6th Sep 2011 13:18
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 | Barclays PLC. | ||
| are being disclosed: | ||||
| (b) | Owner or controller of interest and short | |||
| positions disclosed, if different from 1(a): | ||||
| (c) | Name of offeror/offeree in relation to whose | INVESTEC PLC | ||
| relevant securities this form relates: | ||||
| (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: | 5 September 2011 | ||
| (f) | Has the discloser previously disclosed, or are | YES: | ||
| they today disclosing, under the Code in respect | CANACCORD FINANCIAL INC | |||
| of any other party to this offer? | CANACCORD FINL INC | |||
| 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: | 39,884,993 | 7.35% | 42,008,257 | 7.74% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 3,820,265 | 0.70% | 3,457,115 | 0.64% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 1,072,000 | 0.20% | 0 | 0.00% | |||||||
| (4) | TOTAL: | ||||||||||
| 44,777,258 | 8.26% | 45,465,372 | 8.38% |
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 | 255 | 48.1900 ZAR | ||||
| ORD | Purchase | 280 | 47.8900 ZAR | ||||
| ORD | Purchase | 308 | 47.9000 ZAR | ||||
| ORD | Purchase | 546 | 48.0700 ZAR | ||||
| ORD | Purchase | 600 | 48.4200 ZAR | ||||
| ORD | Purchase | 676 | 48.0800 ZAR | ||||
| ORD | Purchase | 730 | 48.0500 ZAR | ||||
| ORD | Purchase | 800 | 48.2000 ZAR | ||||
| ORD | Purchase | 827 | 48.4600 ZAR | ||||
| ORD | Purchase | 1,264 | 48.0400 ZAR | ||||
| ORD | Purchase | 1,383 | 48.4300 ZAR | ||||
| ORD | Purchase | 1,431 | 48.3700 ZAR | ||||
| ORD | Purchase | 1,545 | 48.1800 ZAR | ||||
| ORD | Purchase | 1,700 | 47.9700 ZAR | ||||
| ORD | Purchase | 1,700 | 48.0000 ZAR | ||||
| ORD | Purchase | 1,800 | 47.9500 ZAR | ||||
| ORD | Purchase | 1,833 | 48.0100 ZAR | ||||
| ORD | Purchase | 3,613 | 48.0200 ZAR | ||||
| ORD | Purchase | 4,000 | 48.5200 ZAR | ||||
| ORD | Purchase | 4,008 | 48.4000 ZAR | ||||
| ORD | Purchase | 6,859 | 48.1400 ZAR | ||||
| ORD | Purchase | 11,060 | 4.1997 GBP | ||||
| ORD | Purchase | 16,839 | 4.1952 GBP | ||||
| ORD | Purchase | 17,917 | 48.5000 ZAR | ||||
| ORD | Purchase | 40,430 | 4.2006 GBP | ||||
| ORD | Purchase | 126,167 | 4.2004 GBP | ||||
| ORD | Purchase | 428,915 | 4.2013 GBP | ||||
| ORD | Purchase | 895,000 | 48.8300 ZAR | ||||
| ORD | Sale | 127 | 47.9200 ZAR | ||||
| ORD | Sale | 205 | 48.3200 ZAR | ||||
| ORD | Sale | 224 | 48.4100 ZAR | ||||
| ORD | Sale | 240 | 48.3600 ZAR | ||||
| ORD | Sale | 283 | 47.8900 ZAR | ||||
| ORD | Sale | 370 | 48.5500 ZAR | ||||
| ORD | Sale | 469 | 48.6000 ZAR | ||||
| ORD | Sale | 506 | 47.8700 ZAR | ||||
| ORD | Sale | 800 | 48.5900 ZAR | ||||
| ORD | Sale | 826 | 47.9000 ZAR | ||||
| ORD | Sale | 861 | 48.4600 ZAR | ||||
| ORD | Sale | 1,000 | 48.3700 ZAR | ||||
| ORD | Sale | 1,137 | 48.2800 ZAR | ||||
| ORD | Sale | 1,267 | 48.2700 ZAR | ||||
| ORD | Sale | 1,280 | 48.4800 ZAR | ||||
| ORD | Sale | 1,285 | 47.9100 ZAR | ||||
| ORD | Sale | 1,383 | 48.4300 ZAR | ||||
| ORD | Sale | 1,516 | 48.2400 ZAR | ||||
| ORD | Sale | 1,785 | 48.1700 ZAR | ||||
| ORD | Sale | 1,806 | 48.5000 ZAR | ||||
| ORD | Sale | 2,312 | 47.9700 ZAR | ||||
| ORD | Sale | 2,366 | 48.4400 ZAR | ||||
| ORD | Sale | 3,052 | 4.2007 GBP | ||||
| ORD | Sale | 3,563 | 47.9600 ZAR | ||||
| ORD | Sale | 3,622 | 48.2900 ZAR | ||||
| ORD | Sale | 3,828 | 48.2200 ZAR | ||||
| ORD | Sale | 4,112 | 48.3500 ZAR | ||||
| ORD | Sale | 4,400 | 48.4900 ZAR | ||||
| ORD | Sale | 4,546 | 48.0700 ZAR | ||||
