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:  

20 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: 43,869,106 8.09% 46,568,289 8.59%
           
(2) Derivatives (other than
options): 2,187,494 0.40% 913,051 0.17%
           
(3) Options and agreements to
purchase/sell: 50,000 0.01% 0 0.00%
           
(4) TOTAL:
46,106,600 8.50% 47,481,340 8.75%

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 61 46.9200 ZAR
ORD Purchase 91 3.6230 GBP
ORD Purchase 195 46.9500 ZAR
ORD Purchase 355 46.8400 ZAR
ORD Purchase 413 46.3400 ZAR
ORD Purchase 413 47.0100 ZAR
ORD Purchase 633 47.0400 ZAR
ORD Purchase 752 46.8500 ZAR
ORD Purchase 1,010 46.1100 ZAR
ORD Purchase 1,100 46.8900 ZAR
ORD Purchase 1,142 46.9100 ZAR
ORD Purchase 1,200 3.6320 GBP
ORD Purchase 1,492 45.9800 ZAR
ORD Purchase 1,520 3.6419 GBP
ORD Purchase 1,650 46.0300 ZAR
ORD Purchase 1,709 46.4800 ZAR
ORD Purchase 1,770 46.1900 ZAR
ORD Purchase 1,930 46.2000 ZAR
ORD Purchase 2,000 46.1000 ZAR
ORD Purchase 2,000 46.7200 ZAR
ORD Purchase 2,011 46.5300 ZAR
ORD Purchase 2,210 3.6154 GBP
ORD Purchase 2,273 46.4600 ZAR
ORD Purchase 4,000 45.9300 ZAR
ORD Purchase 4,000 46.1500 ZAR
ORD Purchase 8,148 3.6186 GBP
ORD Purchase 9,000 46.2500 ZAR
ORD Purchase 13,110 3.6477 GBP
ORD Purchase 31,581 3.6652 GBP
ORD Purchase 40,866 3.6155 GBP
ORD Purchase 113,473 3.6590 GBP
ORD Purchase 214,453 3.6603 GBP
ORD Sale 143 45.9100 ZAR
ORD Sale 187 45.9200 ZAR
ORD Sale 231 46.8300 ZAR
ORD Sale 386 46.9300 ZAR
ORD Sale 398 47.0500 ZAR
ORD Sale 450 46.6300 ZAR
ORD Sale 629 46.8000 ZAR
ORD Sale 850 46.6700 ZAR
ORD Sale 859 46.0500 ZAR
ORD Sale 879 47.0300 ZAR
ORD Sale 1,053 46.8600 ZAR
ORD Sale 1,100 46.1600 ZAR
ORD Sale 1,116 46.1700 ZAR
ORD Sale 1,228 46.4900 ZAR
ORD Sale 1,300 3.6456 GBP
ORD Sale 1,500 46.1000 ZAR
ORD Sale 1,645 3.6422 GBP
ORD Sale 1,682 46.7400 ZAR
ORD Sale 1,700 46.4800 ZAR
ORD Sale 1,800 46.4500 ZAR
ORD Sale 1,848 46.7700 ZAR
ORD Sale 1,858 46.7600 ZAR
ORD Sale 2,020 46.1100 ZAR
ORD Sale 2,131 46.9400 ZAR
ORD Sale 2,250 46.1800 ZAR
ORD Sale 2,296 47.0100 ZAR
ORD Sale 2,495 46.8700 ZAR
ORD Sale 2,975 46.9200 ZAR
ORD Sale 3,428 46.0000 ZAR
ORD Sale 3,500 3.6451 GBP
ORD Sale 3,532 47.0800 ZAR
ORD Sale 3,549 46.7300 ZAR
ORD Sale 3,775 3.6417 GBP
ORD Sale 3,994 3.6270 GBP
ORD Sale 4,000 46.8900 ZAR
ORD Sale 4,000 47.0600 ZAR
ORD Sale 4,076 47.0700 ZAR
ORD Sale 4,100 46.7000 ZAR
ORD Sale 4,200 46.1500 ZAR
ORD Sale 4,278 3.6568 GBP
ORD Sale 4,355 46.8400 ZAR
ORD Sale 4,557 47.0200 ZAR
ORD Sale 4,655 46.9500 ZAR
ORD Sale 4,700 46.2500 ZAR
ORD Sale 4,800 45.9000 ZAR
ORD Sale 4,806 46.2000 ZAR
ORD Sale 4,871 46.7900 ZAR
ORD Sale 4,892 46.9000 ZAR
ORD Sale 5,086 46.9800 ZAR
ORD Sale 5,437 46.9900 ZAR
ORD Sale 5,677 46.9100 ZAR
ORD Sale 5,948 46.7800 ZAR
ORD Sale 6,469 46.8500 ZAR
ORD Sale 6,558 46.5000 ZAR
ORD Sale 6,867 46.9700 ZAR
ORD Sale 7,902 46.9600 ZAR
ORD Sale 7,934 3.6289 GBP
ORD Sale 8,472 46.8100 ZAR
ORD Sale 9,685 47.0400 ZAR
ORD Sale 9,748 46.7200 ZAR
ORD Sale 10,161 46.7500 ZAR
ORD Sale 11,240 46.8800 ZAR
ORD Sale 24,523 3.6603 GBP
ORD Sale 25,892 3.6481 GBP
ORD Sale 34,412 3.6433 GBP
ORD Sale 37,808 47.0000 ZAR
ORD Sale 52,632 3.6586 GBP
ORD Sale 55,807 47.2100 ZAR
ORD Sale 151,197 3.6373 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 1,435 46.9449 ZAR
ORD CFD Long 1,680 46.8431 ZAR
ORD CFD Long 1,769 3.6135 GBP
ORD CFD Long 3,228 3.6595 GBP
ORD CFD Long 7,952 3.6656 GBP
ORD CFD Long 24,188 46.5605 ZAR
ORD CFD Long 31,209 46.2935 ZAR
ORD CFD Long 48,738 3.6263 GBP
ORD CFD Long 55,807 47.2004 ZAR
ORD CFD Long 62,228 3.6551 GBP
ORD CFD Long 77,713 46.6097 ZAR
ORD CFD Long 131,069 46.9079 ZAR
ORD CFD Short 1,595 46.5594 ZAR
ORD CFD Short 2,000 46.7349 ZAR
ORD CFD Short 5,680 3.6299 GBP
ORD CFD Short 5,807 3.6057 GBP
ORD CFD Short 27,614 46.2489 ZAR
ORD CFD Short 38,070 3.6542 GBP
ORD CFD Short 207,825 3.6670 GBP
ORD CFD Short 291,892 46.8575 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: 21 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 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.

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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