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:  

11 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: 44,140,652 8.14% 46,461,423 8.57%
           
(2) Derivatives (other than
options): 5,893,560 1.09% 5,083,134 0.94%
           
(3) Options and agreements to
purchase/sell: 50,000 0.01% 0 0.00%
           
(4) TOTAL:
50,084,212 9.23% 51,544,557 9.50%

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 39 3.6790 GBP
ORD Purchase 47 45.5000 ZAR
ORD Purchase 88 45.1200 ZAR
ORD Purchase 108 3.6276 GBP
ORD Purchase 340 45.4500 ZAR
ORD Purchase 1,000 3.6471 GBP
ORD Purchase 1,206 3.6602 GBP
ORD Purchase 1,372 3.6502 GBP
ORD Purchase 1,472 45.2400 ZAR
ORD Purchase 1,500 44.8800 ZAR
ORD Purchase 1,500 45.4600 ZAR
ORD Purchase 1,782 45.1900 ZAR
ORD Purchase 1,900 3.6617 GBP
ORD Purchase 1,945 45.4100 ZAR
ORD Purchase 2,066 45.0600 ZAR
ORD Purchase 2,091 45.3600 ZAR
ORD Purchase 2,122 45.2200 ZAR
ORD Purchase 2,179 44.8600 ZAR
ORD Purchase 2,200 45.4400 ZAR
ORD Purchase 2,214 45.2000 ZAR
ORD Purchase 2,361 3.6625 GBP
ORD Purchase 2,476 45.2600 ZAR
ORD Purchase 2,651 45.2800 ZAR
ORD Purchase 2,886 45.3200 ZAR
ORD Purchase 2,926 44.9500 ZAR
ORD Purchase 3,081 45.4800 ZAR
ORD Purchase 4,000 44.9700 ZAR
ORD Purchase 4,500 3.6584 GBP
ORD Purchase 4,862 3.6556 GBP
ORD Purchase 5,175 45.1300 ZAR
ORD Purchase 5,529 3.6593 GBP
ORD Purchase 5,672 45.2700 ZAR
ORD Purchase 6,615 45.2500 ZAR
ORD Purchase 7,462 45.3500 ZAR
ORD Purchase 8,512 3.6767 GBP
ORD Purchase 11,958 3.6559 GBP
ORD Purchase 13,144 45.0061 ZAR
ORD Purchase 19,458 3.6499 GBP
ORD Purchase 22,648 3.6688 GBP
ORD Purchase 104,983 3.6597 GBP
ORD Sale 127 45.2100 ZAR
ORD Sale 200 45.0300 ZAR
ORD Sale 368 45.0600 ZAR
ORD Sale 390 3.6716 GBP
ORD Sale 400 45.0400 ZAR
ORD Sale 477 45.1400 ZAR
ORD Sale 499 45.2300 ZAR
ORD Sale 600 3.6618 GBP
ORD Sale 607 45.3400 ZAR
ORD Sale 669 45.4200 ZAR
ORD Sale 800 3.6700 GBP
ORD Sale 929 45.2800 ZAR
ORD Sale 1,178 45.3700 ZAR
ORD Sale 1,240 45.1600 ZAR
ORD Sale 1,268 44.8500 ZAR
ORD Sale 1,485 3.6600 GBP
ORD Sale 1,512 45.4600 ZAR
ORD Sale 1,902 45.1000 ZAR
ORD Sale 1,945 45.4100 ZAR
ORD Sale 2,063 45.5100 ZAR
ORD Sale 2,122 45.2200 ZAR
ORD Sale 2,250 45.5200 ZAR
ORD Sale 2,368 3.6740 GBP
ORD Sale 2,400 45.3600 ZAR
ORD Sale 2,734 45.3800 ZAR
ORD Sale 2,815 45.1900 ZAR
ORD Sale 2,833 45.2400 ZAR
ORD Sale 2,926 44.9500 ZAR
ORD Sale 3,295 45.2700 ZAR
ORD Sale 3,658 45.1800 ZAR
ORD Sale 3,678 45.2900 ZAR
ORD Sale 3,967 45.0200 ZAR
ORD Sale 4,000 45.4700 ZAR
ORD Sale 4,502 45.1500 ZAR
ORD Sale 4,585 45.3000 ZAR
ORD Sale 4,780 45.0900 ZAR
ORD Sale 4,979 3.6741 GBP
ORD Sale 4,989 45.3200 ZAR
ORD Sale 5,031 45.0000 ZAR
ORD Sale 5,416 45.1700 ZAR
ORD Sale 5,908 44.9700 ZAR
ORD Sale 6,496 45.2600 ZAR
ORD Sale 6,541 45.0700 ZAR
ORD Sale 6,676 45.4300 ZAR
ORD Sale 7,162 44.9800 ZAR
ORD Sale 7,410 45.3100 ZAR
ORD Sale 7,768 3.6466 GBP
ORD Sale 8,237 45.1200 ZAR
ORD Sale 8,317 3.6617 GBP
ORD Sale 8,339 45.2000 ZAR
ORD Sale 8,634 3.6474 GBP
ORD Sale 10,364 3.6468 GBP
ORD Sale 11,547 45.3500 ZAR
ORD Sale 14,923 3.6697 GBP
ORD Sale 18,486 45.2500 ZAR
ORD Sale 20,756 3.6440 GBP
ORD Sale 33,595 3.6486 GBP
ORD Sale 48,971 45.5000 ZAR
ORD Sale 102,347 3.6503 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 75 3.6616 GBP
ORD CFD Long 1,581 45.2499 ZAR
ORD CFD Long 1,832 3.6615 GBP
ORD CFD Long 9,991 3.6316 GBP
ORD CFD Long 25,572 45.2947 ZAR
ORD CFD Long 32,707 45.3214 ZAR
ORD CFD Long 35,523 45.4817 ZAR
ORD CFD Long 54,101 3.6513 GBP
ORD CFD Long 67,824 3.6474 GBP
ORD CFD Long 68,064 45.1857 ZAR
ORD CFD Long 97,128 45.1651 ZAR
ORD CFD Short 2,573 45.2944 ZAR
ORD CFD Short 13,144 45.0151 ZAR
ORD CFD Short 15,443 45.2989 ZAR
ORD CFD Short 34,925 3.6498 GBP
ORD CFD Short 36,904 45.1945 ZAR
ORD CFD Short 47,646 3.6686 GBP
ORD CFD Short 192,511 45.2735 ZAR
ORD   CFD   Long   54,920   45.2260 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: 12 Oct 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

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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