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	1 November 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:		43,580,400		8.03%		46,236,641		8.52%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		1,752,311		0.32%		599,785		0.11%
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:
				45,642,711		8.41%		46,941,426		8.65%

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		27		3.6650 GBP
ORD		Purchase		100		46.6300 ZAR
ORD		Purchase		100		46.8600 ZAR
ORD		Purchase		100		47.0100 ZAR
ORD		Purchase		117		47.4000 ZAR
ORD		Purchase		141		46.9500 ZAR
ORD		Purchase		200		46.4200 ZAR
ORD		Purchase		200		46.8200 ZAR
ORD		Purchase		200		47.0200 ZAR
ORD		Purchase		200		47.0300 ZAR
ORD		Purchase		200		47.0700 ZAR
ORD		Purchase		200		47.2400 ZAR
ORD		Purchase		200		47.3900 ZAR
ORD		Purchase		300		46.6400 ZAR
ORD		Purchase		300		46.9700 ZAR
ORD		Purchase		300		47.0900 ZAR
ORD		Purchase		300		47.2100 ZAR
ORD		Purchase		312		3.6550 GBP
ORD		Purchase		350		46.7200 ZAR
ORD		Purchase		400		46.4800 ZAR
ORD		Purchase		400		46.5000 ZAR
ORD		Purchase		400		46.9000 ZAR
ORD		Purchase		400		46.9300 ZAR
ORD		Purchase		404		47.2300 ZAR
ORD		Purchase		414		47.3600 ZAR
ORD		Purchase		456		47.3700 ZAR
ORD		Purchase		471		47.2900 ZAR
ORD		Purchase		500		46.7800 ZAR
ORD		Purchase		500		46.7900 ZAR
ORD		Purchase		500		47.7000 ZAR
ORD		Purchase		503		3.7217 GBP
ORD		Purchase		536		46.7000 ZAR
ORD		Purchase		543		46.5200 ZAR
ORD		Purchase		560		46.6200 ZAR
ORD		Purchase		600		46.8100 ZAR
ORD		Purchase		687		47.3200 ZAR
ORD		Purchase		801		47.6400 ZAR
ORD		Purchase		810		47.2800 ZAR
ORD		Purchase		896		46.9900 ZAR
ORD		Purchase		899		3.6816 GBP
ORD		Purchase		980		46.3600 ZAR
ORD		Purchase		1,010		47.9000 ZAR
ORD		Purchase		1,011		47.1900 ZAR
ORD		Purchase		1,041		47.0600 ZAR
ORD		Purchase		1,093		47.4100 ZAR
ORD		Purchase		1,100		47.1000 ZAR
ORD		Purchase		1,109		46.7700 ZAR
ORD		Purchase		1,113		3.5926 GBP
ORD		Purchase		1,125		46.9400 ZAR
ORD		Purchase		1,136		46.6600 ZAR
ORD		Purchase		1,216		47.0400 ZAR
ORD		Purchase		1,226		47.3500 ZAR
ORD		Purchase		1,276		46.9800 ZAR
ORD		Purchase		1,298		47.3100 ZAR
ORD		Purchase		1,433		46.9100 ZAR
ORD		Purchase		1,459		46.9600 ZAR
ORD		Purchase		1,620		47.2200 ZAR
ORD		Purchase		1,625		47.1700 ZAR
ORD		Purchase		1,665		47.7700 ZAR
ORD		Purchase		1,683		46.7600 ZAR
ORD		Purchase		1,829		46.8700 ZAR
ORD		Purchase		1,887		47.1400 ZAR
ORD		Purchase		1,930		46.4600 ZAR
ORD		Purchase		1,962		46.5600 ZAR
ORD		Purchase		2,093		46.8400 ZAR
ORD		Purchase		2,172		46.7500 ZAR
ORD		Purchase		2,201		46.6500 ZAR
ORD		Purchase		2,518		47.3400 ZAR
