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	9 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 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:		43,542,939		8.03%		45,824,894		8.45%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		1,610,655		0.30%		377,361		0.07%
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:
				45,463,594		8.38%		46,307,255		8.54%

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		20		46.3500 ZAR
ORD		Purchase		123		47.4600 ZAR
ORD		Purchase		200		46.4600 ZAR
ORD		Purchase		220		46.0500 ZAR
ORD		Purchase		233		46.3400 ZAR
ORD		Purchase		277		47.6700 ZAR
ORD		Purchase		287		46.4000 ZAR
ORD		Purchase		400		46.6100 ZAR
ORD		Purchase		414		47.3700 ZAR
ORD		Purchase		498		47.3800 ZAR
ORD		Purchase		500		46.4200 ZAR
ORD		Purchase		500		47.8000 ZAR
ORD		Purchase		581		3.6102 GBP
ORD		Purchase		600		46.6400 ZAR
ORD		Purchase		814		46.0600 ZAR
ORD		Purchase		830		47.8100 ZAR
ORD		Purchase		922		47.6100 ZAR
ORD		Purchase		954		47.3900 ZAR
ORD		Purchase		1,033		46.1400 ZAR
ORD		Purchase		1,033		46.2000 ZAR
ORD		Purchase		1,200		47.5600 ZAR
ORD		Purchase		1,208		47.6300 ZAR
ORD		Purchase		1,221		3.7249 GBP
ORD		Purchase		1,260		47.5200 ZAR
ORD		Purchase		1,348		47.5300 ZAR
ORD		Purchase		1,467		47.4500 ZAR
ORD		Purchase		1,500		47.6600 ZAR
ORD		Purchase		1,533		47.4400 ZAR
ORD		Purchase		1,571		47.4700 ZAR
ORD		Purchase		1,600		47.5700 ZAR
ORD		Purchase		1,677		47.7100 ZAR
ORD		Purchase		1,980		46.4100 ZAR
ORD		Purchase		2,226		3.6058 GBP
ORD		Purchase		2,233		47.7300 ZAR
ORD		Purchase		2,448		47.4100 ZAR
ORD		Purchase		2,668		47.5400 ZAR
ORD		Purchase		3,483		47.6200 ZAR
ORD		Purchase		3,499		47.8900 ZAR
ORD		Purchase		3,520		3.7387 GBP
ORD		Purchase		3,959		47.9000 ZAR
ORD		Purchase		4,000		47.4900 ZAR
ORD		Purchase		4,000		47.8800 ZAR
ORD		Purchase		4,361		47.6000 ZAR
ORD		Purchase		4,566		47.7500 ZAR
ORD		Purchase		5,100		3.6081 GBP
ORD		Purchase		5,107		47.5100 ZAR
ORD		Purchase		5,500		47.4300 ZAR
ORD		Purchase		5,828		47.5900 ZAR
ORD		Purchase		6,398		46.3300 ZAR
ORD		Purchase		7,528		47.6400 ZAR
ORD		Purchase		8,000		47.4000 ZAR
ORD		Purchase		10,843		47.5800 ZAR
ORD		Purchase		11,363		47.5000 ZAR
ORD		Purchase		11,559		47.4800 ZAR
ORD		Purchase		11,699		3.6045 GBP
ORD		Purchase		11,717		3.6704 GBP
ORD		Purchase		15,363		3.6210 GBP
ORD		Purchase		17,740		3.7296 GBP
ORD		Purchase		19,482		3.7329 GBP
ORD		Purchase		21,840		3.6778 GBP
ORD		Purchase		30,924		3.6715 GBP
ORD		Purchase		49,336		3.6440 GBP
ORD		Purchase		90,755		3.6582 GBP
ORD		Purchase		272,722		3.6628 GBP
ORD		Sale		13		46.6200 ZAR
ORD		Sale		186		47.0900 ZAR
