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	27 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?	Â	YES: EVOLUTION GROUP PLC INVESTEC LIMITED Â

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:		43,473,256		8.01%		46,374,551		8.55%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		1,997,250		0.37%		1,001,280		0.18%
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:
				45,780,506		8.44%		47,480,831		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:	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		26		48.4200 ZAR
ORD		Purchase		30		48.7400 ZAR
ORD		Purchase		190		48.5000 ZAR
ORD		Purchase		216		49.0900 ZAR
ORD		Purchase		400		48.6000 ZAR
ORD		Purchase		447		49.0300 ZAR
ORD		Purchase		500		48.4400 ZAR
ORD		Purchase		504		48.6900 ZAR
ORD		Purchase		508		3.9641 GBP
ORD		Purchase		510		48.8400 ZAR
ORD		Purchase		700		48.8300 ZAR
ORD		Purchase		713		48.4700 ZAR
ORD		Purchase		752		49.0100 ZAR
ORD		Purchase		1,017		48.1600 ZAR
ORD		Purchase		1,030		47.7100 ZAR
ORD		Purchase		1,303		3.9150 GBP
ORD		Purchase		1,313		48.6100 ZAR
ORD		Purchase		1,494		49.0500 ZAR
ORD		Purchase		1,500		48.4600 ZAR
ORD		Purchase		1,710		48.7600 ZAR
ORD		Purchase		1,816		48.9100 ZAR
ORD		Purchase		1,889		47.6100 ZAR
ORD		Purchase		2,079		47.8800 ZAR
ORD		Purchase		2,100		48.7900 ZAR
ORD		Purchase		2,118		48.7500 ZAR
ORD		Purchase		2,142		48.8700 ZAR
ORD		Purchase		2,143		48.5900 ZAR
ORD		Purchase		2,342		48.8000 ZAR
ORD		Purchase		2,406		48.8200 ZAR
ORD		Purchase		2,430		48.9900 ZAR
ORD		Purchase		2,465		48.8800 ZAR
ORD		Purchase		2,700		48.9600 ZAR
ORD		Purchase		2,874		49.0200 ZAR
ORD		Purchase		2,895		48.8900 ZAR
ORD		Purchase		2,942		48.8500 ZAR
ORD		Purchase		3,084		48.9800 ZAR
ORD		Purchase		3,182		48.4800 ZAR
ORD		Purchase		3,205		48.8600 ZAR
ORD		Purchase		3,857		48.4500 ZAR
ORD		Purchase		3,971		48.9700 ZAR
ORD		Purchase		4,158		48.3500 ZAR
ORD		Purchase		5,361		48.9300 ZAR
ORD		Purchase		6,000		47.9000 ZAR
ORD		Purchase		6,449		48.9400 ZAR
ORD		Purchase		7,545		48.9000 ZAR
ORD		Purchase		7,928		49.0000 ZAR
ORD		Purchase		8,316		49.0600 ZAR
ORD		Purchase		11,453		3.9093 GBP
ORD		Purchase		14,262		3.9019 GBP
ORD		Purchase		16,299		48.9500 ZAR
ORD		Purchase		20,081		49.4000 ZAR
ORD		Purchase		20,870		3.9351 GBP
ORD		Purchase		22,837		48.9200 ZAR
ORD		Purchase		33,030		3.9268 GBP
ORD		Purchase		60,300		3.9267 GBP
ORD		Purchase		62,310		48.6608 ZAR
ORD		Purchase		133,111		3.9260 GBP
ORD		Purchase		390,198		3.9215 GBP
ORD		Sale		19		48.2000 ZAR
ORD		Sale		93		3.9560 GBP
ORD		Sale		95		49.1100 ZAR
ORD		Sale		98		48.5800 ZAR
ORD		Sale		216		49.0900 ZAR
ORD		Sale		233		48.7700 ZAR
ORD		Sale		234		47.7800 ZAR
ORD		Sale		252		48.7100 ZAR
ORD		Sale		410		48.7900 ZAR
ORD		Sale		411		48.7800 ZAR
ORD		Sale		413		47.9600 ZAR
ORD		Sale		413		48.0000 ZAR
ORD		Sale		413		48.0100 ZAR
ORD		Sale		413		48.1300 ZAR
ORD		Sale		413		48.1700 ZAR
ORD		Sale		420		47.5000 ZAR
ORD		Sale		523		47.6100 ZAR
ORD		Sale		640		49.0400 ZAR
ORD		Sale		821		48.8000 ZAR
ORD		Sale		826		48.8100 ZAR
ORD		Sale		826		49.1400 ZAR
ORD		Sale		932		48.4500 ZAR
ORD		Sale		1,033		47.8200 ZAR
ORD		Sale		1,079		48.7600 ZAR
ORD		Sale		1,110		48.8700 ZAR
ORD		Sale		1,204		47.7700 ZAR
