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 “Codeâ€)
1. KEY INFORMATION
| (a) Identity of the person whose positions/dealings are being disclosed: | Â | 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: | Â | Â |
| (e) Date position held/dealing undertaken: | Â |
6 Oct 2011 |
| (f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer? | Â |
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: | Â | Â | Â | ORD | Â | Â | Â | Â | Â | Â | |
| Interests | Short Positions | ||||||||||
| Â | Â | Number | (%) | Number | (%) | ||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 44,422,039 | 8.19% | 46,470,289 | 8.57% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 5,315,829 | 0.98% | 4,766,549 | 0.88% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 50,000 | 0.01% | 0 | 0.00% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (4) | TOTAL: | ||||||||||
| 49,787,868 | 9.18% | 51,236,838 | 9.45% | ||||||||
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: | Â |
| Details, including nature of the rights concerned and relevant percentages: | Â |
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 | Â | Purchase/sale | Â | Number of | Â | Price per unit | |
| security | Â | securities | Â | ||||
| ORD | Purchase | 98 | 43.4100 ZAR | ||||
| ORD | Purchase | 497 | 42.8400 ZAR | ||||
| ORD | Purchase | 557 | 42.7300 ZAR | ||||
| ORD | Purchase | 600 | 3.4980 GBP | ||||
| ORD | Purchase | 678 | 43.2900 ZAR | ||||
| ORD | Purchase | 800 | 42.9600 ZAR | ||||
| ORD | Purchase | 825 | 42.7400 ZAR | ||||
| ORD | Purchase | 860 | 42.8800 ZAR | ||||
| ORD | Purchase | 880 | 3.5312 GBP | ||||
| ORD | Purchase | 912 | 43.0300 ZAR | ||||
| ORD | Purchase | 916 | 43.3200 ZAR | ||||
| ORD | Purchase | 962 | 3.5350 GBP | ||||
| ORD | Purchase | 977 | 42.8200 ZAR | ||||
| ORD | Purchase | 988 | 42.7100 ZAR | ||||
| ORD | Purchase | 1,000 | 43.2300 ZAR | ||||
| ORD | Purchase | 1,000 | 43.3700 ZAR | ||||
| ORD | Purchase | 1,005 | 42.9800 ZAR | ||||
| ORD | Purchase | 1,389 | 42.8100 ZAR | ||||
| ORD | Purchase | 1,435 | 42.7000 ZAR | ||||
| ORD | Purchase | 1,454 | 42.8300 ZAR | ||||
| ORD | Purchase | 1,952 | 43.1800 ZAR | ||||
| ORD | Purchase | 2,097 | 43.2600 ZAR | ||||
| ORD | Purchase | 2,200 | 42.8900 ZAR | ||||
| ORD | Purchase | 2,316 | 43.4000 ZAR | ||||
| ORD | Purchase | 2,386 | 42.9200 ZAR | ||||
| ORD | Purchase | 2,440 | 42.7600 ZAR | ||||
| ORD | Purchase | 2,464 | 43.1600 ZAR | ||||
| ORD | Purchase | 2,565 | 42.9700 ZAR | ||||
| ORD | Purchase | 2,783 | 43.0100 ZAR | ||||
| ORD | Purchase | 2,988 | 43.2200 ZAR | ||||
| ORD | Purchase | 3,114 | 42.9400 ZAR | ||||
| ORD | Purchase | 3,354 | 3.5115 GBP | ||||
| ORD | Purchase | 3,806 | 43.3000 ZAR | ||||
