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:  

19 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)

    Interests       Short Positions    
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 51,110,805 9.41% 52,991,601 9.76%
           
(2) Derivatives (other than
options): 6,172,819 1.14% 2,515,738 0.46%
           
(3) Options and agreements to
purchase/sell: 210,000 0.04% 105,000 0.02%
           
(4) TOTAL:
57,493,624 10.59% 55,612,339 10.24%

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 38 42.6400 ZAR
ORD Purchase 50 42.8400 ZAR
ORD Purchase 54 42.8100 ZAR
ORD Purchase 251 42.4100 ZAR
ORD Purchase 282 42.4900 ZAR
ORD Purchase 300 3.2686 GBP
ORD Purchase 335 42.4500 ZAR
ORD Purchase 423 42.8200 ZAR
ORD Purchase 471 42.9000 ZAR
ORD Purchase 498 42.4000 ZAR
ORD Purchase 500 3.2880 GBP
ORD Purchase 584 42.8500 ZAR
ORD Purchase 634 42.3900 ZAR
ORD Purchase 700 3.2782 GBP
ORD Purchase 1,230 42.8900 ZAR
ORD Purchase 1,300 3.2755 GBP
ORD Purchase 1,306 42.7400 ZAR
ORD Purchase 1,367 42.7300 ZAR
ORD Purchase 1,426 42.8600 ZAR
ORD Purchase 1,610 42.7100 ZAR
ORD Purchase 1,817 42.7900 ZAR
ORD Purchase 2,007 42.9100 ZAR
ORD Purchase 2,500 42.6900 ZAR
ORD Purchase 2,614 42.6700 ZAR
ORD Purchase 2,675 42.6000 ZAR
ORD Purchase 2,989 3.2820 GBP
ORD Purchase 3,817 3.2786 GBP
ORD Purchase 3,845 42.5100 ZAR
ORD Purchase 4,004 42.5400 ZAR
ORD Purchase 4,557 42.7800 ZAR
ORD Purchase 4,635 42.5500 ZAR
ORD Purchase 5,000 42.7700 ZAR
ORD Purchase 5,892 42.7500 ZAR
ORD Purchase 6,143 42.7200 ZAR
ORD Purchase 6,699 42.9400 ZAR
ORD Purchase 7,040 42.8300 ZAR
ORD Purchase 7,515 42.9300 ZAR
ORD Purchase 8,487 42.7600 ZAR
ORD Purchase 9,165 42.6800 ZAR
ORD Purchase 12,615 3.2806 GBP
ORD Purchase 15,601 42.6500 ZAR
ORD Purchase 16,466 42.5000 ZAR
ORD Purchase 19,464 42.7000 ZAR
ORD Purchase 31,462 42.5900 ZAR
ORD Purchase 80,360 3.2760 GBP
ORD Purchase 96,923 3.2759 GBP
ORD Purchase 196,243 3.2766 GBP
ORD Purchase 466,511 3.2767 GBP
ORD Sale 193 42.3800 ZAR
ORD Sale 300 3.2906 GBP
ORD Sale 336 42.3500 ZAR
ORD Sale 371 42.6100 ZAR
ORD Sale 700 42.4200 ZAR
ORD Sale 737 42.8200 ZAR
ORD Sale 743 3.2694 GBP
ORD Sale 792 42.9300 ZAR
ORD Sale 838 42.7200 ZAR
ORD Sale 1,024 42.9100 ZAR
ORD Sale 1,078 42.8100 ZAR
ORD Sale 1,331 42.6400 ZAR
ORD Sale 1,462 42.8700 ZAR
ORD Sale 1,615 42.5300 ZAR
ORD Sale 2,114 42.9800 ZAR
ORD Sale 2,160 3.2695 GBP
ORD Sale 2,265 42.6700 ZAR
ORD Sale 2,375 42.9400 ZAR
