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	4 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				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		43,493,510		8.02%		45,922,709		8.47%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		1,827,738		0.34%		429,833		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:
				45,631,248		8.41%		46,457,542		8.56%

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		41		45.8700 ZAR
ORD		Purchase		41		46.0400 ZAR
ORD		Purchase		64		46.3400 ZAR
ORD		Purchase		169		46.6200 ZAR
ORD		Purchase		200		46.6000 ZAR
ORD		Purchase		212		45.9200 ZAR
ORD		Purchase		358		45.8300 ZAR
ORD		Purchase		390		46.5300 ZAR
ORD		Purchase		669		46.0700 ZAR
ORD		Purchase		700		46.2100 ZAR
ORD		Purchase		750		46.0900 ZAR
ORD		Purchase		767		46.1900 ZAR
ORD		Purchase		780		46.7000 ZAR
ORD		Purchase		795		45.7800 ZAR
ORD		Purchase		796		3.6832 GBP
ORD		Purchase		1,013		45.9100 ZAR
ORD		Purchase		1,044		45.8600 ZAR
ORD		Purchase		1,058		3.6982 GBP
ORD		Purchase		1,154		45.9300 ZAR
ORD		Purchase		1,185		46.1600 ZAR
ORD		Purchase		1,408		46.1400 ZAR
ORD		Purchase		1,651		46.6500 ZAR
ORD		Purchase		1,652		45.9000 ZAR
ORD		Purchase		1,686		45.7900 ZAR
ORD		Purchase		1,773		46.6100 ZAR
ORD		Purchase		1,813		46.7100 ZAR
ORD		Purchase		2,077		45.8800 ZAR
ORD		Purchase		2,280		3.6413 GBP
ORD		Purchase		2,300		46.1700 ZAR
ORD		Purchase		2,539		46.2900 ZAR
ORD		Purchase		2,718		46.0800 ZAR
ORD		Purchase		2,733		46.1800 ZAR
ORD		Purchase		2,946		45.8900 ZAR
ORD		Purchase		3,000		46.3000 ZAR
ORD		Purchase		3,153		46.5500 ZAR
ORD		Purchase		3,410		46.1300 ZAR
ORD		Purchase		3,515		46.2000 ZAR
ORD		Purchase		3,696		3.6354 GBP
ORD		Purchase		3,833		46.3100 ZAR
ORD		Purchase		4,089		3.6843 GBP
ORD		Purchase		4,322		46.0000 ZAR
ORD		Purchase		4,664		46.1100 ZAR
ORD		Purchase		4,833		46.0600 ZAR
ORD		Purchase		5,092		46.1500 ZAR
ORD		Purchase		5,133		3.6830 GBP
ORD		Purchase		5,390		45.8000 ZAR
ORD		Purchase		6,400		3.7051 GBP
ORD		Purchase		6,794		46.0300 ZAR
ORD		Purchase		7,497		45.8500 ZAR
ORD		Purchase		7,722		3.6519 GBP
ORD		Purchase		11,517		3.6915 GBP
ORD		Purchase		14,346		44.9598 ZAR
ORD		Purchase		15,536		3.6971 GBP
ORD		Purchase		16,375		3.6688 GBP
ORD		Purchase		17,310		45.6900 ZAR
ORD		Purchase		48,179		3.6438 GBP
ORD		Purchase		50,301		3.7007 GBP
ORD		Purchase		53,478		3.6916 GBP
ORD		Purchase		114,602		3.6623 GBP
ORD		Purchase		146,910		3.6875 GBP
ORD		Sale		10		46.0300 ZAR
ORD		Sale		17		46.7300 ZAR
ORD		Sale		100		46.9600 ZAR
ORD		Sale		118		46.2500 ZAR
ORD		Sale		194		46.7100 ZAR
ORD		Sale		208		46.6700 ZAR
ORD		Sale		255		46.6300 ZAR
