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	3 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:		43,574,594		8.03%		46,053,336		8.49%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		2,004,049		0.37%		508,827		0.09%
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:
				45,888,643		8.46%		46,667,163		8.60%

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		102		46.8700 ZAR
ORD		Purchase		180		3.6995 GBP
ORD		Purchase		300		47.2000 ZAR
ORD		Purchase		360		46.8600 ZAR
ORD		Purchase		476		46.6100 ZAR
ORD		Purchase		550		47.1100 ZAR
ORD		Purchase		646		46.6200 ZAR
ORD		Purchase		664		46.6900 ZAR
ORD		Purchase		696		46.8100 ZAR
ORD		Purchase		814		47.2400 ZAR
ORD		Purchase		1,010		46.4500 ZAR
ORD		Purchase		1,023		46.2600 ZAR
ORD		Purchase		1,076		46.9900 ZAR
ORD		Purchase		1,238		46.7700 ZAR
ORD		Purchase		1,296		46.8200 ZAR
ORD		Purchase		1,384		46.8900 ZAR
ORD		Purchase		1,425		46.6500 ZAR
ORD		Purchase		1,562		46.9400 ZAR
ORD		Purchase		1,611		47.2100 ZAR
ORD		Purchase		1,700		46.9200 ZAR
ORD		Purchase		1,724		46.9800 ZAR
ORD		Purchase		1,739		46.5000 ZAR
ORD		Purchase		1,792		47.0400 ZAR
ORD		Purchase		1,812		47.0500 ZAR
ORD		Purchase		1,836		46.9700 ZAR
ORD		Purchase		1,849		47.2800 ZAR
ORD		Purchase		1,925		47.0800 ZAR
ORD		Purchase		2,109		46.7400 ZAR
ORD		Purchase		2,135		46.7800 ZAR
ORD		Purchase		2,153		47.1700 ZAR
ORD		Purchase		2,400		47.1200 ZAR
ORD		Purchase		2,467		46.7900 ZAR
ORD		Purchase		2,588		46.6800 ZAR
ORD		Purchase		2,925		46.8500 ZAR
ORD		Purchase		2,943		47.0000 ZAR
ORD		Purchase		3,207		46.9600 ZAR
ORD		Purchase		3,260		47.1000 ZAR
ORD		Purchase		3,310		46.7600 ZAR
ORD		Purchase		3,391		46.7500 ZAR
ORD		Purchase		3,428		47.0300 ZAR
ORD		Purchase		3,709		46.9500 ZAR
ORD		Purchase		4,066		46.5400 ZAR
ORD		Purchase		4,313		46.4100 ZAR
ORD		Purchase		4,561		47.0200 ZAR
ORD		Purchase		4,580		47.1800 ZAR
ORD		Purchase		4,586		46.7000 ZAR
ORD		Purchase		4,865		46.8000 ZAR
ORD		Purchase		4,921		47.0700 ZAR
ORD		Purchase		5,003		47.1400 ZAR
ORD		Purchase		5,023		47.1600 ZAR
ORD		Purchase		5,860		46.7100 ZAR
ORD		Purchase		6,942		46.6600 ZAR
ORD		Purchase		7,843		47.1500 ZAR
ORD		Purchase		8,595		47.1300 ZAR
ORD		Purchase		8,667		46.7300 ZAR
ORD		Purchase		10,720		46.9100 ZAR
ORD		Purchase		11,947		46.9000 ZAR
ORD		Purchase		14,360		3.6964 GBP
ORD		Purchase		15,690		3.6844 GBP
ORD		Purchase		17,261		47.0100 ZAR
ORD		Purchase		20,647		3.6997 GBP
ORD		Purchase		31,429		3.6932 GBP
ORD		Purchase		36,075		3.6825 GBP
ORD		Purchase		81,577		46.4300 ZAR
ORD		Purchase		98,081		3.6936 GBP
ORD		Purchase		439,814		3.6842 GBP
ORD		Sale		148		46.8700 ZAR
ORD		Sale		205		46.8600 ZAR
ORD		Sale		300		47.1000 ZAR
ORD		Sale		300		47.2000 ZAR
ORD		Sale		329		46.9500 ZAR
ORD		Sale		342		46.8500 ZAR
ORD		Sale		400		46.6200 ZAR
ORD		Sale		400		47.2800 ZAR
