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:  

30 September 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: 43,801,836 8.08% 45,283,925 8.35%
           
(2) Derivatives (other than
options): 6,467,906 1.19% 6,533,672 1.20%
           
(3) Options and agreements to
purchase/sell: 50,000 0.01% 0 0.00%
           
(4) TOTAL:
50,319,742 9.28% 51,817,597 9.55%

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 233 44.4200 ZAR
ORD Purchase 413 43.8600 ZAR
ORD Purchase 413 44.2900 ZAR
ORD Purchase 512 44.1400 ZAR
ORD Purchase 575 43.7400 ZAR
ORD Purchase 585 44.1700 ZAR
ORD Purchase 771 44.2200 ZAR
ORD Purchase 793 44.0900 ZAR
ORD Purchase 794 44.2700 ZAR
ORD Purchase 826 43.6600 ZAR
ORD Purchase 1,032 43.6200 ZAR
ORD Purchase 1,047 44.0800 ZAR
ORD Purchase 1,091 44.2400 ZAR
ORD Purchase 1,236 44.1000 ZAR
ORD Purchase 1,238 43.6800 ZAR
ORD Purchase 1,238 44.2800 ZAR
ORD Purchase 1,334 44.3800 ZAR
ORD Purchase 1,404 44.0200 ZAR
ORD Purchase 1,620 44.3000 ZAR
ORD Purchase 2,064 44.3700 ZAR
ORD Purchase 2,077 44.2000 ZAR
ORD Purchase 2,313 44.2100 ZAR
ORD Purchase 2,773 43.7800 ZAR
ORD Purchase 2,858 44.1100 ZAR
ORD Purchase 2,969 44.0600 ZAR
ORD Purchase 2,988 44.3100 ZAR
ORD Purchase 3,385 44.3200 ZAR
ORD Purchase 3,620 44.0100 ZAR
ORD Purchase 3,747 44.1200 ZAR
ORD Purchase 3,889 44.3500 ZAR
ORD Purchase 3,932 44.1900 ZAR
ORD Purchase 3,979 44.1800 ZAR
ORD Purchase 4,000 43.6400 ZAR
ORD Purchase 4,416 44.2500 ZAR
ORD Purchase 4,441 43.7600 ZAR
ORD Purchase 4,628 44.1500 ZAR
ORD Purchase 4,779 43.9300 ZAR
ORD Purchase 4,794 44.0400 ZAR
ORD Purchase 4,982 44.1600 ZAR
ORD Purchase 5,300 43.6500 ZAR
ORD Purchase 5,478 3.5056 GBP
ORD Purchase 5,503 43.9900 ZAR
ORD Purchase 5,870 43.8500 ZAR
ORD Purchase 7,155 43.8900 ZAR
ORD Purchase 7,299 44.1300 ZAR
ORD Purchase 7,488 43.7700 ZAR
ORD Purchase 8,000 43.6700 ZAR
ORD Purchase 8,304 44.4000 ZAR
ORD Purchase 8,565 3.4911 GBP
ORD Purchase 8,630 43.9100 ZAR
ORD Purchase 8,876 43.8800 ZAR
ORD Purchase 8,902 43.7900 ZAR
ORD Purchase 8,936 43.8100 ZAR
ORD Purchase 8,952 43.7200 ZAR
ORD Purchase 9,506 44.0500 ZAR
ORD Purchase 9,883 43.9200 ZAR
ORD Purchase 10,240 43.8200 ZAR
ORD Purchase 10,405 43.8400 ZAR
ORD Purchase 10,581 3.5115 GBP
ORD Purchase 10,655 43.9800 ZAR
ORD Purchase 10,880 43.8000 ZAR
ORD Purchase 11,906 43.7500 ZAR
ORD Purchase 12,561 43.9700 ZAR
ORD Purchase 12,978 44.0700 ZAR
ORD Purchase 13,127 43.7100 ZAR
ORD Purchase 13,496 43.8700 ZAR
ORD Purchase 13,695 43.9000 ZAR
ORD Purchase 13,754 43.9500 ZAR
ORD Purchase 13,836 43.6900 ZAR
ORD Purchase 14,853 3.4960 GBP
ORD Purchase 15,119 43.7000 ZAR
ORD Purchase 16,145 43.9600 ZAR
ORD Purchase 16,800 43.8300 ZAR
ORD Purchase 17,706 43.9400 ZAR
ORD Purchase 23,376 44.0000 ZAR
ORD Purchase 28,526 3.5042 GBP
ORD Purchase 35,686 43.6300 ZAR
ORD Purchase 76,049 3.5021 GBP
ORD Purchase 211,789 43.9111 ZAR
ORD Sale 14 43.7600 ZAR
ORD Sale 67 44.2900 ZAR
ORD Sale 116 43.6400 ZAR
ORD Sale 162 43.7400 ZAR
ORD Sale 196 43.9100 ZAR
ORD Sale 418 43.8700 ZAR
ORD Sale 419 44.1700 ZAR
ORD Sale 492 43.9800 ZAR
ORD Sale 494 43.9000 ZAR
ORD Sale 509 44.3800 ZAR
ORD Sale 512 44.1400 ZAR
ORD Sale 524 43.7900 ZAR
ORD Sale 525 44.0100 ZAR
ORD Sale 525 44.1000 ZAR
ORD Sale 529 43.8100 ZAR
ORD Sale 627 43.8200 ZAR
ORD Sale 629 43.9300 ZAR
ORD Sale 633 43.7700 ZAR
ORD Sale 633 44.2000 ZAR
ORD Sale 667 44.0400 ZAR
ORD Sale 725 43.7500 ZAR
ORD Sale 838 43.7800 ZAR
ORD Sale 1,032 43.8300 ZAR
ORD Sale 1,047 44.0800 ZAR
ORD Sale 1,128 44.3600 ZAR
ORD Sale 1,418 43.6900 ZAR
ORD Sale 1,771 43.6300 ZAR
ORD Sale 1,797 43.8000 ZAR
ORD Sale 1,909 43.8900 ZAR
ORD Sale 1,913 3.4960 GBP
ORD Sale 2,246 43.8800 ZAR
ORD Sale 2,313 44.2100 ZAR
ORD Sale 2,328 43.8400 ZAR
ORD Sale 2,350 43.8600 ZAR
ORD Sale 2,431 43.6500 ZAR
ORD Sale 2,941 44.0700 ZAR
ORD Sale 3,374 44.1800 ZAR
ORD Sale 3,768 44.1300 ZAR
ORD Sale 4,000 43.9500 ZAR
ORD Sale 4,000 44.0200 ZAR
ORD Sale 4,230 3.4979 GBP
ORD Sale 4,292 44.0500 ZAR
ORD Sale 5,398 44.0000 ZAR
ORD Sale 6,191 44.1500 ZAR
ORD Sale 6,644 44.3500 ZAR
ORD Sale 8,227 43.9900 ZAR
ORD Sale 20,918 3.4985 GBP
ORD Sale 50,591 3.5069 GBP
ORD Sale 66,589 3.5133 GBP
ORD Sale 157,754 3.5153 GBP
ORD Sale 332,401 3.5104 GBP

(b) Derivatives transactions (other than options)

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:    
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

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.

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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