| ORD | Sale | 4,700 | 48.1200 ZAR | ||||
| ORD | Sale | 4,900 | 48.5100 ZAR | ||||
| ORD | Sale | 5,107 | 48.0100 ZAR | ||||
| ORD | Sale | 5,110 | 48.2100 ZAR | ||||
| ORD | Sale | 5,344 | 48.2500 ZAR | ||||
| ORD | Sale | 6,079 | 48.4000 ZAR | ||||
| ORD | Sale | 6,086 | 48.3300 ZAR | ||||
| ORD | Sale | 6,200 | 48.1300 ZAR | ||||
| ORD | Sale | 6,517 | 48.3100 ZAR | ||||
| ORD | Sale | 6,771 | 48.4200 ZAR | ||||
| ORD | Sale | 6,908 | 48.0600 ZAR | ||||
| ORD | Sale | 7,355 | 48.1900 ZAR | ||||
| ORD | Sale | 7,463 | 48.0500 ZAR | ||||
| ORD | Sale | 7,500 | 48.1400 ZAR | ||||
| ORD | Sale | 7,602 | 48.0200 ZAR | ||||
| ORD | Sale | 8,000 | 48.0900 ZAR | ||||
| ORD | Sale | 9,005 | 48.4500 ZAR | ||||
| ORD | Sale | 9,557 | 48.0800 ZAR | ||||
| ORD | Sale | 9,892 | 48.3400 ZAR | ||||
| ORD | Sale | 10,436 | 47.9500 ZAR | ||||
| ORD | Sale | 11,444 | 48.0400 ZAR | ||||
| ORD | Sale | 11,915 | 4.2094 GBP | ||||
| ORD | Sale | 12,349 | 48.1800 ZAR | ||||
| ORD | Sale | 14,378 | 48.1000 ZAR | ||||
| ORD | Sale | 15,910 | 48.1100 ZAR | ||||
| ORD | Sale | 15,916 | 4.2069 GBP | ||||
| ORD | Sale | 17,000 | 48.2300 ZAR | ||||
| ORD | Sale | 19,627 | 48.1500 ZAR | ||||
| ORD | Sale | 20,201 | 48.0000 ZAR | ||||
| ORD | Sale | 44,933 | 4.2090 GBP | ||||
| ORD | Sale | 46,571 | 48.3000 ZAR | ||||
| ORD | Sale | 52,204 | 48.2000 ZAR | ||||
| ORD | Sale | 191,206 | 4.2000 GBP | ||||
| ORD | Sale | 206,759 | 48.1552 ZAR | ||||
| ORD | Sale | 895,000 | 48.8300 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 | 370 | 48.5344 ZAR | |||||
| ORD | CFD | Long | 1,733 | 48.1968 ZAR | |||||
| ORD | CFD | Long | 4,326 | 4.2041 GBP | |||||
| ORD | CFD | Long | 10,742 | 4.1954 GBP | |||||
| ORD | CFD | Long | 17,798 | 48.1105 ZAR | |||||
| ORD | CFD | Long | 19,936 | 48.3135 ZAR | |||||
| ORD | CFD | Long | 44,872 | 4.1867 GBP | |||||
| ORD | CFD | Long | 50,373 | 4.2010 GBP | |||||
| ORD | CFD | Long | 59,894 | 4.2163 GBP | |||||
| ORD | CFD | Long | 206,759 | 48.1454 ZAR | |||||
| ORD | CFD | Long | 337,567 | 48.1777 ZAR | |||||
| ORD | CFD | Long | 895,000 | 4.2640 GBP | |||||
| ORD | CFD | Long | 941,416 | 48.8214 ZAR | |||||
| ORD | CFD | Short | 280 | 47.9053 ZAR | |||||
| ORD | CFD | Short | 295 | 4.1962 GBP | |||||
| ORD | CFD | Short | 370 | 48.0953 ZAR | |||||
| ORD | CFD | Short | 922 | 4.1989 GBP | |||||
| ORD | CFD | Short | 3,212 | 4.2091 GBP | |||||
| ORD | CFD | Short | 4,300 | 47.9905 ZAR | |||||
| ORD | CFD | Short | 6,744 | 48.0344 ZAR | |||||
| ORD | CFD | Short | 7,438 | 4.1982 GBP | |||||
| ORD | CFD | Short | 14,247 | 4.2002 GBP | |||||
| ORD | CFD | Short | 34,722 | 48.4294 ZAR | |||||
| ORD | CFD | Short | 35,634 | 4.1957 GBP | |||||
| ORD | CFD | Short | 543,221 | 4.2015 GBP | |||||
| ORD | CFD | Short | 584,163 | 48.1689 ZAR | |||||
| ORD | CFD | Short | 895,000 | 48.8348 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: | 6 Sep 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 [email protected]. 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 the person whose positions/dealings | Barclays PLC. | |
| are being disclosed: | ||
| Name of offeror/offeree in relation to whose | INVESTEC | |
| relevant securities this from relates: |
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 | 100,000 | 5,200.0000 | American | 15 Sep 2011 | |||||||
| ORD | Call Options | Purchased | 972,000 | 5,800.0000 | American | 15 Sep 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.
Copyright Business Wire 2011
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