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:  

4 October 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: 44,190,709 8.15% 45,208,825 8.33%
           
(2) Derivatives (other than
options): 4,953,424 0.91% 5,625,057 1.04%
           
(3) Options and agreements to
purchase/sell: 50,000 0.01% 0 0.00%
           
(4) TOTAL:
49,194,133 9.07% 50,833,882 9.37%

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 41 42.3200 ZAR
ORD Purchase 74 42.1700 ZAR
ORD Purchase 100 42.6800 ZAR
ORD Purchase 200 42.8600 ZAR
ORD Purchase 200 42.9100 ZAR
ORD Purchase 226 42.1300 ZAR
ORD Purchase 241 43.1900 ZAR
ORD Purchase 291 42.4900 ZAR
ORD Purchase 300 42.5900 ZAR
ORD Purchase 382 3.3290 GBP
ORD Purchase 400 42.8500 ZAR
ORD Purchase 413 42.0300 ZAR
ORD Purchase 413 43.1400 ZAR
ORD Purchase 483 43.1100 ZAR
ORD Purchase 500 42.5300 ZAR
ORD Purchase 600 42.5000 ZAR
ORD Purchase 700 42.3300 ZAR
ORD Purchase 800 42.5700 ZAR
ORD Purchase 825 42.1000 ZAR
ORD Purchase 876 42.8200 ZAR
ORD Purchase 986 42.4100 ZAR
ORD Purchase 1,000 42.5100 ZAR
ORD Purchase 1,032 43.3700 ZAR
ORD Purchase 1,051 42.6400 ZAR
ORD Purchase 1,104 42.8000 ZAR
ORD Purchase 1,214 42.5200 ZAR
ORD Purchase 1,220 42.6900 ZAR
ORD Purchase 1,238 42.4600 ZAR
ORD Purchase 1,313 42.8400 ZAR
ORD Purchase 1,336 3.3226 GBP
ORD Purchase 1,344 42.6000 ZAR
ORD Purchase 1,371 42.1900 ZAR
ORD Purchase 1,413 42.8900 ZAR
ORD Purchase 1,425 42.8100 ZAR
ORD Purchase 1,484 42.1100 ZAR
ORD Purchase 1,497 42.5600 ZAR
ORD Purchase 1,596 42.6200 ZAR
ORD Purchase 1,966 42.7900 ZAR
ORD Purchase 2,048 42.7000 ZAR
ORD Purchase 2,063 42.0600 ZAR
ORD Purchase 2,091 42.5800 ZAR
ORD Purchase 2,105 42.0700 ZAR
ORD Purchase 2,245 42.9800 ZAR
ORD Purchase 2,514 42.6500 ZAR
ORD Purchase 2,718 42.0400 ZAR
ORD Purchase 2,989 42.9500 ZAR
ORD Purchase 3,003 42.5500 ZAR
ORD Purchase 3,145 42.5400 ZAR
ORD Purchase 3,502 3.3154 GBP
ORD Purchase 3,793 42.7100 ZAR
ORD Purchase 4,000 42.8300 ZAR
ORD Purchase 4,200 3.3481 GBP
ORD Purchase 4,502 42.4300 ZAR
ORD Purchase 4,620 42.6300 ZAR
ORD Purchase 4,706 42.9000 ZAR
ORD Purchase 4,883 42.3400 ZAR
ORD Purchase 5,040 42.6600 ZAR
ORD Purchase 5,128 42.1500 ZAR
ORD Purchase 5,452 42.7700 ZAR
ORD Purchase 5,663 42.3000 ZAR
ORD Purchase 7,896 42.7300 ZAR
ORD Purchase 7,946 42.6700 ZAR
ORD Purchase 8,537 3.3192 GBP
ORD Purchase 9,231 42.7400 ZAR
ORD Purchase 9,621 42.7800 ZAR
ORD Purchase 12,190 3.3325 GBP
ORD Purchase 14,674 3.3171 GBP
ORD Purchase 25,924 3.3480 GBP
ORD Purchase 34,630 3.3417 GBP
ORD Purchase 66,388 3.3197 GBP
ORD Purchase 167,768 3.3377 GBP
ORD Purchase 409,165 3.3362 GBP
ORD Sale 1 43.6200 ZAR
ORD Sale 54 42.6900 ZAR
ORD Sale 73 42.3400 ZAR
ORD Sale 74 42.1700 ZAR
ORD Sale 80 42.7600 ZAR
ORD Sale 265 42.4700 ZAR
