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: 15 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: 49,670,753 9.15% 52,568,830 9.68%
           
(2) Derivatives (other than
options): 5,162,819 0.95% 2,721,109 0.50%
           
(3) Options and agreements to
purchase/sell: 210,000 0.04% 105,000 0.02%
           
(4) TOTAL:
55,043,572 10.14% 55,394,939 10.20%

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 41 42.8300 ZAR
ORD Purchase 55 3.3400 GBP
ORD Purchase 221 3.2874 GBP
ORD Purchase 261 42.8800 ZAR
ORD Purchase 306 42.8400 ZAR
ORD Purchase 488 43.1300 ZAR
ORD Purchase 579 42.9100 ZAR
ORD Purchase 961 42.7900 ZAR
ORD Purchase 999 3.3130 GBP
ORD Purchase 1,021 42.7700 ZAR
ORD Purchase 1,100 42.9000 ZAR
ORD Purchase 1,300 42.7000 ZAR
ORD Purchase 1,333 43.0400 ZAR
ORD Purchase 1,335 42.6500 ZAR
ORD Purchase 1,374 42.6900 ZAR
ORD Purchase 1,900 42.9500 ZAR
ORD Purchase 1,914 42.8600 ZAR
ORD Purchase 2,159 43.0700 ZAR
ORD Purchase 2,173 42.6100 ZAR
ORD Purchase 2,429 42.7100 ZAR
ORD Purchase 2,699 3.3055 GBP
ORD Purchase 2,700 3.2900 GBP
ORD Purchase 2,766 42.7800 ZAR
ORD Purchase 3,205 3.3063 GBP
ORD Purchase 3,777 42.8200 ZAR
ORD Purchase 3,849 42.9600 ZAR
ORD Purchase 3,986 42.8700 ZAR
ORD Purchase 4,000 42.8100 ZAR
ORD Purchase 4,088 43.0800 ZAR
ORD Purchase 4,600 42.9300 ZAR
ORD Purchase 5,200 43.0600 ZAR
ORD Purchase 5,240 42.7500 ZAR
ORD Purchase 5,484 42.8000 ZAR
ORD Purchase 5,733 43.0500 ZAR
ORD Purchase 6,888 42.7600 ZAR
ORD Purchase 7,805 43.0100 ZAR
ORD Purchase 8,566 43.0200 ZAR
ORD Purchase 9,577 3.3045 GBP
ORD Purchase 9,604 42.8900 ZAR
ORD Purchase 10,400 43.0900 ZAR
ORD Purchase 15,231 43.0300 ZAR
ORD Purchase 15,470 42.9900 ZAR
ORD Purchase 28,420 43.7000 ZAR
ORD Purchase 30,282 3.3050 GBP
ORD Purchase 33,979 3.3084 GBP
ORD Purchase 45,543 3.3160 GBP
ORD Purchase 69,792 43.0000 ZAR
ORD Purchase 87,847 3.3103 GBP
ORD Purchase 162,265 3.3114 GBP
ORD Purchase 342,117 3.3121 GBP
ORD Purchase 500,000 43.2400 ZAR
ORD Sale 14 3.2800 GBP
ORD Sale 41 43.3400 ZAR
ORD Sale 300 3.2980 GBP
ORD Sale 390 42.9900 ZAR
ORD Sale 650 3.3380 GBP
ORD Sale 660 43.0300 ZAR
ORD Sale 900 43.3900 ZAR
ORD Sale 999 3.3130 GBP
ORD Sale 1,055 42.7800 ZAR
ORD Sale 1,190 42.7900 ZAR
ORD Sale 1,191 43.0500 ZAR
ORD Sale 1,719 43.3300 ZAR
ORD Sale 2,110 42.8200 ZAR
ORD Sale 2,553 3.3588 GBP
ORD Sale 2,714 3.3491 GBP
ORD Sale 3,400 3.3595 GBP
ORD Sale 3,646 43.3200 ZAR
