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)	Â	Identity of the person whose positions/dealings	Â	Barclays PLC.
Â		are being disclosed:		Â
(b)		Owner or controller of interest and short
Â		positions disclosed, if different from 1(a):		Â
(c)		Name of offeror/offeree in relation to whose		INVESTEC PLC
Â		relevant securities this form relates:		Â
(d)		If an exempt fund manager connected with an
		offeror/offeree, state this and specify identity of
Â		offeror/offeree:		Â
(e)		Date position held/dealing undertaken:		31 October 2011
(f)		Has the discloser previously disclosed, or are		YES:
		they today disclosing, under the Code in respect		EVOLUTION GROUP PLC
Â		of any other party to this offer?		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	ORD
	Â			Interests			Â	Short Positions
Â		Â		Number	Â	(%)		Number	Â	(%)
(1)		Relevant securities owned
		and/or controlled:		43,568,212		8.03%		46,222,989		8.52%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		2,096,821		0.39%		1,283,242		0.24%
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:
				45,975,033		8.48%		47,611,231		8.78%

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		70		48.5100 ZAR
ORD		Purchase		108		48.2800 ZAR
ORD		Purchase		200		48.9900 ZAR
ORD		Purchase		229		49.0700 ZAR
ORD		Purchase		277		48.1600 ZAR
ORD		Purchase		321		49.1000 ZAR
ORD		Purchase		348		49.1900 ZAR
ORD		Purchase		376		48.2900 ZAR
ORD		Purchase		382		49.0500 ZAR
ORD		Purchase		470		49.1400 ZAR
ORD		Purchase		500		48.9300 ZAR
ORD		Purchase		600		49.0600 ZAR
ORD		Purchase		685		49.0200 ZAR
ORD		Purchase		693		48.3300 ZAR
ORD		Purchase		733		48.2300 ZAR
ORD		Purchase		753		48.6400 ZAR
ORD		Purchase		790		48.2100 ZAR
ORD		Purchase		830		48.1500 ZAR
ORD		Purchase		869		49.0800 ZAR
ORD		Purchase		884		49.1600 ZAR
ORD		Purchase		895		48.8200 ZAR
ORD		Purchase		950		48.9000 ZAR
ORD		Purchase		962		49.0300 ZAR
ORD		Purchase		1,000		48.7800 ZAR
ORD		Purchase		1,033		48.5200 ZAR
ORD		Purchase		1,044		49.1800 ZAR
ORD		Purchase		1,162		49.1300 ZAR
ORD		Purchase		1,173		48.4700 ZAR
ORD		Purchase		1,204		48.3500 ZAR
ORD		Purchase		1,224		48.4400 ZAR
ORD		Purchase		1,257		3.8352 GBP
ORD		Purchase		1,385		49.0400 ZAR
ORD		Purchase		1,500		48.6200 ZAR
ORD		Purchase		1,700		48.8300 ZAR
ORD		Purchase		2,000		48.2600 ZAR
ORD		Purchase		2,046		48.4300 ZAR
ORD		Purchase		2,183		48.8400 ZAR
ORD		Purchase		2,277		49.0900 ZAR
ORD		Purchase		2,395		48.6100 ZAR
ORD		Purchase		2,485		48.4600 ZAR
ORD		Purchase		2,571		48.2200 ZAR
ORD		Purchase		2,600		48.8600 ZAR
ORD		Purchase		2,681		48.4800 ZAR
ORD		Purchase		2,761		48.4500 ZAR
ORD		Purchase		2,850		3.7840 GBP
ORD		Purchase		2,912		48.2500 ZAR
ORD		Purchase		2,953		48.3400 ZAR
ORD		Purchase		3,114		49.1500 ZAR
ORD		Purchase		3,230		48.6700 ZAR
ORD		Purchase		3,445		3.8961 GBP
ORD		Purchase		4,000		48.1800 ZAR
ORD		Purchase		4,036		48.1900 ZAR
ORD		Purchase		4,351		48.2700 ZAR
ORD		Purchase		4,411		3.8363 GBP
ORD		Purchase		4,847		49.2200 ZAR
ORD		Purchase		4,943		49.0100 ZAR
ORD		Purchase		4,984		49.1700 ZAR
ORD		Purchase		5,200		48.6600 ZAR
ORD		Purchase		5,500		48.6500 ZAR
ORD		Purchase		5,650		48.4200 ZAR
ORD		Purchase		6,179		48.8100 ZAR
ORD		Purchase		6,468		48.1700 ZAR
ORD		Purchase		8,641		48.2000 ZAR
ORD		Purchase		9,876		48.3100 ZAR
ORD		Purchase		11,121		3.8685 GBP
ORD		Purchase		13,067		49.2000 ZAR
ORD		Purchase		13,523		3.8348 GBP
ORD		Purchase		14,930		3.8947 GBP
ORD		Purchase		22,475		3.8701 GBP
ORD		Purchase		22,746		3.8560 GBP
ORD		Purchase		24,689		49.0000 ZAR
ORD		Purchase		26,682		48.3000 ZAR
ORD		Purchase		34,768		3.8366 GBP
ORD		Purchase		41,731		3.9081 GBP
ORD		Purchase		96,554		3.8528 GBP
ORD		Purchase		108,078		3.8642 GBP
ORD		Purchase		121,354		48.8217 ZAR
ORD		Purchase		211,347		3.8669 GBP
ORD		Sale		2		49.2500 ZAR
ORD		Sale		13		48.6800 ZAR
ORD		Sale		293		48.6400 ZAR
ORD		Sale		306		49.0600 ZAR
ORD		Sale		360		48.2300 ZAR
ORD		Sale		383		48.2900 ZAR
ORD		Sale		400		3.9130 GBP
ORD		Sale		400		48.3800 ZAR
ORD		Sale		413		48.7000 ZAR
ORD		Sale		481		48.2400 ZAR
ORD		Sale		500		49.0800 ZAR
ORD		Sale		601		48.8900 ZAR
ORD		Sale		636		49.0200 ZAR
ORD		Sale		642		48.2200 ZAR
ORD		Sale		703		48.7300 ZAR
ORD		Sale		809		48.5900 ZAR
ORD		Sale		824		48.2000 ZAR
ORD		Sale		1,000		48.1900 ZAR
ORD		Sale		1,000		48.2500 ZAR
ORD		Sale		1,000		49.2200 ZAR
ORD		Sale		1,000		49.2400 ZAR
ORD		Sale		1,001		48.5400 ZAR
ORD		Sale		1,126		48.9600 ZAR
ORD		Sale		1,194		48.9100 ZAR
ORD		Sale		1,378		48.4900 ZAR
ORD		Sale		1,400		48.4700 ZAR
ORD		Sale		1,402		48.4800 ZAR
ORD		Sale		1,500		48.2800 ZAR
ORD		Sale		1,500		48.8100 ZAR
ORD		Sale		1,617		48.8200 ZAR
ORD		Sale		1,675		48.3300 ZAR
ORD		Sale		1,872		48.6000 ZAR
ORD		Sale		1,883		48.8400 ZAR
ORD		Sale		1,911		48.3900 ZAR
ORD		Sale		1,988		48.3100 ZAR
ORD		Sale		1,998		49.2000 ZAR
ORD		Sale		2,000		48.8300 ZAR
ORD		Sale		2,066		48.5600 ZAR
ORD		Sale		2,080		48.4000 ZAR
ORD		Sale		2,125		48.4300 ZAR
ORD		Sale		2,413		48.4500 ZAR
ORD		Sale		2,600		48.8600 ZAR
ORD		Sale		2,922		48.4400 ZAR
ORD		Sale		3,046		48.5000 ZAR
ORD		Sale		3,190		48.8700 ZAR
ORD		Sale		3,230		48.4600 ZAR
ORD		Sale		3,240		48.3400 ZAR
ORD		Sale		3,540		48.2600 ZAR
ORD		Sale		3,983		48.2700 ZAR
ORD		Sale		4,145		48.3700 ZAR
ORD		Sale		5,012		48.4200 ZAR
ORD		Sale		5,487		48.8800 ZAR
ORD		Sale		7,087		3.7840 GBP
ORD		Sale		7,295		48.5200 ZAR
ORD		Sale		8,611		48.5100 ZAR
ORD		Sale		10,379		3.8830 GBP
ORD		Sale		10,379		3.8880 GBP
ORD		Sale		17,544		3.8486 GBP
ORD		Sale		21,173		3.7910 GBP
ORD		Sale		33,716		3.8816 GBP
ORD		Sale		50,712		48.3000 ZAR
ORD		Sale		104,306		3.8765 GBP
ORD		Sale		361,592		3.8872 GBP