ORD Sale 2,431 42.3900 ZAR
ORD Sale 2,563 42.4300 ZAR
ORD Sale 2,593 42.4100 ZAR
ORD Sale 3,000 42.4400 ZAR
ORD Sale 3,373 42.7900 ZAR
ORD Sale 3,413 3.2743 GBP
ORD Sale 3,492 42.8400 ZAR
ORD Sale 3,750 3.2733 GBP
ORD Sale 4,000 42.3700 ZAR
ORD Sale 4,000 42.6300 ZAR
ORD Sale 4,000 42.8300 ZAR
ORD Sale 4,092 42.9200 ZAR
ORD Sale 4,339 42.7300 ZAR
ORD Sale 4,402 42.4000 ZAR
ORD Sale 4,871 42.6200 ZAR
ORD Sale 5,138 42.8000 ZAR
ORD Sale 5,265 42.7600 ZAR
ORD Sale 6,152 42.7700 ZAR
ORD Sale 6,351 42.4800 ZAR
ORD Sale 6,719 42.7500 ZAR
ORD Sale 6,997 42.8900 ZAR
ORD Sale 7,000 3.2871 GBP
ORD Sale 7,942 42.7800 ZAR
ORD Sale 8,555 42.7400 ZAR
ORD Sale 8,646 3.2749 GBP
ORD Sale 9,586 42.7100 ZAR
ORD Sale 10,233 42.6800 ZAR
ORD Sale 10,446 42.4700 ZAR
ORD Sale 10,634 42.5200 ZAR
ORD Sale 11,034 42.5700 ZAR
ORD Sale 12,736 3.2829 GBP
ORD Sale 12,851 42.4500 ZAR
ORD Sale 14,120 42.4600 ZAR
ORD Sale 14,380 42.5800 ZAR
ORD Sale 14,552 3.2785 GBP
ORD Sale 14,984 42.6600 ZAR
ORD Sale 16,727 42.6900 ZAR
ORD Sale 17,085 42.5500 ZAR
ORD Sale 17,237 42.4900 ZAR
ORD Sale 17,577 42.6000 ZAR
ORD Sale 17,610 3.2700 GBP
ORD Sale 21,093 42.7000 ZAR
ORD Sale 22,381 42.5900 ZAR
ORD Sale 22,573 3.2741 GBP
ORD Sale 23,066 42.5400 ZAR
ORD Sale 26,994 3.2804 GBP
ORD Sale 29,216 42.6500 ZAR
ORD Sale 29,647 42.5600 ZAR
ORD Sale 30,898 42.5100 ZAR
ORD Sale 51,362 42.5000 ZAR
ORD Sale 175,134 42.5688 ZAR
ORD Sale 179,906 3.2809 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 975 42.4289 ZAR
ORD CFD Long 4,465 42.5950 ZAR
ORD CFD Long 5,600 3.2837 GBP
ORD CFD Long 6,972 3.2849 GBP
ORD CFD Long 7,170 3.2838 GBP
ORD CFD Long 14,100 42.6738 ZAR
ORD CFD Long 27,083 3.2816 GBP
ORD CFD Long 77,276 3.2800 GBP
ORD CFD Long 97,997 42.6542 ZAR
ORD CFD Long 175,134 42.5601 ZAR
ORD CFD Long 371,651 42.5626 ZAR
ORD CFD Short 1,600 42.6027 ZAR
ORD CFD Short 2,822 42.7771 ZAR
ORD CFD Short 3,815 3.2714 GBP
ORD CFD Short 10,318 42.6348 ZAR
ORD CFD Short 10,345 3.2809 GBP
ORD CFD Short 12,690 3.2890 GBP
ORD CFD Short 14,648 42.6036 ZAR
ORD CFD Short 61,111 42.6205 ZAR
ORD CFD Short 74,381 42.7645 ZAR
ORD CFD Short 114,162 3.2801 GBP
ORD CFD Short 550,785 3.2755 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:  

20 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 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

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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