ORD		Purchase		2,800		46.3900 ZAR
ORD		Purchase		2,825		46.8300 ZAR
ORD		Purchase		2,921		46.9200 ZAR
ORD		Purchase		3,531		47.2500 ZAR
ORD		Purchase		3,770		46.7400 ZAR
ORD		Purchase		3,831		46.7300 ZAR
ORD		Purchase		4,170		46.8000 ZAR
ORD		Purchase		4,368		3.5904 GBP
ORD		Purchase		4,540		47.0000 ZAR
ORD		Purchase		4,704		47.1100 ZAR
ORD		Purchase		5,042		46.7100 ZAR
ORD		Purchase		6,177		46.8500 ZAR
ORD		Purchase		8,073		47.3300 ZAR
ORD		Purchase		10,244		47.3000 ZAR
ORD		Purchase		16,710		3.6142 GBP
ORD		Purchase		18,367		3.6491 GBP
ORD		Purchase		22,089		3.5910 GBP
ORD		Purchase		39,240		3.6459 GBP
ORD		Purchase		75,547		3.5924 GBP
ORD		Purchase		88,607		3.6251 GBP
ORD		Purchase		183,825		3.6349 GBP
ORD		Purchase		380,129		3.6381 GBP
ORD		Sale		27		47.9700 ZAR
ORD		Sale		28		3.5661 GBP
ORD		Sale		28		47.9800 ZAR
ORD		Sale		34		47.8700 ZAR
ORD		Sale		58		3.5712 GBP
ORD		Sale		83		47.0000 ZAR
ORD		Sale		100		46.7000 ZAR
ORD		Sale		174		48.3300 ZAR
ORD		Sale		200		47.6200 ZAR
ORD		Sale		200		48.1500 ZAR
ORD		Sale		204		47.0400 ZAR
ORD		Sale		248		46.6500 ZAR
ORD		Sale		300		3.6113 GBP
ORD		Sale		300		46.6400 ZAR
ORD		Sale		300		48.0600 ZAR
ORD		Sale		311		46.9400 ZAR
ORD		Sale		324		46.4600 ZAR
ORD		Sale		341		47.3500 ZAR
ORD		Sale		405		47.8600 ZAR
ORD		Sale		434		47.7400 ZAR
ORD		Sale		449		48.4000 ZAR
ORD		Sale		456		47.3700 ZAR
ORD		Sale		470		48.4500 ZAR
ORD		Sale		471		46.7900 ZAR
ORD		Sale		500		47.9500 ZAR
ORD		Sale		545		3.6383 GBP
ORD		Sale		645		46.9300 ZAR
ORD		Sale		702		46.7400 ZAR
ORD		Sale		800		47.6400 ZAR
ORD		Sale		803		46.6200 ZAR
ORD		Sale		826		48.2900 ZAR
ORD		Sale		864		47.7000 ZAR
ORD		Sale		914		46.4500 ZAR
ORD		Sale		1,000		46.7100 ZAR
ORD		Sale		1,043		47.1600 ZAR
ORD		Sale		1,120		47.6000 ZAR
ORD		Sale		1,162		47.7200 ZAR
ORD		Sale		1,413		48.2800 ZAR
ORD		Sale		1,433		46.7700 ZAR
ORD		Sale		1,510		47.2100 ZAR
ORD		Sale		1,522		47.1300 ZAR
ORD		Sale		1,548		46.5700 ZAR
ORD		Sale		1,580		46.4900 ZAR
ORD		Sale		1,588		46.9000 ZAR
ORD		Sale		1,631		46.8900 ZAR
ORD		Sale		1,678		47.8500 ZAR
ORD		Sale		1,696		46.9700 ZAR
ORD		Sale		1,748		47.1000 ZAR
ORD		Sale		1,902		48.1400 ZAR
ORD		Sale		1,915		46.7200 ZAR
ORD		Sale		1,996		47.2800 ZAR
ORD		Sale		2,000		46.8100 ZAR
ORD		Sale		2,000		47.2500 ZAR
ORD		Sale		2,000		47.8000 ZAR
ORD		Sale		2,100		47.1800 ZAR
ORD		Sale		2,128		47.3100 ZAR
ORD		Sale		2,137		47.1200 ZAR
ORD		Sale		2,160		47.3600 ZAR
ORD		Sale		2,200		46.7500 ZAR
ORD		Sale		2,259		47.8200 ZAR
ORD		Sale		2,302		46.5600 ZAR
ORD		Sale		2,340		48.0800 ZAR
ORD		Sale		2,400		47.2000 ZAR
ORD		Sale		2,438		47.2400 ZAR
ORD		Sale		2,516		47.1500 ZAR