| ORD | Purchase | 3,815 | 3.4977 GBP | ||||
| ORD | Purchase | 4,153 | 43.0200 ZAR | ||||
| ORD | Purchase | 4,439 | 42.7700 ZAR | ||||
| ORD | Purchase | 4,475 | 42.8600 ZAR | ||||
| ORD | Purchase | 4,525 | 42.9000 ZAR | ||||
| ORD | Purchase | 5,020 | 3.5366 GBP | ||||
| ORD | Purchase | 5,213 | 43.1300 ZAR | ||||
| ORD | Purchase | 5,262 | 43.1900 ZAR | ||||
| ORD | Purchase | 5,461 | 43.1500 ZAR | ||||
| ORD | Purchase | 5,829 | 43.1100 ZAR | ||||
| ORD | Purchase | 6,107 | 43.2800 ZAR | ||||
| ORD | Purchase | 6,259 | 43.0800 ZAR | ||||
| ORD | Purchase | 6,580 | 43.0500 ZAR | ||||
| ORD | Purchase | 8,075 | 42.8700 ZAR | ||||
| ORD | Purchase | 8,287 | 43.2500 ZAR | ||||
| ORD | Purchase | 9,038 | 43.0700 ZAR | ||||
| ORD | Purchase | 9,876 | 42.9900 ZAR | ||||
| ORD | Purchase | 10,852 | 43.2400 ZAR | ||||
| ORD | Purchase | 11,297 | 43.1000 ZAR | ||||
| ORD | Purchase | 11,904 | 43.0900 ZAR | ||||
| ORD | Purchase | 12,876 | 42.9300 ZAR | ||||
| ORD | Purchase | 13,669 | 43.1200 ZAR | ||||
| ORD | Purchase | 15,150 | 43.2000 ZAR | ||||
| ORD | Purchase | 18,495 | 42.9100 ZAR | ||||
| ORD | Purchase | 22,855 | 43.1400 ZAR | ||||
| ORD | Purchase | 23,074 | 43.0600 ZAR | ||||
| ORD | Purchase | 23,219 | 3.4960 GBP | ||||
| ORD | Purchase | 25,612 | 3.5044 GBP | ||||
| ORD | Purchase | 26,031 | 42.9500 ZAR | ||||
| ORD | Purchase | 29,806 | 43.0000 ZAR | ||||
| ORD | Purchase | 35,039 | 3.4986 GBP | ||||
| ORD | Purchase | 37,004 | 3.5083 GBP | ||||
| ORD | Purchase | 42,662 | 3.5068 GBP | ||||
| ORD | Purchase | 46,519 | 3.5114 GBP | ||||
| ORD | Purchase | 163,725 | 3.5023 GBP | ||||
| ORD | Purchase | 552,811 | 3.5050 GBP | ||||
| ORD | Sale | 400 | 3.5090 GBP | ||||
| ORD | Sale | 401 | 43.0300 ZAR | ||||
| ORD | Sale | 413 | 42.7900 ZAR | ||||
| ORD | Sale | 556 | 43.4100 ZAR | ||||
| ORD | Sale | 600 | 3.4913 GBP | ||||
| ORD | Sale | 600 | 43.2600 ZAR | ||||
| ORD | Sale | 754 | 3.5216 GBP | ||||
| ORD | Sale | 800 | 42.9600 ZAR | ||||
| ORD | Sale | 825 | 42.7400 ZAR | ||||
| ORD | Sale | 956 | 3.5207 GBP | ||||
| ORD | Sale | 1,040 | 43.1700 ZAR | ||||
| ORD | Sale | 1,069 | 42.9300 ZAR | ||||
| ORD | Sale | 1,074 | 43.1800 ZAR | ||||
| ORD | Sale | 1,080 | 43.3200 ZAR | ||||
| ORD | Sale | 1,086 | 3.5007 GBP | ||||
| ORD | Sale | 1,096 | 42.9200 ZAR | ||||
| ORD | Sale | 1,099 | 42.5100 ZAR | ||||
| ORD | Sale | 1,177 | 42.4800 ZAR | ||||
| ORD | Sale | 1,200 | 3.5110 GBP | ||||
| ORD | Sale | 1,231 | 43.1400 ZAR | ||||
| ORD | Sale | 1,385 | 3.5067 GBP | ||||
| ORD | Sale | 1,674 | 43.4200 ZAR | ||||
| ORD | Sale | 1,819 | 43.0200 ZAR | ||||
| ORD | Sale | 1,874 | 42.9400 ZAR | ||||
| ORD | Sale | 1,945 | 42.7700 ZAR | ||||
