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	2 Nov 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:		43,528,226		8.02%		46,271,416		8.53%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		1,938,484		0.36%		434,899		0.08%
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:
				45,776,710		8.44%		46,811,315		8.63%

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		84		46.5300 ZAR
ORD		Purchase		218		45.9900 ZAR
ORD		Purchase		242		46.7600 ZAR
ORD		Purchase		251		46.3800 ZAR
ORD		Purchase		418		46.6100 ZAR
ORD		Purchase		495		46.6700 ZAR
ORD		Purchase		588		46.6800 ZAR
ORD		Purchase		635		3.6440 GBP
ORD		Purchase		641		46.4500 ZAR
ORD		Purchase		683		46.5200 ZAR
ORD		Purchase		689		46.5800 ZAR
ORD		Purchase		772		46.8200 ZAR
ORD		Purchase		795		46.6600 ZAR
ORD		Purchase		918		46.7900 ZAR
ORD		Purchase		1,021		46.7800 ZAR
ORD		Purchase		1,028		46.6200 ZAR
ORD		Purchase		1,223		46.2700 ZAR
ORD		Purchase		1,244		46.4900 ZAR
ORD		Purchase		1,388		46.5400 ZAR
ORD		Purchase		1,513		46.2600 ZAR
ORD		Purchase		1,634		46.5000 ZAR
ORD		Purchase		1,815		46.1800 ZAR
ORD		Purchase		2,108		3.6525 GBP
ORD		Purchase		2,177		46.7700 ZAR
ORD		Purchase		2,306		46.6500 ZAR
ORD		Purchase		2,522		46.6000 ZAR
ORD		Purchase		2,798		46.6900 ZAR
ORD		Purchase		3,042		46.3700 ZAR
ORD		Purchase		3,450		3.6543 GBP
ORD		Purchase		3,813		46.5900 ZAR
ORD		Purchase		3,883		46.5100 ZAR
ORD		Purchase		5,313		3.6434 GBP
ORD		Purchase		6,530		46.8100 ZAR
ORD		Purchase		7,100		46.8300 ZAR
ORD		Purchase		7,640		46.5600 ZAR
ORD		Purchase		13,000		3.6424 GBP
ORD		Purchase		15,089		3.6339 GBP
ORD		Purchase		16,494		46.5500 ZAR
ORD		Purchase		17,884		47.0700 ZAR
ORD		Purchase		18,100		46.8000 ZAR
ORD		Purchase		18,152		3.6445 GBP
ORD		Purchase		20,758		3.5750 GBP
ORD		Purchase		20,758		3.6290 GBP
ORD		Purchase		22,276		3.6536 GBP
ORD		Purchase		23,025		3.6325 GBP
ORD		Purchase		86,447		3.6386 GBP
ORD		Purchase		218,278		3.6428 GBP
ORD		Sale		241		3.6900 GBP
ORD		Sale		265		46.6200 ZAR
ORD		Sale		300		47.0100 ZAR
ORD		Sale		336		3.6350 GBP
ORD		Sale		347		46.4500 ZAR
ORD		Sale		400		46.6900 ZAR
ORD		Sale		413		46.2100 ZAR
ORD		Sale		413		46.7300 ZAR
ORD		Sale		413		46.7400 ZAR
ORD		Sale		433		46.3700 ZAR
ORD		Sale		500		46.0200 ZAR
ORD		Sale		585		46.6700 ZAR
ORD		Sale		619		46.6500 ZAR
ORD		Sale		826		46.7000 ZAR
ORD		Sale		900		45.9700 ZAR
ORD		Sale		1,000		45.9600 ZAR
ORD		Sale		1,000		46.0400 ZAR
ORD		Sale		1,000		46.7600 ZAR
ORD		Sale		1,174		46.4300 ZAR
ORD		Sale		1,622		46.0500 ZAR
ORD		Sale		1,645		46.4800 ZAR
ORD		Sale		1,878		46.0300 ZAR
ORD		Sale		1,969		46.6300 ZAR
ORD		Sale		2,042		46.5800 ZAR
ORD		Sale		2,050		46.6600 ZAR
ORD		Sale		2,204		3.6775 GBP
ORD		Sale		2,342		46.2000 ZAR
ORD		Sale		2,479		46.6800 ZAR
ORD		Sale		2,540		46.9100 ZAR
ORD		Sale		2,630		46.6400 ZAR
ORD		Sale		3,000		45.9800 ZAR
ORD		Sale		3,201		46.3000 ZAR
ORD		Sale		3,296		46.8100 ZAR
ORD		Sale		3,321		46.2400 ZAR
ORD		Sale		3,433		3.6490 GBP
ORD		Sale		3,588		46.2600 ZAR
ORD		Sale		3,722		46.3300 ZAR
ORD		Sale		3,813		46.5900 ZAR
ORD		Sale		3,971		46.1900 ZAR
ORD		Sale		4,000		46.9000 ZAR
ORD		Sale		4,266		46.1700 ZAR
ORD		Sale		4,297		3.6029 GBP
ORD		Sale		4,500		46.0100 ZAR
ORD		Sale		5,113		46.5400 ZAR
ORD		Sale		5,557		46.5600 ZAR
ORD		Sale		5,606		45.9900 ZAR
ORD		Sale		5,876		46.2700 ZAR
ORD		Sale		6,403		46.4900 ZAR
ORD		Sale		7,126		46.5000 ZAR
ORD		Sale		7,762		46.3100 ZAR
ORD		Sale		8,342		46.8000 ZAR
ORD		Sale		9,576		3.6473 GBP
ORD		Sale		12,250		3.6790 GBP
ORD		Sale		15,340		46.5200 ZAR
ORD		Sale		17,122		46.5500 ZAR
ORD		Sale		19,275		3.6149 GBP
ORD		Sale		21,864		3.6478 GBP
ORD		Sale		22,498		3.6220 GBP
ORD		Sale		23,584		46.5100 ZAR
ORD		Sale		25,724		3.6022 GBP
ORD		Sale		36,435		3.6467 GBP
ORD		Sale		37,193		3.6771 GBP
ORD		Sale		42,110		46.6146 ZAR
ORD		Sale		52,129		46.5300 ZAR
ORD		Sale		53,054		47.0700 ZAR
ORD		Sale		133,854		3.6364 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		400		46.6150 ZAR
ORD		CFD		Long		7,230		3.6236 GBP
ORD		CFD		Long		14,333		47.0046 ZAR
ORD		CFD		Long		15,771		3.6566 GBP
ORD		CFD		Long		22,114		3.6369 GBP
ORD		CFD		Long		25,423		3.6189 GBP
ORD		CFD		Long		37,555		47.0511 ZAR
ORD		CFD		Long		38,788		3.6417 GBP
ORD		CFD		Long		42,110		46.6051 ZAR
ORD		CFD		Long		102,197		46.3858 ZAR
ORD		CFD		Long		128,392		46.5129 ZAR
ORD		CFD		Short		1,166		46.5664 ZAR
ORD		CFD		Short		3,038		46.2310 ZAR
ORD		CFD		Short		8,384		46.6890 ZAR
ORD		CFD		Short		15,988		46.5874 ZAR
ORD		CFD		Short		21,706		3.6361 GBP
ORD		CFD		Short		21,890		46.7279 ZAR
ORD		CFD		Short		30,499		3.6540 GBP
ORD		CFD		Short		42,241		46.6569 ZAR
ORD		CFD		Short		171,867		3.6329 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	3 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.

143221.01

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.