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.   Â
(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	28 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				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		43,478,714		8.02%		46,323,683		8.54%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		1,911,446		0.35%		882,843		0.16%
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:
				45,700,160		8.43%		47,311,526		8.72%

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		105		49.2400 ZAR
ORD		Purchase		189		3.9863 GBP
ORD		Purchase		264		49.0500 ZAR
ORD		Purchase		274		49.1700 ZAR
ORD		Purchase		274		49.4100 ZAR
ORD		Purchase		332		49.4200 ZAR
ORD		Purchase		338		49.3100 ZAR
ORD		Purchase		400		3.9440 GBP
ORD		Purchase		400		49.5300 ZAR
ORD		Purchase		421		49.1600 ZAR
ORD		Purchase		424		49.0100 ZAR
ORD		Purchase		453		48.9900 ZAR
ORD		Purchase		491		49.1800 ZAR
ORD		Purchase		500		49.6500 ZAR
ORD		Purchase		500		49.6700 ZAR
ORD		Purchase		600		3.9417 GBP
ORD		Purchase		628		49.7000 ZAR
ORD		Purchase		777		49.3500 ZAR
ORD		Purchase		848		49.2100 ZAR
ORD		Purchase		894		49.8100 ZAR
ORD		Purchase		897		49.8900 ZAR
ORD		Purchase		975		49.8800 ZAR
ORD		Purchase		987		50.0000 ZAR
ORD		Purchase		1,000		49.0600 ZAR
ORD		Purchase		1,048		49.3700 ZAR
ORD		Purchase		1,082		49.1900 ZAR
ORD		Purchase		1,163		49.2000 ZAR
ORD		Purchase		1,237		49.6800 ZAR
ORD		Purchase		1,474		49.9700 ZAR
ORD		Purchase		1,554		49.9500 ZAR
ORD		Purchase		1,566		49.1100 ZAR
ORD		Purchase		1,607		49.2600 ZAR
ORD		Purchase		1,819		49.4000 ZAR
ORD		Purchase		1,935		49.1500 ZAR
ORD		Purchase		2,000		3.9341 GBP
ORD		Purchase		2,000		49.7700 ZAR
ORD		Purchase		2,000		49.9300 ZAR
ORD		Purchase		2,350		49.9900 ZAR
ORD		Purchase		2,379		49.9000 ZAR
ORD		Purchase		2,709		49.2200 ZAR
ORD		Purchase		2,757		49.5500 ZAR
ORD		Purchase		3,065		49.9600 ZAR
ORD		Purchase		3,086		49.8700 ZAR
ORD		Purchase		3,465		49.9400 ZAR
ORD		Purchase		3,490		49.2300 ZAR
ORD		Purchase		3,892		49.3200 ZAR
ORD		Purchase		5,060		49.2800 ZAR
ORD		Purchase		5,300		49.8500 ZAR
ORD		Purchase		5,800		3.9472 GBP
ORD		Purchase		6,127		49.2900 ZAR
ORD		Purchase		9,338		49.2700 ZAR
ORD		Purchase		12,804		3.9482 GBP
ORD		Purchase		15,268		49.3000 ZAR
ORD		Purchase		18,546		3.9578 GBP
ORD		Purchase		21,839		3.9682 GBP
ORD		Purchase		32,130		49.0000 ZAR
ORD		Purchase		33,670		3.9694 GBP
ORD		Purchase		41,480		3.9740 GBP
ORD		Purchase		74,157		3.9701 GBP
ORD		Purchase		86,186		3.9742 GBP
ORD		Sale		12		3.9380 GBP
ORD		Sale		26		49.2500 ZAR
ORD		Sale		37		49.4600 ZAR
ORD		Sale		112		49.8300 ZAR
ORD		Sale		123		49.9200 ZAR
ORD		Sale		190		49.4000 ZAR
ORD		Sale		200		3.9610 GBP
ORD		Sale		200		49.4500 ZAR