| ORD | Sale | 1,971 | 43.1200 ZAR | ||||
| ORD | Sale | 2,002 | 42.9100 ZAR | ||||
| ORD | Sale | 2,064 | 42.8600 ZAR | ||||
| ORD | Sale | 2,316 | 3.5071 GBP | ||||
| ORD | Sale | 2,326 | 42.8500 ZAR | ||||
| ORD | Sale | 2,606 | 43.1300 ZAR | ||||
| ORD | Sale | 2,648 | 42.8200 ZAR | ||||
| ORD | Sale | 2,996 | 42.8100 ZAR | ||||
| ORD | Sale | 3,123 | 43.2700 ZAR | ||||
| ORD | Sale | 3,919 | 43.1100 ZAR | ||||
| ORD | Sale | 3,932 | 43.0400 ZAR | ||||
| ORD | Sale | 3,938 | 42.5000 ZAR | ||||
| ORD | Sale | 4,000 | 42.5700 ZAR | ||||
| ORD | Sale | 4,000 | 43.4000 ZAR | ||||
| ORD | Sale | 4,243 | 42.6500 ZAR | ||||
| ORD | Sale | 4,465 | 42.7100 ZAR | ||||
| ORD | Sale | 5,074 | 43.0100 ZAR | ||||
| ORD | Sale | 5,100 | 43.3100 ZAR | ||||
| ORD | Sale | 5,347 | 42.7000 ZAR | ||||
| ORD | Sale | 5,436 | 43.2800 ZAR | ||||
| ORD | Sale | 5,475 | 43.0500 ZAR | ||||
| ORD | Sale | 5,600 | 42.8000 ZAR | ||||
| ORD | Sale | 6,090 | 43.1000 ZAR | ||||
| ORD | Sale | 6,436 | 43.2900 ZAR | ||||
| ORD | Sale | 6,698 | 42.9000 ZAR | ||||
| ORD | Sale | 6,701 | 3.5092 GBP | ||||
| ORD | Sale | 6,872 | 42.6600 ZAR | ||||
| ORD | Sale | 6,951 | 43.0700 ZAR | ||||
| ORD | Sale | 7,101 | 42.6900 ZAR | ||||
| ORD | Sale | 7,854 | 42.8400 ZAR | ||||
| ORD | Sale | 7,991 | 42.9500 ZAR | ||||
| ORD | Sale | 8,740 | 43.2500 ZAR | ||||
| ORD | Sale | 9,465 | 42.8900 ZAR | ||||
| ORD | Sale | 9,788 | 43.0900 ZAR | ||||
| ORD | Sale | 10,042 | 43.0000 ZAR | ||||
| ORD | Sale | 10,205 | 42.6800 ZAR | ||||
| ORD | Sale | 10,330 | 43.2300 ZAR | ||||
| ORD | Sale | 10,354 | 43.0800 ZAR | ||||
| ORD | Sale | 11,260 | 3.5014 GBP | ||||
| ORD | Sale | 11,466 | 42.9900 ZAR | ||||
| ORD | Sale | 11,841 | 3.5089 GBP | ||||
| ORD | Sale | 12,739 | 42.8800 ZAR | ||||
| ORD | Sale | 13,027 | 42.6700 ZAR | ||||
| ORD | Sale | 17,295 | 42.8300 ZAR | ||||
| ORD | Sale | 21,090 | 42.9800 ZAR | ||||
| ORD | Sale | 21,405 | 3.5045 GBP | ||||
| ORD | Sale | 22,017 | 3.5047 GBP | ||||
| ORD | Sale | 23,260 | 42.8700 ZAR | ||||
| ORD | Sale | 24,207 | 43.2400 ZAR | ||||
| ORD | Sale | 25,819 | 3.5083 GBP | ||||
| ORD | Sale | 26,088 | 3.5091 GBP | ||||
| ORD | Sale | 46,511 | 43.0301 ZAR | ||||
| ORD | Sale | 121,445 | 3.5058 GBP | ||||
| ORD | Sale | 127,904 | 43.0021 ZAR | ||||
| ORD | Sale | 318,080 | 3.5078 GBP | ||||
| ORD | Sale | 458,549 | 3.5339 GBP |
(b) Derivatives transactions (other than options)
| Class of | Â | Product | Â | Nature of dealing | Â | Number of | Â | Price per | |
| relevant | description | reference | unit | ||||||
| security | Â | Â | securities | Â | |||||
| ORD | CFD | Long | 1,100 | 43.2961 ZAR | |||||
| ORD | CFD | Long | 3,900 | 42.7628 ZAR | |||||