ORD Sale 4,081 42.8300 ZAR
ORD Sale 4,264 42.7600 ZAR
ORD Sale 4,778 42.9600 ZAR
ORD Sale 4,830 42.9700 ZAR
ORD Sale 5,000 43.2200 ZAR
ORD Sale 5,067 43.1500 ZAR
ORD Sale 5,145 42.8500 ZAR
ORD Sale 5,440 43.0700 ZAR
ORD Sale 5,675 43.2700 ZAR
ORD Sale 5,771 3.3508 GBP
ORD Sale 6,055 43.1900 ZAR
ORD Sale 6,114 43.2000 ZAR
ORD Sale 7,165 43.0600 ZAR
ORD Sale 7,177 43.2300 ZAR
ORD Sale 7,283 3.3054 GBP
ORD Sale 8,093 42.9800 ZAR
ORD Sale 8,712 3.3142 GBP
ORD Sale 8,839 43.1400 ZAR
ORD Sale 8,872 42.8600 ZAR
ORD Sale 9,153 42.7500 ZAR
ORD Sale 9,517 43.1100 ZAR
ORD Sale 9,539 43.0900 ZAR
ORD Sale 9,917 43.1700 ZAR
ORD Sale 9,979 43.0800 ZAR
ORD Sale 10,102 43.1200 ZAR
ORD Sale 10,370 43.2600 ZAR
ORD Sale 10,635 42.8400 ZAR
ORD Sale 10,788 43.0400 ZAR
ORD Sale 10,805 42.8900 ZAR
ORD Sale 13,369 43.1000 ZAR
ORD Sale 13,752 42.9300 ZAR
ORD Sale 14,193 42.8700 ZAR
ORD Sale 15,028 42.9200 ZAR
ORD Sale 15,124 43.1600 ZAR
ORD Sale 15,963 42.9500 ZAR
ORD Sale 16,891 42.9100 ZAR
ORD Sale 17,834 43.2100 ZAR
ORD Sale 18,898 42.8800 ZAR
ORD Sale 19,669 42.9000 ZAR
ORD Sale 20,874 42.9400 ZAR
ORD Sale 25,779 43.1300 ZAR
ORD Sale 26,254 43.1800 ZAR
ORD Sale 29,419 3.3480 GBP
ORD Sale 34,665 3.3281 GBP
ORD Sale 38,681 43.2500 ZAR
ORD Sale 60,312 43.0527 ZAR
ORD Sale 62,192 3.3132 GBP
ORD Sale 100,069 43.0000 ZAR
ORD Sale 134,155 43.7000 ZAR
ORD Sale 223,239 3.3127 GBP
ORD Sale 504,669 43.2400 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 4,602 3.3273 GBP
ORD CFD Long 8,979 3.3628 GBP
ORD CFD Long 16,315 43.2938 ZAR
ORD CFD Long 20,931 3.3439 GBP
ORD CFD Long 22,000 43.6364 ZAR
ORD CFD Long 42,719 3.3031 GBP
ORD CFD Long 60,312 43.0440 ZAR
ORD CFD Long 107,107 43.6860 ZAR
ORD CFD Long 117,621 43.1846 ZAR
ORD CFD Long 147,116 3.3054 GBP
ORD CFD Long 189,481 43.0056 ZAR
ORD CFD Long 500,000 3.3304 GBP
ORD CFD Short 100 43.1473 ZAR
ORD CFD Short 2,310 3.3588 GBP
ORD CFD Short 2,547 43.0963 ZAR
ORD CFD Short 10,182 42.8678 ZAR
ORD CFD Short 33,113 42.9804 ZAR
ORD CFD Short 37,450 3.2951 GBP
ORD CFD Short 44,248 3.3040 GBP
ORD CFD Short 54,335 3.3171 GBP
ORD CFD Short 106,009 42.9634 ZAR
ORD CFD Short 122,223 3.3282 GBP
ORD CFD Short 303,889 3.3032 GBP
ORD CFD Short 500,000 43.2443 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:  

16 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

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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