ORD		Sale		402		46.4000 ZAR
ORD		Sale		500		47.1800 ZAR
ORD		Sale		515		47.0900 ZAR
ORD		Sale		611		46.7700 ZAR
ORD		Sale		659		47.2400 ZAR
ORD		Sale		671		46.9900 ZAR
ORD		Sale		681		3.7300 GBP
ORD		Sale		800		46.9800 ZAR
ORD		Sale		1,027		47.0300 ZAR
ORD		Sale		1,056		46.8800 ZAR
ORD		Sale		1,120		47.1100 ZAR
ORD		Sale		1,155		46.6500 ZAR
ORD		Sale		1,200		46.4100 ZAR
ORD		Sale		1,252		47.2200 ZAR
ORD		Sale		1,262		46.7600 ZAR
ORD		Sale		1,273		47.0800 ZAR
ORD		Sale		1,312		46.9700 ZAR
ORD		Sale		1,432		46.4700 ZAR
ORD		Sale		1,562		46.7800 ZAR
ORD		Sale		1,628		46.9400 ZAR
ORD		Sale		1,733		46.7100 ZAR
ORD		Sale		1,864		46.9100 ZAR
ORD		Sale		1,937		47.0400 ZAR
ORD		Sale		1,973		47.0100 ZAR
ORD		Sale		2,015		47.0700 ZAR
ORD		Sale		2,250		47.1700 ZAR
ORD		Sale		2,423		46.8300 ZAR
ORD		Sale		2,452		46.9000 ZAR
ORD		Sale		2,556		46.7300 ZAR
ORD		Sale		2,579		47.1400 ZAR
ORD		Sale		2,613		46.8900 ZAR
ORD		Sale		2,674		46.9300 ZAR
ORD		Sale		2,699		47.0600 ZAR
ORD		Sale		3,041		3.7281 GBP
ORD		Sale		3,100		3.6813 GBP
ORD		Sale		3,320		47.1200 ZAR
ORD		Sale		3,958		47.0200 ZAR
ORD		Sale		4,000		46.6600 ZAR
ORD		Sale		4,000		46.6700 ZAR
ORD		Sale		4,036		46.9200 ZAR
ORD		Sale		4,098		3.7007 GBP
ORD		Sale		4,300		47.1600 ZAR
ORD		Sale		4,438		47.1500 ZAR
ORD		Sale		4,447		46.7900 ZAR
ORD		Sale		5,433		46.7200 ZAR
ORD		Sale		5,781		47.1300 ZAR
ORD		Sale		6,447		46.6800 ZAR
ORD		Sale		6,498		3.7221 GBP
ORD		Sale		7,748		46.9600 ZAR
ORD		Sale		8,745		46.7400 ZAR
ORD		Sale		9,772		47.0000 ZAR
ORD		Sale		15,150		3.6930 GBP
ORD		Sale		17,466		46.7000 ZAR
ORD		Sale		23,742		46.7500 ZAR
ORD		Sale		24,700		46.6900 ZAR
ORD		Sale		29,320		46.8000 ZAR
ORD		Sale		37,915		3.6818 GBP
ORD		Sale		56,186		3.6881 GBP
ORD		Sale		151,569		46.7676 ZAR
ORD		Sale		245,125		3.6804 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		166		46.9749 ZAR
ORD		CFD		Long		508		3.6916 GBP
ORD		CFD		Long		1,990		46.6285 ZAR
ORD		CFD		Long		2,599		3.6418 GBP
ORD		CFD		Long		3,055		3.6730 GBP
ORD		CFD		Long		9,814		46.9602 ZAR
ORD		CFD		Long		10,678		3.6905 GBP
ORD		CFD		Long		15,448		46.9152 ZAR
ORD		CFD		Long		86,533		3.6817 GBP
ORD		CFD		Long		105,428		3.6801 GBP
ORD		CFD		Long		151,569		46.7582 ZAR
ORD		CFD		Long		195,864		46.8144 ZAR
ORD		CFD		Short		71		46.9000 ZAR
ORD		CFD		Short		71		47.0200 ZAR
ORD		CFD		Short		5,134		46.4485 ZAR
ORD		CFD		Short		5,615		46.8488 ZAR
ORD		CFD		Short		5,669		3.6670 GBP
ORD		CFD		Short		17,584		46.6815 ZAR
ORD		CFD		Short		23,000		3.6404 GBP
ORD		CFD		Short		33,692		3.7004 GBP
ORD		CFD		Short		35,585		46.9918 ZAR
ORD		CFD		Short		37,142		47.0359 ZAR
ORD		CFD		Short		40,389		3.6826 GBP
ORD		CFD		Short		74,552		46.8564 ZAR
ORD		CFD		Short		86,765		3.6773 GBP
ORD		CFD		Short		342,991		3.6885 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	4 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.