ORD Sale 363 42.7200 ZAR
ORD Sale 488 42.7700 ZAR
ORD Sale 500 42.2900 ZAR
ORD Sale 626 42.4300 ZAR
ORD Sale 700 42.3300 ZAR
ORD Sale 781 43.3700 ZAR
ORD Sale 856 42.8800 ZAR
ORD Sale 876 42.8200 ZAR
ORD Sale 948 43.0100 ZAR
ORD Sale 986 42.4100 ZAR
ORD Sale 1,074 42.5200 ZAR
ORD Sale 1,249 43.0500 ZAR
ORD Sale 1,252 43.2100 ZAR
ORD Sale 1,661 42.7100 ZAR
ORD Sale 1,810 42.7500 ZAR
ORD Sale 1,850 42.2000 ZAR
ORD Sale 2,000 3.3790 GBP
ORD Sale 2,060 43.0400 ZAR
ORD Sale 2,064 42.3800 ZAR
ORD Sale 2,064 43.7000 ZAR
ORD Sale 2,074 42.2500 ZAR
ORD Sale 2,184 42.5500 ZAR
ORD Sale 2,245 42.9800 ZAR
ORD Sale 2,389 42.8600 ZAR
ORD Sale 2,489 42.9500 ZAR
ORD Sale 2,563 43.4900 ZAR
ORD Sale 2,665 3.3265 GBP
ORD Sale 2,679 42.8000 ZAR
ORD Sale 2,960 42.6800 ZAR
ORD Sale 3,081 42.6200 ZAR
ORD Sale 3,098 42.6000 ZAR
ORD Sale 3,202 42.5400 ZAR
ORD Sale 3,362 42.8900 ZAR
ORD Sale 3,517 42.6100 ZAR
ORD Sale 3,526 42.8100 ZAR
ORD Sale 3,536 42.6500 ZAR
ORD Sale 4,000 42.2700 ZAR
ORD Sale 4,000 42.4800 ZAR
ORD Sale 4,000 42.5800 ZAR
ORD Sale 4,000 42.6700 ZAR
ORD Sale 4,000 42.7000 ZAR
ORD Sale 4,008 42.6600 ZAR
ORD Sale 4,320 42.7300 ZAR
ORD Sale 4,375 42.9000 ZAR
ORD Sale 4,403 42.5300 ZAR
ORD Sale 4,710 42.5100 ZAR
ORD Sale 5,032 42.6400 ZAR
ORD Sale 5,805 42.8400 ZAR
ORD Sale 5,839 42.3000 ZAR
ORD Sale 5,849 42.7400 ZAR
ORD Sale 6,148 42.2600 ZAR
ORD Sale 6,448 3.3184 GBP
ORD Sale 7,038 42.6300 ZAR
ORD Sale 7,242 42.8300 ZAR
ORD Sale 7,407 42.5900 ZAR
ORD Sale 8,537 3.3192 GBP
ORD Sale 9,000 42.4900 ZAR
ORD Sale 9,139 42.5700 ZAR
ORD Sale 12,025 42.8500 ZAR
ORD Sale 12,514 42.3500 ZAR
ORD Sale 13,924 42.7900 ZAR
ORD Sale 14,271 42.7800 ZAR
ORD Sale 14,544 43.0000 ZAR
ORD Sale 17,295 42.4000 ZAR
ORD Sale 17,912 42.5600 ZAR
ORD Sale 30,119 3.3422 GBP
ORD Sale 38,666 42.5000 ZAR
ORD Sale 49,927 3.3328 GBP
ORD Sale 174,737 3.3245 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 700 42.5528 ZAR
ORD CFD Long 781 43.3526 ZAR
ORD CFD Long 819 42.5900 ZAR
ORD CFD Long 1,501 42.5013 ZAR
ORD CFD Long 11,925 3.3321 GBP
ORD CFD Long 33,781 3.3160 GBP
ORD CFD Long 135,456 42.6228 ZAR
ORD CFD Long 216,059 42.4803 ZAR
ORD CFD Long 281,523 42.6403 ZAR
ORD CFD Short 3,878 42.5395 ZAR
ORD CFD Short 4,273 42.6498 ZAR
ORD CFD Short 8,288 42.6881 ZAR
ORD CFD Short 13,609 3.3249 GBP
ORD CFD Short 20,612 3.3582 GBP
ORD CFD Short 22,588 42.2879 ZAR
ORD CFD Short 37,146 3.3297 GBP
ORD CFD Short 96,429 42.7034 ZAR
ORD CFD Short 501,383 42.5721 ZAR
ORD CFD Short 509,016 3.3390 GBP
ORD CFD Short 285,324 42.6432 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:  

5 Oct 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 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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