Rule 8.3 - INVESTEC PLC

Rule 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:  

23 Nov 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)

    Interests       Short Positions    
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 47,035,225 8.67% 49,560,388 9.14%
           
(2) Derivatives (other than
options): 7,359,181 1.36% 2,845,252 0.52%
           
(3) Options and agreements to
purchase/sell: 310,000 0.06% 105,000 0.02%
           
(4) TOTAL:
54,704,406 10.09% 52,510,640 9.68%

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 9 43.4700 ZAR
ORD Purchase 41 43.6700 ZAR
ORD Purchase 58 43.1200 ZAR
ORD Purchase 83 43.0700 ZAR
ORD Purchase 83 43.0900 ZAR
ORD Purchase 207 43.6900 ZAR
ORD Purchase 226 3.2660 GBP
ORD Purchase 325 43.3700 ZAR
ORD Purchase 413 43.1000 ZAR
ORD Purchase 413 43.4600 ZAR
ORD Purchase 413 43.7000 ZAR
ORD Purchase 489 43.3600 ZAR
ORD Purchase 510 43.1800 ZAR
ORD Purchase 538 43.2300 ZAR
ORD Purchase 677 43.7800 ZAR
ORD Purchase 839 43.4800 ZAR
ORD Purchase 849 43.8200 ZAR
ORD Purchase 867 43.6200 ZAR
ORD Purchase 1,033 43.6400 ZAR
ORD Purchase 1,094 43.4000 ZAR
ORD Purchase 1,200 3.3236 GBP
ORD Purchase 1,290 43.4200 ZAR
ORD Purchase 1,322 43.5200 ZAR
ORD Purchase 1,323 43.3100 ZAR
ORD Purchase 1,446 43.6500 ZAR
ORD Purchase 1,500 43.7900 ZAR
ORD Purchase 1,585 43.2400 ZAR
ORD Purchase 1,942 43.2900 ZAR
ORD Purchase 2,000 43.3300 ZAR
ORD Purchase 2,034 43.4900 ZAR
ORD Purchase 2,671 3.2603 GBP
ORD Purchase 3,535 43.4400 ZAR
ORD Purchase 3,904 43.2100 ZAR
ORD Purchase 4,000 43.8300 ZAR
ORD Purchase 4,482 43.7300 ZAR
ORD Purchase 4,900 3.3185 GBP
ORD Purchase 5,653 43.1100 ZAR
ORD Purchase 8,747 3.2765 GBP
ORD Purchase 11,111 43.4100 ZAR
ORD Purchase 17,009 3.2767 GBP
ORD Purchase 18,162 3.2662 GBP
ORD Purchase 29,335 3.2812 GBP
ORD Purchase 37,452 3.2780 GBP
ORD Purchase 38,122 3.2496 GBP
ORD Purchase 58,978 3.2553 GBP
ORD Purchase 146,738 3.3585 GBP
ORD Purchase 158,960 3.2681 GBP
ORD Purchase 389,638 3.2701 GBP
ORD Sale 1,007 43.1700 ZAR
ORD Sale 1,033 43.1300 ZAR
ORD Sale 1,033 43.5500 ZAR
ORD Sale 1,033 43.6300 ZAR
ORD Sale 1,033 43.6400 ZAR
ORD Sale 1,033 43.6500 ZAR
ORD Sale 1,033 43.7400 ZAR
ORD Sale 1,033 43.7600 ZAR
ORD Sale 1,086 43.2500 ZAR
ORD Sale 1,281 43.4900 ZAR
ORD Sale 1,357 3.2127 GBP
ORD Sale 1,532 43.5600 ZAR
ORD Sale 1,610 3.1955 GBP
ORD Sale 1,738 43.1500 ZAR
ORD Sale 2,020 3.2846 GBP
ORD Sale 2,103 3.2810 GBP
ORD Sale 2,110 43.6100 ZAR
ORD Sale 2,371 43.5200 ZAR
ORD Sale 2,434 43.2900 ZAR
ORD Sale 2,822 43.5700 ZAR
ORD Sale 2,935 43.3000 ZAR
ORD Sale 3,438 3.1840 GBP
ORD Sale 4,000 43.3300 ZAR
ORD Sale 4,406 43.2700 ZAR
ORD Sale 4,553 43.3900 ZAR
ORD Sale 4,617 43.4100 ZAR
ORD Sale 4,824 43.3400 ZAR
ORD Sale 4,915 43.5800 ZAR
ORD Sale 4,956 43.2100 ZAR
ORD Sale 5,130 43.4400 ZAR
ORD Sale 5,706 43.2200 ZAR
ORD Sale 6,142 43.4200 ZAR
ORD Sale 6,343 43.4800 ZAR
ORD Sale 6,722 43.3100 ZAR
ORD Sale 7,049 43.5000 ZAR
ORD Sale 7,486 43.4700 ZAR
ORD Sale 7,520 43.1000 ZAR
ORD Sale 8,000 43.4600 ZAR
ORD Sale 8,120 43.2300 ZAR
ORD Sale 9,348 43.3600 ZAR
ORD Sale 9,378 43.3800 ZAR
ORD Sale 10,135 3.2957 GBP
ORD Sale 11,496 43.4500 ZAR
ORD Sale 11,512 43.2400 ZAR
ORD Sale 11,575 43.6000 ZAR
ORD Sale 12,519 43.3700 ZAR
ORD Sale 13,785 43.2000 ZAR
ORD Sale 14,800 43.5400 ZAR
ORD Sale 15,622 43.1900 ZAR
ORD Sale 15,898 43.4300 ZAR
ORD Sale 16,623 3.2141 GBP
ORD Sale 17,360 43.5100 ZAR
ORD Sale 25,358 3.2812 GBP
ORD Sale 34,994 43.3500 ZAR
ORD Sale 41,905 3.2818 GBP
ORD Sale 43,714 3.2017 GBP
ORD Sale 136,511 3.2732 GBP
ORD Sale 167,408 43.3336 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 128 3.1935 GBP
ORD CFD Long 2,033 3.1936 GBP
ORD SWAP Long 13,121 3.2236 GBP
ORD CFD Long 20,858 43.2939 ZAR
ORD CFD Long 21,600 43.3291 ZAR
ORD CFD Long 33,874 3.2942 GBP
ORD CFD Long 40,961 3.3120 GBP
ORD CFD Long 167,408 43.3248 ZAR
ORD CFD Long 237,704 43.3730 ZAR
ORD CFD Short 58 43.1337 ZAR
ORD CFD Short 1,134 43.5073 ZAR
ORD CFD Short 1,696 3.2021 GBP
ORD CFD Short 7,213 43.6650 ZAR
ORD CFD Short 11,810 3.2384 GBP
ORD CFD Short 14,743 43.3237 ZAR
ORD CFD Short 21,246 43.5149 ZAR
ORD CFD Short 33,082 3.2856 GBP
ORD CFD Short 146,738 3.3585 GBP
ORD CFD Short 424,827 3.2828 GBP

(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:  

24 Nov 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 105,000 4,039.0000 American 15 Mar 2012
ORD Put Options Written -105,000 4,752.0000 American 15 Mar 2012
ORD Call Options Purchased 105,000 5,702.0000 American 15 Mar 2012
ORD Put Options Purchased 50,000 4,425.0000 American 15 Dec 2011
ORD Put Options Purchased 50,000 4,500.0000 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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