(b) Derivatives transactions (other than options)

Class of	Â	Product	Â	Nature of dealing	Â	Number of	Â	Price per
relevant		description		e.g. opening/closing a long/short position,		reference		unit
security		Â		increasing/reducing a long/short position		securities		Â
ORD		CFD		Long		48		49.0004 ZAR
ORD		CFD		Long		1,358		48.2439 ZAR
ORD		CFD		Long		1,649		48.6353 ZAR
ORD		CFD		Long		2,798		48.2598 ZAR
ORD		CFD		Long		5,155		3.8938 GBP
ORD		CFD		Long		24,517		3.8455 GBP
ORD		CFD		Long		39,215		48.2806 ZAR
ORD		CFD		Long		51,612		3.8846 GBP
ORD		CFD		Long		64,126		48.5361 ZAR
ORD		CFD		Long		278,603		3.8954 GBP
ORD		CFD		Short		1,824		3.8104 GBP
ORD		CFD		Short		2,380		3.8776 GBP
ORD		CFD		Short		3,908		48.8695 ZAR
ORD		CFD		Short		4,403		48.7854 ZAR
ORD		CFD		Short		7,185		3.8985 GBP
ORD		CFD		Short		9,798		3.8947 GBP
ORD		CFD		Short		13,215		3.8508 GBP
ORD		CFD		Short		31,175		48.6492 ZAR
ORD		CFD		Short		46,096		3.8773 GBP
ORD		CFD		Short		96,554		3.8528 GBP
ORD		CFD		Short		121,354		48.8314 ZAR
ORD		CFD		Short		150,876		48.6489 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.

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	1 Nov 2011
Contact name:	Â	Geoff Smith
Telephone number:	Â	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 the person whose positions/dealings	Â	Barclays PLC.
are being disclosed:		Â
Name of offeror/offeree in relation to whose		INVESTEC PLC
relevant securities this from relates:		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.