ORD		Sale		230		49.4400 ZAR
ORD		Sale		278		49.1100 ZAR
ORD		Sale		330		49.7200 ZAR
ORD		Sale		400		49.9400 ZAR
ORD		Sale		413		49.2200 ZAR
ORD		Sale		450		49.7600 ZAR
ORD		Sale		469		49.4800 ZAR
ORD		Sale		471		3.9673 GBP
ORD		Sale		500		49.8600 ZAR
ORD		Sale		518		49.5000 ZAR
ORD		Sale		612		3.9345 GBP
ORD		Sale		770		49.1300 ZAR
ORD		Sale		900		49.9800 ZAR
ORD		Sale		901		49.7400 ZAR
ORD		Sale		974		49.1000 ZAR
ORD		Sale		1,000		49.7700 ZAR
ORD		Sale		1,099		49.6900 ZAR
ORD		Sale		1,325		49.1200 ZAR
ORD		Sale		1,329		49.1600 ZAR
ORD		Sale		1,798		49.2400 ZAR
ORD		Sale		1,867		49.9000 ZAR
ORD		Sale		1,940		49.7800 ZAR
ORD		Sale		1,974		49.6200 ZAR
ORD		Sale		2,100		3.9641 GBP
ORD		Sale		2,131		49.2600 ZAR
ORD		Sale		2,137		49.9700 ZAR
ORD		Sale		2,216		49.5700 ZAR
ORD		Sale		2,373		49.6000 ZAR
ORD		Sale		2,387		49.1700 ZAR
ORD		Sale		2,822		3.9463 GBP
ORD		Sale		2,889		49.7900 ZAR
ORD		Sale		2,895		49.5400 ZAR
ORD		Sale		2,918		3.9377 GBP
ORD		Sale		3,116		49.9300 ZAR
ORD		Sale		3,375		49.2700 ZAR
ORD		Sale		3,830		49.1900 ZAR
ORD		Sale		4,086		3.9667 GBP
ORD		Sale		4,280		49.8800 ZAR
ORD		Sale		4,436		49.1800 ZAR
ORD		Sale		4,561		49.5900 ZAR
ORD		Sale		5,064		49.1500 ZAR
ORD		Sale		5,250		49.9500 ZAR
ORD		Sale		5,586		49.8700 ZAR
ORD		Sale		6,011		49.4100 ZAR
ORD		Sale		6,352		49.5800 ZAR
ORD		Sale		6,829		49.9600 ZAR
ORD		Sale		7,339		3.9379 GBP
ORD		Sale		8,198		49.7000 ZAR
ORD		Sale		9,200		49.8500 ZAR
ORD		Sale		11,054		3.9590 GBP
ORD		Sale		13,715		3.9852 GBP
ORD		Sale		14,912		3.9670 GBP
ORD		Sale		18,248		3.9870 GBP
ORD		Sale		19,400		3.9648 GBP
ORD		Sale		20,758		3.9430 GBP
ORD		Sale		52,050		49.5986 ZAR
ORD		Sale		91,673		3.9591 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		471		3.9673 GBP
ORD		CFD		Long		2,205		3.9627 GBP
ORD		CFD		Long		3,047		49.9280 ZAR
ORD		CFD		Long		5,863		3.9404 GBP
ORD		CFD		Long		14,451		3.9579 GBP
ORD		CFD		Long		20,003		3.9723 GBP
ORD		CFD		Long		21,509		49.4615 ZAR
ORD		CFD		Long		24,622		3.9709 GBP
ORD		CFD		Long		25,172		49.5479 ZAR
ORD		CFD		Long		52,050		49.5886 ZAR
ORD		CFD		Long		55,641		49.6830 ZAR
ORD		CFD		Short		1,655		3.9376 GBP
ORD		CFD		Short		5,321		49.8632 ZAR
ORD		CFD		Short		8,804		49.1964 ZAR
ORD		CFD		Short		21,787		49.0196 ZAR
ORD		CFD		Short		24,492		3.9784 GBP
ORD		CFD		Short		33,327		49.6670 ZAR
ORD		CFD		Short		34,453		49.2936 ZAR
ORD		CFD		Short		41,480		3.9740 GBP
ORD		CFD		Short		74,809		3.9798 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:		31 Oct 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 [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.

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. Â

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.