ORD		Sale		200		46.6500 ZAR
ORD		Sale		400		46.4700 ZAR
ORD		Sale		484		46.6000 ZAR
ORD		Sale		500		47.1400 ZAR
ORD		Sale		552		46.4600 ZAR
ORD		Sale		694		47.4500 ZAR
ORD		Sale		722		47.3000 ZAR
ORD		Sale		800		3.7005 GBP
ORD		Sale		890		46.5500 ZAR
ORD		Sale		900		3.6829 GBP
ORD		Sale		1,161		46.7900 ZAR
ORD		Sale		1,189		46.6600 ZAR
ORD		Sale		1,221		46.5100 ZAR
ORD		Sale		1,254		46.7800 ZAR
ORD		Sale		1,438		46.7700 ZAR
ORD		Sale		1,519		46.7200 ZAR
ORD		Sale		1,551		46.0500 ZAR
ORD		Sale		1,611		46.3500 ZAR
ORD		Sale		1,746		47.3100 ZAR
ORD		Sale		2,000		46.3900 ZAR
ORD		Sale		2,000		46.9100 ZAR
ORD		Sale		2,002		46.9700 ZAR
ORD		Sale		2,526		46.5700 ZAR
ORD		Sale		2,617		46.9800 ZAR
ORD		Sale		2,672		3.7248 GBP
ORD		Sale		2,712		46.4800 ZAR
ORD		Sale		2,900		47.5800 ZAR
ORD		Sale		2,946		46.5000 ZAR
ORD		Sale		3,000		46.3700 ZAR
ORD		Sale		3,210		47.3800 ZAR
ORD		Sale		3,210		47.3900 ZAR
ORD		Sale		3,368		47.6400 ZAR
ORD		Sale		3,457		46.3300 ZAR
ORD		Sale		3,620		47.2300 ZAR
ORD		Sale		3,916		47.5000 ZAR
ORD		Sale		4,000		47.1300 ZAR
ORD		Sale		4,275		47.6000 ZAR
ORD		Sale		4,317		46.8000 ZAR
ORD		Sale		4,413		46.6100 ZAR
ORD		Sale		4,533		47.2200 ZAR
ORD		Sale		5,055		46.3400 ZAR
ORD		Sale		5,275		46.5600 ZAR
ORD		Sale		5,370		47.5900 ZAR
ORD		Sale		5,776		47.1100 ZAR
ORD		Sale		5,776		47.1200 ZAR
ORD		Sale		6,000		3.7183 GBP
ORD		Sale		6,105		46.6300 ZAR
ORD		Sale		6,413		47.0300 ZAR
ORD		Sale		6,510		46.7000 ZAR
ORD		Sale		7,000		46.5300 ZAR
ORD		Sale		7,325		47.4000 ZAR
ORD		Sale		7,519		3.6949 GBP
ORD		Sale		8,084		47.1000 ZAR
ORD		Sale		8,298		46.9500 ZAR
ORD		Sale		11,890		47.0000 ZAR
ORD		Sale		14,374		46.4000 ZAR
ORD		Sale		15,411		46.4500 ZAR
ORD		Sale		15,864		3.7064 GBP
ORD		Sale		26,889		3.6441 GBP
ORD		Sale		29,629		46.0600 ZAR
ORD		Sale		75,234		3.7166 GBP
ORD		Sale		231,745		3.6955 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		979		3.5906 GBP
ORD		CFD		Long		3,368		47.6247 ZAR
ORD		CFD		Long		6,981		47.3166 ZAR
ORD		CFD		Long		9,631		3.6828 GBP
ORD		CFD		Long		10,345		46.7712 ZAR
ORD		CFD		Long		28,029		46.0415 ZAR
ORD		CFD		Long		36,724		3.6841 GBP
ORD		CFD		Long		71,474		3.6596 GBP
ORD		CFD		Long		95,473		46.4729 ZAR
ORD		CFD		Long		137,487		3.7352 GBP
ORD		CFD		Long		179,023		46.8250 ZAR
ORD		CFD		Short		6,198		3.5914 GBP
ORD		CFD		Short		7,511		3.6137 GBP
ORD		CFD		Short		34,145		3.6929 GBP
ORD		CFD		Short		35,999		47.5579 ZAR
ORD		CFD		Short		49,336		3.6440 GBP
ORD		CFD		Short		95,943		47.4355 ZAR
ORD		CFD		Short		319,408		3.6654 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	10 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.