ORD		Sale		2,574		47.0700 ZAR
ORD		Sale		2,706		47.0900 ZAR
ORD		Sale		2,813		46.8700 ZAR
ORD		Sale		2,886		46.7300 ZAR
ORD		Sale		3,094		47.5000 ZAR
ORD		Sale		3,100		47.2600 ZAR
ORD		Sale		3,100		47.7600 ZAR
ORD		Sale		3,244		47.3400 ZAR
ORD		Sale		3,306		47.8100 ZAR
ORD		Sale		3,494		46.7600 ZAR
ORD		Sale		3,515		46.8600 ZAR
ORD		Sale		3,543		47.2900 ZAR
ORD		Sale		3,925		47.0200 ZAR
ORD		Sale		3,930		47.2300 ZAR
ORD		Sale		3,939		46.9500 ZAR
ORD		Sale		4,000		46.7800 ZAR
ORD		Sale		4,000		46.8500 ZAR
ORD		Sale		4,078		46.9200 ZAR
ORD		Sale		4,189		47.0500 ZAR
ORD		Sale		4,313		46.8800 ZAR
ORD		Sale		4,329		47.1700 ZAR
ORD		Sale		4,475		47.0600 ZAR
ORD		Sale		4,900		3.6107 GBP
ORD		Sale		4,952		47.5100 ZAR
ORD		Sale		5,000		47.5500 ZAR
ORD		Sale		5,100		48.0000 ZAR
ORD		Sale		5,546		46.9800 ZAR
ORD		Sale		5,587		47.3200 ZAR
ORD		Sale		5,700		47.8900 ZAR
ORD		Sale		5,842		3.6111 GBP
ORD		Sale		6,071		3.6224 GBP
ORD		Sale		6,394		47.0800 ZAR
ORD		Sale		6,457		47.3000 ZAR
ORD		Sale		6,824		47.1400 ZAR
ORD		Sale		7,567		47.3300 ZAR
ORD		Sale		7,695		46.8300 ZAR
ORD		Sale		7,896		46.9100 ZAR
ORD		Sale		8,443		47.9000 ZAR
ORD		Sale		8,561		47.1100 ZAR
ORD		Sale		10,974		47.2200 ZAR
ORD		Sale		11,288		46.9900 ZAR
ORD		Sale		14,141		46.9600 ZAR
ORD		Sale		14,642		46.8000 ZAR
ORD		Sale		20,398		3.6094 GBP
ORD		Sale		21,339		46.8200 ZAR
ORD		Sale		34,090		46.3900 ZAR
ORD		Sale		38,286		3.6426 GBP
ORD		Sale		38,342		3.6130 GBP
ORD		Sale		39,236		3.6077 GBP
ORD		Sale		59,778		3.6304 GBP
ORD		Sale		162,418		47.0110 ZAR
ORD		Sale		255,160		3.6240 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		361		48.0353 ZAR
ORD		CFD		Long		728		48.1008 ZAR
ORD		CFD		Long		795		47.2948 ZAR
ORD		CFD		Long		9,237		46.9374 ZAR
ORD		CFD		Long		11,238		3.6144 GBP
ORD		CFD		Long		15,556		3.6182 GBP
ORD		CFD		Long		45,295		3.6284 GBP
ORD		CFD		Long		51,334		3.6287 GBP
ORD		CFD		Long		115,906		47.1450 ZAR
ORD		CFD		Long		162,418		47.0015 ZAR
ORD		CFD		Long		185,462		47.1039 ZAR
ORD		CFD		Short		76		3.5793 GBP
ORD		CFD		Short		350		46.7349 ZAR
ORD		CFD		Short		899		3.6816 GBP
ORD		CFD		Short		1,840		3.5794 GBP
ORD		CFD		Short		3,666		47.4523 ZAR
ORD		CFD		Short		4,708		3.6865 GBP
ORD		CFD		Short		8,145		46.9193 ZAR
ORD		CFD		Short		8,855		46.9479 ZAR
ORD		CFD		Short		9,041		46.9788 ZAR
ORD		CFD		Short		9,334		46.9027 ZAR
ORD		CFD		Short		49,087		47.1679 ZAR
ORD		CFD		Short		62,616		3.6264 GBP
ORD		CFD		Short		88,607		3.6251 GBP
ORD		CFD		Short		345,217		3.6508 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 Â

Date of disclosure:	Â	2 Nov 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.