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: 20 September 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: 43,316,990 7.99% 45,991,233 8.48%
           
(2) Derivatives (other than
options): 3,163,619 0.58% 2,577,060 0.48%
           
(3) Options and agreements to
purchase/sell: 50,000 0.01% 0 0.00%
           
(4) TOTAL:
46,530,609 8.58% 48,568,293 8.95%

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 49 48.6700 ZAR
ORD Purchase 66 48.4200 ZAR
ORD Purchase 100 47.8800 ZAR
ORD Purchase 100 48.0500 ZAR
ORD Purchase 100 48.1100 ZAR
ORD Purchase 100 48.5500 ZAR
ORD Purchase 200 48.1200 ZAR
ORD Purchase 200 48.1600 ZAR
ORD Purchase 300 48.0700 ZAR
ORD Purchase 300 48.1700 ZAR
ORD Purchase 400 48.2300 ZAR
ORD Purchase 500 3.9540 GBP
ORD Purchase 600 47.7200 ZAR
ORD Purchase 600 47.8100 ZAR
ORD Purchase 600 47.8900 ZAR
ORD Purchase 645 47.9100 ZAR
ORD Purchase 825 47.9500 ZAR
ORD Purchase 1,000 47.9900 ZAR
ORD Purchase 1,138 48.0600 ZAR
ORD Purchase 2,173 47.8000 ZAR
ORD Purchase 2,919 3.9517 GBP
ORD Purchase 3,000 47.9200 ZAR
ORD Purchase 4,100 47.9000 ZAR
ORD Purchase 5,313 48.2517 ZAR
ORD Purchase 6,973 3.9711 GBP
ORD Purchase 7,000 47.8600 ZAR
ORD Purchase 7,269 47.8700 ZAR
ORD Purchase 9,937 4.0030 GBP
ORD Purchase 11,158 3.9468 GBP
ORD Purchase 13,861 48.0000 ZAR
ORD Purchase 21,897 47.8500 ZAR
ORD Purchase 41,791 3.9751 GBP
ORD Purchase 87,195 3.9707 GBP
ORD Purchase 134,623 3.9753 GBP
ORD Purchase 500,000 48.1000 ZAR
ORD Purchase 500,394 3.9720 GBP
ORD Sale 49 48.6700 ZAR
ORD Sale 66 48.4200 ZAR
ORD Sale 97 48.5500 ZAR
ORD Sale 100 48.0500 ZAR
ORD Sale 384 47.8300 ZAR
ORD Sale 400 47.8100 ZAR
ORD Sale 437 48.5400 ZAR
ORD Sale 513 48.2500 ZAR
ORD Sale 1,000 48.0100 ZAR
ORD Sale 1,000 48.0700 ZAR
ORD Sale 1,238 47.9800 ZAR
ORD Sale 1,374 48.1300 ZAR
ORD Sale 1,961 47.9700 ZAR
ORD Sale 2,011 3.9795 GBP
ORD Sale 2,300 48.0800 ZAR
ORD Sale 2,321 3.9779 GBP
ORD Sale 2,442 48.1800 ZAR
ORD Sale 2,468 48.0900 ZAR
ORD Sale 3,823 47.8400 ZAR
ORD Sale 3,852 3.9775 GBP
ORD Sale 3,964 3.9714 GBP
ORD Sale 4,000 48.0200 ZAR
ORD Sale 4,000 48.4500 ZAR
ORD Sale 4,188 48.1100 ZAR
ORD Sale 4,432 47.9200 ZAR
ORD Sale 5,190 48.0300 ZAR
ORD Sale 5,754 47.8000 ZAR
ORD Sale 6,973 3.9711 GBP
ORD Sale 7,458 48.2300 ZAR
ORD Sale 7,614 47.7600 ZAR
ORD Sale 7,910 48.1700 ZAR
ORD Sale 7,947 47.7900 ZAR
ORD Sale 8,042 47.7500 ZAR
ORD Sale 8,952 47.7700 ZAR
ORD Sale 8,968 47.8900 ZAR
ORD Sale 9,341 47.9900 ZAR
ORD Sale 9,581 48.1400 ZAR
ORD Sale 10,509 47.7400 ZAR
ORD Sale 10,592 47.9500 ZAR
ORD Sale 11,311 47.8200 ZAR
ORD Sale 11,425 48.1500 ZAR
ORD Sale 12,000 47.9300 ZAR
ORD Sale 12,286 47.9600 ZAR
ORD Sale 13,286 47.9100 ZAR
ORD Sale 13,432 47.9400 ZAR
ORD Sale 13,776 47.7800 ZAR
ORD Sale 13,900 48.1600 ZAR
ORD Sale 14,833 3.9633 GBP
ORD Sale 15,069 47.8800 ZAR
ORD Sale 15,956 3.9607 GBP
ORD Sale 23,077 47.8600 ZAR
ORD Sale 26,618 47.9000 ZAR
ORD Sale 26,715 48.1200 ZAR
ORD Sale 30,260 3.9654 GBP
ORD Sale 32,494 48.0000 ZAR
ORD Sale 33,487 47.8700 ZAR
ORD Sale 33,800 47.8500 ZAR
ORD Sale 36,117 3.9794 GBP
ORD Sale 41,797 47.9499 ZAR
ORD Sale 144,190 3.9715 GBP
ORD Sale 165,561 47.9451 ZAR
ORD Sale 346,860 3.9742 GBP
ORD Sale 503,048 48.1000 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 700 47.9200 ZAR
ORD CFD Long 1,460 47.9346 ZAR
ORD CFD Long 1,800 47.9066 ZAR
ORD CFD Long 3,551 3.9779 GBP
ORD CFD Long 4,651 47.8283 ZAR
ORD CFD Long 10,865 3.9790 GBP
ORD CFD Long 22,615 48.1007 ZAR
ORD CFD Long 25,906 3.9752 GBP
ORD CFD Long 32,983 3.9688 GBP
ORD CFD Long 37,473 3.9733 GBP
ORD CFD Long 165,561 47.9355 ZAR
ORD CFD Long 406,515 47.9234 ZAR
ORD CFD Long 500,000 3.9856 GBP
ORD CFD Long 509,777 48.1135 ZAR
ORD CFD Short 142 3.9773 GBP
ORD CFD Short 183 3.9753 GBP
ORD CFD Short 1,000 47.9153 ZAR
ORD CFD Short 1,166 48.1747 ZAR
ORD CFD Short 1,570 48.0038 ZAR
ORD CFD Short 1,741 47.8143 ZAR
ORD CFD Short 2,025 3.9732 GBP
ORD CFD Short 3,181 3.9752 GBP
ORD CFD Short 4,300 47.9139 ZAR
ORD CFD Short 36,641 3.9811 GBP
ORD CFD Short 57,320 3.9793 GBP
ORD CFD Short 500,000 48.1048 ZAR
ORD CFD Short 571,542 3.9714 GBP
ORD CFD Short 603,302 47.9338 ZAR

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class   Product   Writing,   Number   Exercise   Type   Expiry   Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
      relates        
ORD Put Options Purchasing 500 44.25 American 15 Dec 2011 00:00:00 1.6000 ZAR

(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:  

21 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.

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 50,000 4,425.0000 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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