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:  

21 December 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)

Class of relevant security:       ORD            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 51,366,842 9.46% 53,461,209 9.85%
           
(2) Derivatives (other than
options): 4,069,171 0.75% 1,440,015 0.27%
           
(3) Options and agreements to
purchase/sell: 210,000 0.04% 105,000 0.02%
           
(4) TOTAL:
55,646,013 10.25% 55,006,224 10.13%

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 14 43.0300 ZAR
ORD Purchase 100 42.6600 ZAR
ORD Purchase 207 42.6200 ZAR
ORD Purchase 303 42.6100 ZAR
ORD Purchase 400 3.3177 GBP
ORD Purchase 400 43.1700 ZAR
ORD Purchase 409 42.6900 ZAR
ORD Purchase 409 42.8200 ZAR
ORD Purchase 514 42.9700 ZAR
ORD Purchase 537 43.1400 ZAR
ORD Purchase 600 3.3241 GBP
ORD Purchase 616 42.5700 ZAR
ORD Purchase 736 42.5600 ZAR
ORD Purchase 1,028 43.1300 ZAR
ORD Purchase 1,168 43.1200 ZAR
ORD Purchase 1,303 42.5300 ZAR
ORD Purchase 1,379 3.2620 GBP
ORD Purchase 1,504 42.8400 ZAR
ORD Purchase 1,670 42.8300 ZAR
ORD Purchase 2,016 43.1100 ZAR
ORD Purchase 2,084 42.9500 ZAR
ORD Purchase 2,278 43.0500 ZAR
ORD Purchase 2,331 42.7000 ZAR
ORD Purchase 2,800 42.5100 ZAR
ORD Purchase 3,083 43.0900 ZAR
ORD Purchase 3,132 3.2705 GBP
ORD Purchase 3,216 42.8600 ZAR
ORD Purchase 3,479 43.0600 ZAR
ORD Purchase 3,763 42.8100 ZAR
ORD Purchase 3,811 42.9200 ZAR
ORD Purchase 4,152 42.9300 ZAR
ORD Purchase 4,816 42.8900 ZAR
ORD Purchase 6,422 43.1500 ZAR
ORD Purchase 6,446 42.7400 ZAR
ORD Purchase 7,259 42.7500 ZAR
ORD Purchase 7,354 42.8800 ZAR
ORD Purchase 7,782 42.8700 ZAR
ORD Purchase 7,836 43.0100 ZAR
ORD Purchase 8,179 42.9900 ZAR
ORD Purchase 8,951 42.9100 ZAR
ORD Purchase 9,154 42.7800 ZAR
ORD Purchase 10,441 42.9600 ZAR
ORD Purchase 13,828 42.8000 ZAR
ORD Purchase 14,056 43.0000 ZAR
ORD Purchase 23,988 42.8500 ZAR
ORD Purchase 46,437 3.3455 GBP
ORD Purchase 54,401 42.9000 ZAR
ORD Purchase 68,906 3.3405 GBP
ORD Purchase 147,358 3.3460 GBP
ORD Purchase 205,000 3.2631 GBP
ORD Purchase 276,102 3.3428 GBP
ORD Purchase 1,001,636 42.6500 ZAR
ORD Sale 210 43.0500 ZAR
ORD Sale 527 43.1400 ZAR
ORD Sale 817 3.3589 GBP
ORD Sale 1,028 43.1300 ZAR
ORD Sale 1,168 43.1200 ZAR
ORD Sale 1,469 42.7400 ZAR
ORD Sale 1,738 42.9400 ZAR
ORD Sale 1,913 42.6200 ZAR
ORD Sale 2,016 43.1100 ZAR
ORD Sale 2,308 42.7800 ZAR
ORD Sale 2,395 42.5700 ZAR
ORD Sale 2,900 3.3503 GBP
ORD Sale 3,018 42.8300 ZAR
ORD Sale 3,083 43.0900 ZAR
ORD Sale 3,198 42.8600 ZAR
ORD Sale 3,229 42.8200 ZAR
ORD Sale 3,358 42.6600 ZAR
ORD Sale 3,464 42.9200 ZAR
ORD Sale 3,468 42.9300 ZAR
ORD Sale 3,549 42.9500 ZAR
ORD Sale 3,670 42.9100 ZAR
ORD Sale 3,816 43.0000 ZAR
ORD Sale 4,550 42.6900 ZAR
ORD Sale 5,000 42.5900 ZAR
ORD Sale 5,000 42.6000 ZAR
ORD Sale 5,000 42.6300 ZAR
ORD Sale 5,000 43.0100 ZAR
ORD Sale 7,232 3.3502 GBP
ORD Sale 8,661 42.7500 ZAR
ORD Sale 9,000 43.0200 ZAR
ORD Sale 10,200 3.3438 GBP
ORD Sale 11,361 42.9600 ZAR
ORD Sale 12,416 42.6100 ZAR
ORD Sale 13,055 42.8000 ZAR
ORD Sale 15,062 42.8100 ZAR
ORD Sale 16,021 42.9700 ZAR
ORD Sale 17,471 42.9800 ZAR
ORD Sale 18,289 42.8700 ZAR
ORD Sale 22,606 42.8900 ZAR
ORD Sale 22,871 42.8400 ZAR
ORD Sale 26,724 3.3505 GBP
ORD Sale 26,735 42.9000 ZAR
ORD Sale 40,491 42.9900 ZAR
ORD Sale 45,835 42.8800 ZAR
ORD Sale 52,270 3.3500 GBP
ORD Sale 75,140 3.3401 GBP
ORD Sale 77,177 42.8738 ZAR
ORD Sale 85,285 42.8500 ZAR
ORD Sale 484,234 3.3010 GBP
ORD Sale 1,005,614 42.6500 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 274 3.2605 GBP
ORD CFD Long 307 3.3646 GBP
ORD CFD Long 1,100 42.7863 ZAR
ORD CFD Long 1,776 3.2606 GBP
ORD CFD Long 14,016 42.8453 ZAR
ORD CFD Long 22,589 3.3056 GBP
ORD CFD Long 23,677 3.3513 GBP
ORD CFD Long 27,050 3.3220 GBP
ORD CFD Long 34,497 3.2937 GBP
ORD CFD Long 51,804 3.3071 GBP
ORD CFD Long 77,177 42.8651 ZAR
ORD CFD Long 145,110 42.8722 ZAR
ORD CFD Long 168,750 3.3523 GBP
ORD CFD Long 237,070 42.8467 ZAR
ORD CFD Long 1,000,000 3.2981 GBP
ORD CFD Short 307 42.8728 ZAR
ORD CFD Short 6,328 3.3654 GBP
ORD CFD Short 7,040 3.3439 GBP
ORD CFD Short 14,461 3.3196 GBP
ORD CFD Short 20,988 42.8019 ZAR
ORD CFD Short 23,856 3.3565 GBP
ORD CFD Short 32,726 42.9466 ZAR
ORD CFD Short 53,851 42.9233 ZAR
ORD CFD Short 125,908 42.9047 ZAR
ORD CFD Short 189,651 3.3415 GBP
ORD CFD Short 279,912 3.3453 GBP
ORD CFD Short 1,000,000 42.6542 ZAR
Class of relevant security   Product description

e.g. CFD

  Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

  Number of reference securities   Price per unit

(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:  

22 Dec 2011

Contact name:   Geoff Smith
Telephone number:   020 7116 2913

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.

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.

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