| ORD | CFD | Long | 4,771 | 43.0978 ZAR | |||||
| ORD | CFD | Long | 5,706 | 42.8948 ZAR | |||||
| ORD | CFD | Long | 42,714 | 42.9856 ZAR | |||||
| ORD | CFD | Long | 90,453 | 3.5070 GBP | |||||
| ORD | CFD | Long | 93,297 | 3.5031 GBP | |||||
| ORD | CFD | Long | 127,904 | 42.9934 ZAR | |||||
| ORD | CFD | Long | 159,790 | 3.5072 GBP | |||||
| ORD | CFD | Long | 270,790 | 42.9411 ZAR | |||||
| ORD | CFD | Long | 284,595 | 43.0669 ZAR | |||||
| ORD | CFD | Long | 458,549 | 3.5339 GBP | |||||
| ORD | CFD | Short | 500 | 43.2038 ZAR | |||||
| ORD | CFD | Short | 1,100 | 43.0513 ZAR | |||||
| ORD | CFD | Short | 1,675 | 42.8691 ZAR | |||||
| ORD | CFD | Short | 3,158 | 42.9490 ZAR | |||||
| ORD | CFD | Short | 3,723 | 43.1972 ZAR | |||||
| ORD | CFD | Short | 7,922 | 42.9271 ZAR | |||||
| ORD | CFD | Short | 25,840 | 3.5285 GBP | |||||
| ORD | CFD | Short | 32,659 | 43.1061 ZAR | |||||
| ORD | CFD | Short | 32,709 | 3.5157 GBP | |||||
| ORD | CFD | Short | 81,795 | 3.5096 GBP | |||||
| ORD | CFD | Short | 96,774 | 43.0242 ZAR | |||||
| ORD | CFD | Short | 137,084 | 43.1032 ZAR | |||||
| ORD | CFD | Short | 454,654 | 3.4979 GBP | |||||
| ORD | CFD | Short | 456,885 | 42.9611 ZAR |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
| Class of relevant security | Â | Product description e.g. call option | Â | Writing, purchasing, selling, varying etc. | Â | Number of securities to which option relates | Â | Exercise price per unit | Â |
Type
e.g. American, European etc. |
 | Expiry date |  | Option money paid/ received per unit |
(ii) Exercising
| Class of relevant security | Â |
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 | Â |
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? | Â |
YES |
| Date of disclosure: | Â |
7 Oct 2011 |
| Contact name: | Â | Geoff Smith |
| Telephone number: | Â | 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 “Codeâ€)
1. KEY INFORMATION
| Identity of person whose open positions are being disclosed: | Â |
Barclays PLC. |
| Name of offeror/offeree in relation to whose relevant securities the disclosure relates: |
INVESTEC PLC |
2. OPTIONS AND DERIVATIVES
| 2. | Â | OPTIONS AND DERIVATIVES | Â | Â | Â | Â | Â | Â | Â | Â | Â | Â | |
| Class | Product | Writing, | Number | Exercise | Type | Expiry | |||||||
| of | description | purchasing, | of | price | date | ||||||||
| relevant | selling, | securities | per unit | ||||||||||
| security | varying etc | to which | |||||||||||
| option | |||||||||||||
| Â | Â | Â | relates | Â | Â | Â | |||||||
| 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 (“CFDsâ€) 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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