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:		8 November 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	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:		43,621,145		8.04%		45,914,611		8.46%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		1,551,763		0.29%		445,247		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:
				45,482,908		8.39%		46,464,858		8.57%

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		100		47.0100 ZAR
ORD		Purchase		200		47.5700 ZAR
ORD		Purchase		206		47.5100 ZAR
ORD		Purchase		400		47.4200 ZAR
ORD		Purchase		463		47.5900 ZAR
ORD		Purchase		500		46.9500 ZAR
ORD		Purchase		550		3.7630 GBP
ORD		Purchase		600		47.2900 ZAR
ORD		Purchase		800		47.7400 ZAR
ORD		Purchase		858		46.9600 ZAR
ORD		Purchase		1,000		46.7900 ZAR
ORD		Purchase		1,000		47.6900 ZAR
ORD		Purchase		1,190		47.2000 ZAR
ORD		Purchase		1,200		47.0800 ZAR
ORD		Purchase		1,364		47.7200 ZAR
ORD		Purchase		1,999		47.0400 ZAR
ORD		Purchase		2,000		47.3100 ZAR
ORD		Purchase		2,094		47.5000 ZAR
ORD		Purchase		2,500		47.7300 ZAR
ORD		Purchase		2,576		47.0700 ZAR
ORD		Purchase		2,600		46.8000 ZAR
ORD		Purchase		2,636		47.1100 ZAR
ORD		Purchase		3,000		47.0900 ZAR
ORD		Purchase		3,675		47.3000 ZAR
ORD		Purchase		3,800		47.1000 ZAR
ORD		Purchase		4,000		46.8300 ZAR
ORD		Purchase		4,000		47.1200 ZAR
ORD		Purchase		4,000		47.3600 ZAR
ORD		Purchase		4,000		47.4000 ZAR
ORD		Purchase		4,200		47.3500 ZAR
ORD		Purchase		4,969		47.4400 ZAR
ORD		Purchase		5,577		3.7420 GBP
ORD		Purchase		7,477		47.0600 ZAR
ORD		Purchase		8,213		47.4500 ZAR
ORD		Purchase		11,836		3.7227 GBP
ORD		Purchase		12,709		3.7165 GBP
ORD		Purchase		13,889		3.7312 GBP
ORD		Purchase		29,314		3.7425 GBP
ORD		Purchase		39,599		3.7279 GBP
ORD		Purchase		44,687		3.7288 GBP
ORD		Purchase		50,008		47.6000 ZAR
ORD		Purchase		145,568		3.7382 GBP
ORD		Sale		63		3.7303 GBP
ORD		Sale		87		47.5200 ZAR
ORD		Sale		100		47.1000 ZAR
ORD		Sale		100		47.1700 ZAR
ORD		Sale		200		47.0800 ZAR
ORD		Sale		200		47.3500 ZAR
ORD		Sale		270		47.7000 ZAR
ORD		Sale		400		47.0600 ZAR
ORD		Sale		410		47.6600 ZAR
ORD		Sale		413		47.7300 ZAR
ORD		Sale		600		47.3000 ZAR
ORD		Sale		845		47.2900 ZAR
ORD		Sale		900		46.4900 ZAR
ORD		Sale		900		46.7200 ZAR
ORD		Sale		1,000		47.1900 ZAR
ORD		Sale		1,057		47.3800 ZAR
ORD		Sale		1,100		46.9400 ZAR
ORD		Sale		1,100		47.5900 ZAR
ORD		Sale		1,400		47.2000 ZAR
ORD		Sale		1,638		47.7400 ZAR
ORD		Sale		1,800		47.0900 ZAR
ORD		Sale		2,553		47.6900 ZAR
ORD		Sale		2,900		3.7294 GBP
ORD		Sale		2,903		47.7100 ZAR
ORD		Sale		3,446		47.5800 ZAR
ORD		Sale		4,000		47.4900 ZAR
ORD		Sale		4,000		47.5100 ZAR
ORD		Sale		4,000		47.5300 ZAR
ORD		Sale		4,330		47.6800 ZAR
ORD		Sale		4,357		47.6700 ZAR
ORD		Sale		4,413		47.5400 ZAR
ORD		Sale		6,066		47.6400 ZAR
ORD		Sale		6,451		47.5700 ZAR
ORD		Sale		6,496		47.6000 ZAR
ORD		Sale		6,655		47.6500 ZAR
ORD		Sale		7,841		47.7200 ZAR
ORD		Sale		7,980		3.6977 GBP
ORD		Sale		9,219		47.6300 ZAR
ORD		Sale		11,701		47.5000 ZAR
ORD		Sale		14,243		3.7126 GBP
ORD		Sale		20,000		3.7600 GBP
ORD		Sale		30,923		47.8568 ZAR
ORD		Sale		31,513		3.7453 GBP
ORD		Sale		63,098		3.7262 GBP
ORD		Sale		88,883		3.7249 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		1,000		47.3648 ZAR
ORD		CFD		Long		3,095		47.5809 ZAR
ORD		CFD		Long		7,382		47.1178 ZAR
ORD		CFD		Long		7,777		47.4000 ZAR
ORD		CFD		Long		8,459		47.5685 ZAR
ORD		CFD		Long		17,841		3.7397 GBP
ORD		CFD		Long		30,923		47.8472 ZAR
ORD		CFD		Long		32,263		3.7277 GBP
ORD		CFD		Long		69,965		3.7082 GBP
ORD		CFD		Long		75,238		47.5918 ZAR
ORD		CFD		Short		600		47.3051 ZAR
ORD		CFD		Short		1,147		3.7605 GBP
ORD		CFD		Short		1,828		3.7534 GBP
ORD		CFD		Short		2,300		47.6378 ZAR
ORD		CFD		Short		4,263		47.6371 ZAR
ORD		CFD		Short		32,217		3.7176 GBP
ORD		CFD		Short		32,967		47.3080 ZAR
ORD		CFD		Short		36,998		47.6190 ZAR
ORD		CFD		Short		44,687		3.7288 GBP
ORD		CFD		Short		46,326		47.2374 ZAR
ORD		CFD		Short		132,936		3.7369 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	9 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.