ORD		Sale		1,220		49.2400 ZAR
ORD		Sale		1,240		49.2200 ZAR
ORD		Sale		1,261		3.9573 GBP
ORD		Sale		1,323		49.2300 ZAR
ORD		Sale		1,362		48.8600 ZAR
ORD		Sale		1,400		48.2800 ZAR
ORD		Sale		1,500		49.1500 ZAR
ORD		Sale		1,500		49.2600 ZAR
ORD		Sale		1,534		48.8800 ZAR
ORD		Sale		1,556		48.8500 ZAR
ORD		Sale		1,586		48.8300 ZAR
ORD		Sale		1,600		48.5900 ZAR
ORD		Sale		1,672		48.1900 ZAR
ORD		Sale		2,065		48.0900 ZAR
ORD		Sale		2,065		48.1400 ZAR
ORD		Sale		2,066		47.5900 ZAR
ORD		Sale		2,066		48.0700 ZAR
ORD		Sale		2,179		48.2400 ZAR
ORD		Sale		2,487		3.9582 GBP
ORD		Sale		2,699		3.9710 GBP
ORD		Sale		2,742		48.9800 ZAR
ORD		Sale		2,926		47.6000 ZAR
ORD		Sale		2,961		49.2100 ZAR
ORD		Sale		3,010		49.0500 ZAR
ORD		Sale		3,312		48.8200 ZAR
ORD		Sale		3,548		48.7500 ZAR
ORD		Sale		3,772		49.0300 ZAR
ORD		Sale		4,413		48.1100 ZAR
ORD		Sale		4,413		48.9700 ZAR
ORD		Sale		4,489		48.9600 ZAR
ORD		Sale		4,546		49.1000 ZAR
ORD		Sale		4,826		47.9900 ZAR
ORD		Sale		4,826		49.0700 ZAR
ORD		Sale		4,905		48.9300 ZAR
ORD		Sale		5,000		47.5500 ZAR
ORD		Sale		5,081		48.2500 ZAR
ORD		Sale		5,459		48.0400 ZAR
ORD		Sale		5,814		3.9494 GBP
ORD		Sale		5,814		48.0500 ZAR
ORD		Sale		6,700		3.9430 GBP
ORD		Sale		7,732		49.1700 ZAR
ORD		Sale		7,881		48.8900 ZAR
ORD		Sale		8,050		48.0800 ZAR
ORD		Sale		8,118		48.9400 ZAR
ORD		Sale		9,097		48.9900 ZAR
ORD		Sale		9,891		3.8993 GBP
ORD		Sale		9,946		49.0800 ZAR
ORD		Sale		10,435		49.1900 ZAR
ORD		Sale		11,135		49.0600 ZAR
ORD		Sale		12,042		48.9100 ZAR
ORD		Sale		12,941		49.0200 ZAR
ORD		Sale		13,406		3.9070 GBP
ORD		Sale		14,357		49.2000 ZAR
ORD		Sale		15,389		48.9200 ZAR
ORD		Sale		15,762		48.1000 ZAR
ORD		Sale		16,838		48.0600 ZAR
ORD		Sale		20,857		3.9348 GBP
ORD		Sale		21,449		48.9500 ZAR
ORD		Sale		23,515		48.9000 ZAR
ORD		Sale		24,168		49.0100 ZAR
ORD		Sale		24,576		3.9549 GBP
ORD		Sale		28,901		49.4000 ZAR
ORD		Sale		31,309		3.9007 GBP
ORD		Sale		31,572		3.9513 GBP
ORD		Sale		32,400		49.0000 ZAR
ORD		Sale		38,743		48.9194 ZAR
ORD		Sale		56,265		3.9547 GBP
ORD		Sale		62,881		3.9040 GBP
ORD		Sale		73,059		3.9049 GBP
ORD		Sale		174,732		3.9159 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		1,030		48.4468 ZAR
ORD		CFD		Long		1,261		3.9573 GBP
ORD		CFD		Long		6,458		3.9491 GBP
ORD		CFD		Long		6,864		49.3841 ZAR
ORD		CFD		Long		7,398		3.9624 GBP
ORD		CFD		Long		16,806		49.3802 ZAR
ORD		CFD		Long		22,566		48.8208 ZAR
ORD		CFD		Long		32,010		3.9193 GBP
ORD		CFD		Long		35,728		48.9412 ZAR
ORD		CFD		Long		163,848		3.8993 GBP
ORD		CFD		Long		318,211		48.7267 ZAR
ORD		CFD		Short		185		48.9156 ZAR
ORD		CFD		Short		1,030		47.7252 ZAR
ORD		CFD		Short		2,465		48.8956 ZAR
ORD		CFD		Short		8,633		3.8848 GBP
ORD		CFD		Short		9,320		3.8443 GBP
ORD		CFD		Short		9,542		3.9252 GBP
ORD		CFD		Short		17,062		3.9028 GBP
ORD		CFD		Short		30,483		3.9238 GBP
ORD		CFD		Short		35,691		48.8986 ZAR
ORD		CFD		Short		46,564		48.7445 ZAR
ORD		CFD		Short		62,310		48.6704 ZAR
ORD		CFD		Short		372,473		3.9174 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	28 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.

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 [e-mail]. 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.