ORD		Sale		479		46.1400 ZAR
ORD		Sale		490		46.0800 ZAR
ORD		Sale		500		3.7200 GBP
ORD		Sale		600		46.7900 ZAR
ORD		Sale		657		45.7900 ZAR
ORD		Sale		660		46.1200 ZAR
ORD		Sale		800		46.5600 ZAR
ORD		Sale		826		46.5100 ZAR
ORD		Sale		850		46.5400 ZAR
ORD		Sale		857		45.8000 ZAR
ORD		Sale		872		46.1500 ZAR
ORD		Sale		964		3.6433 GBP
ORD		Sale		1,000		45.8100 ZAR
ORD		Sale		1,000		45.8700 ZAR
ORD		Sale		1,000		46.1100 ZAR
ORD		Sale		1,000		46.3000 ZAR
ORD		Sale		1,110		3.7090 GBP
ORD		Sale		1,114		45.7600 ZAR
ORD		Sale		1,328		46.6500 ZAR
ORD		Sale		1,541		46.6100 ZAR
ORD		Sale		1,605		45.9100 ZAR
ORD		Sale		1,758		46.4000 ZAR
ORD		Sale		1,777		46.6900 ZAR
ORD		Sale		1,992		45.9600 ZAR
ORD		Sale		2,038		45.8900 ZAR
ORD		Sale		3,260		45.8500 ZAR
ORD		Sale		3,563		46.2000 ZAR
ORD		Sale		3,616		45.9500 ZAR
ORD		Sale		3,835		46.1300 ZAR
ORD		Sale		4,000		46.6400 ZAR
ORD		Sale		4,000		46.7200 ZAR
ORD		Sale		4,664		46.5700 ZAR
ORD		Sale		4,938		45.7800 ZAR
ORD		Sale		5,087		46.6800 ZAR
ORD		Sale		5,519		46.5800 ZAR
ORD		Sale		9,019		45.8800 ZAR
ORD		Sale		9,600		46.5900 ZAR
ORD		Sale		10,311		46.0000 ZAR
ORD		Sale		11,517		3.6915 GBP
ORD		Sale		13,507		46.5500 ZAR
ORD		Sale		14,265		45.9000 ZAR
ORD		Sale		15,481		3.6624 GBP
ORD		Sale		16,732		46.6000 ZAR
ORD		Sale		18,890		3.6649 GBP
ORD		Sale		19,150		46.7000 ZAR
ORD		Sale		21,746		46.5000 ZAR
ORD		Sale		23,562		3.6584 GBP
ORD		Sale		24,425		45.6900 ZAR
ORD		Sale		65,336		3.6735 GBP
ORD		Sale		280,199		3.6636 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		340		3.6728 GBP
ORD		CFD		Long		964		3.6434 GBP
ORD		CFD		Long		1,600		46.6712 ZAR
ORD		CFD		Long		2,212		45.8301 ZAR
ORD		CFD		Long		2,955		46.6293 ZAR
ORD		CFD		Long		3,335		46.1778 ZAR
ORD		CFD		Long		7,808		45.9259 ZAR
ORD		CFD		Long		8,100		46.6701 ZAR
ORD		CFD		Long		24,133		46.1217 ZAR
ORD		CFD		Long		41,924		3.6464 GBP
ORD		CFD		Long		58,126		3.6779 GBP
ORD		CFD		Long		93,127		46.5736 ZAR
ORD		CFD		Long		117,828		3.6692 GBP
ORD		CFD		Short		41		46.0546 ZAR
ORD		CFD		Short		390		46.5486 ZAR
ORD		CFD		Short		1,182		3.6952 GBP
ORD		CFD		Short		2,346		3.6941 GBP
ORD		CFD		Short		3,153		46.5648 ZAR
ORD		CFD		Short		9,737		3.6803 GBP
ORD		CFD		Short		14,346		44.9687 ZAR
ORD		CFD		Short		15,710		45.7082 ZAR
ORD		CFD		Short		18,141		46.1731 ZAR
ORD		CFD		Short		54,223		3.6758 GBP
ORD		CFD		Short		68,506		46.0891 ZAR
ORD		CFD		Short		114,602		3.6623 GBP
ORD		CFD		Short		117,749		3.7021 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	7 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.

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.