ZAR
ORD Purchase 2,616 43.2900 ZAR
ORD Purchase 2,702 43.3300 ZAR
ORD Purchase 2,702 43.6100 ZAR
ORD Purchase 2,783 43.6300 ZAR
ORD Purchase 3,051 43.3800 ZAR
ORD Purchase 4,031 43.6800 ZAR
ORD Purchase 4,201 43.6700 ZAR
ORD Purchase 4,973 43.3100 ZAR
ORD Purchase 5,217 43.3500 ZAR
ORD Purchase 5,402 43.6000 ZAR
ORD Purchase 5,489 43.7100 ZAR
ORD Purchase 5,700 44.1800 ZAR
ORD Purchase 5,938 43.2300 ZAR
ORD Purchase 6,478 43.6600 ZAR
ORD Purchase 7,258 43.3000 ZAR
ORD Purchase 7,968 3.3872 GBP
ORD Purchase 7,994 43.3600 ZAR
ORD Purchase 9,123 3.3013 GBP
ORD Purchase 11,910 44.2200 ZAR
ORD Purchase 17,801 3.3607 GBP
ORD Purchase 31,223 3.3520 GBP
ORD Purchase 85,280 43.2400 ZAR
ORD Purchase 99,429 3.3690 GBP
ORD Purchase 105,876 TRANSFER
ORD Purchase 235,731 3.3671 GBP
ORD Purchase 600,840 3.3594 GBP
ORD Sale 1 44.6900 ZAR
ORD Sale 75 44.3000 ZAR
ORD Sale 101 44.1300 ZAR
ORD Sale 116 44.1500 ZAR
ORD Sale 229 3.2920 GBP
ORD Sale 406 44.0300 ZAR
ORD Sale 500 43.8900 ZAR
ORD Sale 503 43.6200 ZAR
ORD Sale 641 3.3470 GBP
ORD Sale 656 44.3300 ZAR
ORD Sale 755 43.9800 ZAR
ORD Sale 800 44.1100 ZAR
ORD Sale 1,000 43.9100 ZAR
ORD Sale 1,006 43.6900 ZAR
ORD Sale 1,033 44.1600 ZAR
ORD Sale 1,194 43.2700 ZAR
ORD Sale 1,212 43.7800 ZAR
ORD Sale 1,221 43.7200 ZAR
ORD Sale 1,240 44.0500 ZAR
ORD Sale 1,259 43.3400 ZAR
ORD Sale 1,326 43.9900 ZAR
ORD Sale 1,401 44.2900 ZAR
ORD Sale 1,500 43.1600 ZAR
ORD Sale 1,522 43.2500 ZAR
ORD Sale 1,528 43.4700 ZAR
ORD Sale 1,629 43.2200 ZAR
ORD Sale 1,644 43.6600 ZAR
ORD Sale 1,767 43.4800 ZAR
ORD Sale 1,777 43.9200 ZAR
ORD Sale 2,000 43.7600 ZAR
ORD Sale 2,060 44.3100 ZAR
ORD Sale 2,131 43.6400 ZAR
ORD Sale 2,511 43.8300 ZAR
ORD Sale 2,551 43.7700 ZAR
ORD Sale 2,557 43.3100 ZAR
ORD Sale 2,618 43.2100 ZAR
ORD Sale 2,782 43.2900 ZAR
ORD Sale 2,913 43.3200 ZAR
ORD Sale 2,991 44.0200 ZAR
ORD Sale 3,234 43.6700 ZAR
ORD Sale 3,372 43.5600 ZAR
ORD Sale 3,390 3.3751 GBP
ORD Sale 3,451 43.3500 ZAR
ORD Sale 3,489 43.6800 ZAR
ORD Sale 3,600 43.4000 ZAR
ORD Sale 3,708 3.3273 GBP
ORD Sale 3,731 43.4300 ZAR
ORD Sale 3,913 43.4400 ZAR
ORD Sale 4,000 43.4200 ZAR
ORD Sale 4,000 43.5900 ZAR
ORD Sale 4,000 43.7300 ZAR
ORD Sale 4,000 43.8200 ZAR
ORD Sale 4,337 43.3700 ZAR
ORD Sale 4,536 43.3600 ZAR
ORD Sale 4,740 44.0100 ZAR
ORD Sale 4,750 43.4500 ZAR
ORD Sale 6,056 43.8800 ZAR
ORD Sale 6,295 43.6100 ZAR
ORD Sale 6,420 43.4600 ZAR
ORD Sale 6,538 43.5500 ZAR
ORD Sale 6,542 43.7500 ZAR
ORD Sale 6,643 43.4900 ZAR
ORD Sale 6,812 43.2000 ZAR
ORD Sale 6,982 43.4100 ZAR
ORD Sale 7,017 43.8700 ZAR
ORD Sale 7,361 43.7100 ZAR
ORD Sale 7,550 43.2600 ZAR
ORD Sale 7,981 3.3852 GBP
ORD Sale 8,005 43.8600 ZAR
ORD Sale 8,033 43.9000 ZAR
ORD Sale 8,554 43.9600 ZAR
ORD Sale 8,943 43.6300 ZAR
ORD Sale 9,012 3.3838 GBP
ORD Sale 10,578 43.5200 ZAR
ORD Sale 11,265 43.2800 ZAR
ORD Sale 11,344 43.8000 ZAR
ORD Sale 11,502 43.8500 ZAR
ORD Sale 12,000 43.5000 ZAR
ORD Sale 12,174 43.5100 ZAR
ORD Sale 13,000 43.2300 ZAR
ORD Sale 13,207 43.6500 ZAR
ORD Sale 13,583 43.3800 ZAR
ORD Sale 15,075 43.3000 ZAR
ORD Sale 15,243 43.3900 ZAR
ORD Sale 15,604 43.3300 ZAR
ORD Sale 16,190 43.2400 ZAR
ORD Sale 17,613 43.7000 ZAR
ORD Sale 20,806 3.3620 GBP
ORD Sale 21,506 43.9700 ZAR
ORD Sale 24,042 43.9500 ZAR
ORD Sale 25,801 43.6000 ZAR
ORD Sale 30,825 3.3545 GBP
ORD Sale 33,376 44.0000 ZAR
ORD Sale 34,388 3.3340 GBP
ORD Sale 44,660 3.3476 GBP
ORD Sale 72,107 3.3424 GBP
ORD Sale 236,719 43.6278 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 6,259 3.3064 GBP
ORD CFD Long 14,161 3.3533 GBP
ORD CFD Long 15,508 3.3390 GBP
ORD CFD Long 18,917 43.6759 ZAR
ORD CFD Long 20,086 3.3592 GBP
ORD CFD Long 24,379 43.8402 ZAR
ORD CFD Long 236,719 43.6190 ZAR
ORD CFD Long 457,112 43.5987 ZAR
ORD CFD Short 6,188 3.3741 GBP
ORD CFD Short 10,896 3.4029 GBP
ORD CFD Short 11,910 43.6769 ZAR
ORD CFD Short 16,300 44.2218 ZAR
ORD CFD Short 27,909 3.3694 GBP
ORD CFD Short 48,473 3.3544 GBP
ORD CFD Short 61,520 43.6477 ZAR
ORD CFD Short 693,681 3.3703 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:  

15 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 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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