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: 5 September 2011
(f) Has the discloser previously disclosed, or are YES:
they today disclosing, under the Code in respect CANACCORD FINANCIAL INC
of any other party to this offer? CANACCORD FINL INC
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: 39,884,993 7.35% 42,008,257 7.74%
           
(2) Derivatives (other than
options): 3,820,265 0.70% 3,457,115 0.64%
           
(3) Options and agreements to
purchase/sell: 1,072,000 0.20% 0 0.00%
           
(4) TOTAL:
44,777,258 8.26% 45,465,372 8.38%

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   255   48.1900 ZAR
ORD   Purchase   280   47.8900 ZAR
ORD   Purchase   308   47.9000 ZAR
ORD   Purchase   546   48.0700 ZAR
ORD   Purchase   600   48.4200 ZAR
ORD   Purchase   676   48.0800 ZAR
ORD   Purchase   730   48.0500 ZAR
ORD   Purchase   800   48.2000 ZAR
ORD   Purchase   827   48.4600 ZAR
ORD   Purchase   1,264   48.0400 ZAR
ORD   Purchase   1,383   48.4300 ZAR
ORD   Purchase   1,431   48.3700 ZAR
ORD   Purchase   1,545   48.1800 ZAR
ORD   Purchase   1,700   47.9700 ZAR
ORD   Purchase   1,700   48.0000 ZAR
ORD   Purchase   1,800   47.9500 ZAR
ORD   Purchase   1,833   48.0100 ZAR
ORD   Purchase   3,613   48.0200 ZAR
ORD   Purchase   4,000   48.5200 ZAR
ORD   Purchase   4,008   48.4000 ZAR
ORD   Purchase   6,859   48.1400 ZAR
ORD   Purchase   11,060   4.1997 GBP
ORD   Purchase   16,839   4.1952 GBP
ORD   Purchase   17,917   48.5000 ZAR
ORD   Purchase   40,430   4.2006 GBP
ORD   Purchase   126,167   4.2004 GBP
ORD   Purchase   428,915   4.2013 GBP
ORD   Purchase   895,000   48.8300 ZAR
ORD   Sale   127   47.9200 ZAR
ORD   Sale   205   48.3200 ZAR
ORD   Sale   224   48.4100 ZAR
ORD   Sale   240   48.3600 ZAR
ORD   Sale   283   47.8900 ZAR
ORD   Sale   370   48.5500 ZAR
ORD   Sale   469   48.6000 ZAR
ORD   Sale   506   47.8700 ZAR
ORD   Sale   800   48.5900 ZAR
ORD   Sale   826   47.9000 ZAR
ORD   Sale   861   48.4600 ZAR
ORD   Sale   1,000   48.3700 ZAR
ORD   Sale   1,137   48.2800 ZAR
ORD   Sale   1,267   48.2700 ZAR
ORD   Sale   1,280   48.4800 ZAR
ORD   Sale   1,285   47.9100 ZAR
ORD   Sale   1,383   48.4300 ZAR
ORD   Sale   1,516   48.2400 ZAR
ORD   Sale   1,785   48.1700 ZAR
ORD   Sale   1,806   48.5000 ZAR
ORD   Sale   2,312   47.9700 ZAR
ORD   Sale   2,366   48.4400 ZAR
ORD   Sale   3,052   4.2007 GBP
ORD   Sale   3,563   47.9600 ZAR
ORD   Sale   3,622   48.2900 ZAR
ORD   Sale   3,828   48.2200 ZAR
ORD   Sale   4,112   48.3500 ZAR
ORD   Sale   4,400   48.4900 ZAR
ORD   Sale   4,546   48.0700 ZAR
ORD   Sale   4,700   48.1200 ZAR
ORD   Sale   4,900   48.5100 ZAR
ORD   Sale   5,107   48.0100 ZAR
ORD   Sale   5,110   48.2100 ZAR
ORD   Sale   5,344   48.2500 ZAR
ORD   Sale   6,079   48.4000 ZAR
ORD   Sale   6,086   48.3300 ZAR
ORD   Sale   6,200   48.1300 ZAR
ORD   Sale   6,517   48.3100 ZAR
ORD   Sale   6,771   48.4200 ZAR
ORD   Sale   6,908   48.0600 ZAR
ORD   Sale   7,355   48.1900 ZAR
ORD   Sale   7,463   48.0500 ZAR
ORD   Sale   7,500   48.1400 ZAR
ORD   Sale   7,602   48.0200 ZAR
ORD   Sale   8,000   48.0900 ZAR
ORD   Sale   9,005   48.4500 ZAR
ORD   Sale   9,557   48.0800 ZAR
ORD   Sale   9,892   48.3400 ZAR
ORD   Sale   10,436   47.9500 ZAR
ORD   Sale   11,444   48.0400 ZAR
ORD   Sale   11,915   4.2094 GBP
ORD   Sale   12,349   48.1800 ZAR
ORD   Sale   14,378   48.1000 ZAR
ORD   Sale   15,910   48.1100 ZAR
ORD   Sale   15,916   4.2069 GBP
ORD   Sale   17,000   48.2300 ZAR
ORD   Sale   19,627   48.1500 ZAR
ORD   Sale   20,201   48.0000 ZAR
ORD   Sale   44,933   4.2090 GBP
ORD   Sale   46,571   48.3000 ZAR
ORD   Sale   52,204   48.2000 ZAR
ORD   Sale   191,206   4.2000 GBP
ORD   Sale   206,759   48.1552 ZAR
ORD   Sale   895,000   48.8300 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 370 48.5344 ZAR
ORD CFD Long 1,733 48.1968 ZAR
ORD CFD Long 4,326 4.2041 GBP
ORD CFD Long 10,742 4.1954 GBP
ORD CFD Long 17,798 48.1105 ZAR
ORD CFD Long 19,936 48.3135 ZAR
ORD CFD Long 44,872 4.1867 GBP
ORD CFD Long 50,373 4.2010 GBP
ORD CFD Long 59,894 4.2163 GBP
ORD CFD Long 206,759 48.1454 ZAR
ORD CFD Long 337,567 48.1777 ZAR
ORD CFD Long 895,000 4.2640 GBP
ORD CFD Long 941,416 48.8214 ZAR
ORD CFD Short 280 47.9053 ZAR
ORD CFD Short 295 4.1962 GBP
ORD CFD Short 370 48.0953 ZAR
ORD CFD Short 922 4.1989 GBP
ORD CFD Short 3,212 4.2091 GBP
ORD CFD Short 4,300 47.9905 ZAR
ORD CFD Short 6,744 48.0344 ZAR
ORD CFD Short 7,438 4.1982 GBP
ORD CFD Short 14,247 4.2002 GBP
ORD CFD Short 34,722 48.4294 ZAR
ORD CFD Short 35,634 4.1957 GBP
ORD CFD Short 543,221 4.2015 GBP
ORD CFD Short 584,163 48.1689 ZAR
ORD CFD Short 895,000 48.8348 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:  

6 Sep 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
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 100,000 5,200.0000 American 15 Sep 2011
ORD Call Options Purchased 972,000 5,800.0000 American 15 Sep 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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