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:	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	Â	Â
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree	Â	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	26 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		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		43,625,744		8.04%		46,461,125		8.57%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		2,276,280		0.42%		1,486,811		0.27%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		310,000		0.06%		105,000		0.02%
Â		Â		Â		Â		Â		Â
(4)		TOTAL:
				46,212,024		8.52%		48,052,936		8.86%

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)	Â	Purchases and sales	Â	Â	Â	Â
Class of relevant		Purchase/sale		Number of		Price per unit
security		Â		securities		Â
ORD		Purchase		23		3.7440 GBP
ORD		Purchase		33		47.7400 ZAR
ORD		Purchase		94		3.7225 GBP
ORD		Purchase		288		47.5500 ZAR
ORD		Purchase		500		47.1500 ZAR
ORD		Purchase		501		47.6800 ZAR
ORD		Purchase		600		47.0000 ZAR
ORD		Purchase		751		47.6700 ZAR
ORD		Purchase		795		47.4400 ZAR
ORD		Purchase		929		47.7600 ZAR
ORD		Purchase		1,000		47.6400 ZAR
ORD		Purchase		1,000		47.7300 ZAR
ORD		Purchase		1,032		47.5900 ZAR
ORD		Purchase		1,033		47.6600 ZAR
ORD		Purchase		1,033		47.7800 ZAR
ORD		Purchase		1,033		47.7900 ZAR
ORD		Purchase		1,066		47.6500 ZAR
ORD		Purchase		1,114		47.6200 ZAR
ORD		Purchase		1,137		47.7500 ZAR
ORD		Purchase		1,156		3.7061 GBP
ORD		Purchase		1,265		47.2000 ZAR
ORD		Purchase		1,271		47.4000 ZAR
ORD		Purchase		1,872		3.7010 GBP
ORD		Purchase		2,066		47.6300 ZAR
ORD		Purchase		2,300		47.3200 ZAR
ORD		Purchase		3,068		3.7483 GBP
ORD		Purchase		3,365		3.7112 GBP
ORD		Purchase		3,544		47.3900 ZAR
ORD		Purchase		3,976		47.9200 ZAR
ORD		Purchase		4,011		3.7169 GBP
ORD		Purchase		4,132		47.7000 ZAR
ORD		Purchase		4,347		47.3100 ZAR
ORD		Purchase		5,819		47.5600 ZAR
ORD		Purchase		8,854		47.6000 ZAR
ORD		Purchase		8,957		47.2400 ZAR
ORD		Purchase		10,820		47.5000 ZAR
ORD		Purchase		11,248		3.7036 GBP
ORD		Purchase		16,104		3.7275 GBP
ORD		Purchase		24,471		3.7307 GBP
ORD		Purchase		28,792		3.7262 GBP
ORD		Purchase		47,395		3.7292 GBP
ORD		Purchase		72,285		47.3982 ZAR
ORD		Purchase		79,206		3.7301 GBP
ORD		Sale		61		47.0000 ZAR
ORD		Sale		100		47.3400 ZAR
ORD		Sale		161		47.4600 ZAR
ORD		Sale		175		47.7100 ZAR
ORD		Sale		180		3.7275 GBP
ORD		Sale		200		47.1000 ZAR
ORD		Sale		255		47.7000 ZAR
ORD		Sale		294		3.7228 GBP
ORD		Sale		375		47.4800 ZAR
ORD		Sale		413		47.1400 ZAR
ORD		Sale		527		47.6200 ZAR
ORD		Sale		600		47.4300 ZAR
ORD		Sale		603		47.5000 ZAR
ORD		Sale		611		47.7300 ZAR
ORD		Sale		613		47.0700 ZAR
ORD		Sale		700		47.0800 ZAR
ORD		Sale		700		47.3500 ZAR
ORD		Sale		700		47.5100 ZAR
ORD		Sale		853		47.0400 ZAR
ORD		Sale		866		47.2400 ZAR
ORD		Sale		1,227		47.5600 ZAR
ORD		Sale		1,240		47.1600 ZAR
ORD		Sale		1,386		47.6100 ZAR
ORD		Sale		1,438		47.3300 ZAR
ORD		Sale		1,451		47.6700 ZAR
ORD		Sale		1,472		47.5900 ZAR
ORD		Sale		1,533		47.1200 ZAR
ORD		Sale		1,576		47.5500 ZAR
ORD		Sale		1,708		47.2300 ZAR
ORD		Sale		2,354		47.2500 ZAR
ORD		Sale		2,457		47.3200 ZAR
ORD		Sale		2,482		47.5700 ZAR
ORD		Sale		2,804		47.5300 ZAR
ORD		Sale		2,879		3.7364 GBP
ORD		Sale		3,024		47.6500 ZAR
ORD		Sale		3,206		47.1300 ZAR
ORD		Sale		3,300		3.7253 GBP
ORD		Sale		3,679		47.6600 ZAR
ORD		Sale		3,683		47.1800 ZAR
ORD		Sale		3,781		47.3700 ZAR
ORD		Sale		3,865		47.0500 ZAR
ORD		Sale		3,976		47.9200 ZAR
ORD		Sale		4,206		47.6900 ZAR
ORD		Sale		4,278		47.2800 ZAR
ORD		Sale		4,607		47.4400 ZAR
ORD		Sale		4,773		47.6400 ZAR
ORD		Sale		4,869		47.4000 ZAR
ORD		Sale		5,488		47.3800 ZAR
ORD		Sale		6,108		47.1700 ZAR
ORD		Sale		6,945		47.2600 ZAR
ORD		Sale		9,049		3.7255 GBP
ORD		Sale		9,126		47.4200 ZAR
ORD		Sale		9,818		47.6000 ZAR
ORD		Sale		9,958		47.6300 ZAR
ORD		Sale		11,938		3.7189 GBP
ORD		Sale		15,636		47.4500 ZAR
ORD		Sale		17,094		3.7301 GBP
ORD		Sale		34,083		3.7293 GBP
ORD		Sale		128,005		3.7296 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		700		47.4948 ZAR
ORD		CFD		Long		1,743		47.5111 ZAR
ORD		CFD		Long		2,342		3.7224 GBP
ORD		CFD		Long		3,976		47.9046 ZAR
ORD		CFD		Long		7,945		47.4019 ZAR
ORD		CFD		Long		8,320		47.3376 ZAR
ORD		CFD		Long		9,013		3.7044 GBP
ORD		CFD		Long		15,993		3.7400 GBP
ORD		CFD		Long		111,318		47.4079 ZAR
ORD		CFD		Long		113,428		3.7333 GBP
ORD		CFD		Short		1,126		3.7384 GBP
ORD		CFD		Short		2,900		3.7387 GBP
ORD		CFD		Short		3,976		47.6152 ZAR
ORD		CFD		Short		8,957		47.2551 ZAR
ORD		CFD		Short		9,658		3.7296 GBP
ORD		CFD		Short		12,688		47.5094 ZAR
ORD		CFD		Short		20,183		47.5122 ZAR
ORD		CFD		Short		72,285		47.4076 ZAR
ORD		CFD		Short		132,278		3.7286 GBP

(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.

Â

Expiry date

Â

Option money paid/ received per unit

(ii) Exercising

Class of relevant security

Â

Product description e.g. call option

Â

Number of securities

Â

Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Â

Nature of dealing e.g. subscription, conversion

Â

Details

Â

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	27 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 “Code”)

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

Class

Â

Product

Â

Writing,

Â

Number

Â

Exercise

Â

Type

Â

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

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 [phone].

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.