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	14 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				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		44,106,056		8.13%		46,237,793		8.52%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		2,816,468		0.52%		809,437		0.15%
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:
				47,232,524		8.71%		47,152,230		8.69%

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		200		47.1600 ZAR
ORD		Purchase		300		46.9500 ZAR
ORD		Purchase		300		47.2300 ZAR
ORD		Purchase		573		47.0900 ZAR
ORD		Purchase		906		46.8500 ZAR
ORD		Purchase		1,017		47.0800 ZAR
ORD		Purchase		1,075		47.2500 ZAR
ORD		Purchase		1,091		46.9800 ZAR
ORD		Purchase		1,220		46.9100 ZAR
ORD		Purchase		1,400		3.7155 GBP
ORD		Purchase		1,472		47.2000 ZAR
ORD		Purchase		1,527		47.1300 ZAR
ORD		Purchase		1,693		47.0600 ZAR
ORD		Purchase		1,700		47.2900 ZAR
ORD		Purchase		1,714		47.3600 ZAR
ORD		Purchase		1,800		46.8100 ZAR
ORD		Purchase		1,872		3.7198 GBP
ORD		Purchase		1,900		46.7800 ZAR
ORD		Purchase		1,966		47.2800 ZAR
ORD		Purchase		2,159		47.3100 ZAR
ORD		Purchase		2,519		47.1500 ZAR
ORD		Purchase		2,571		47.2100 ZAR
ORD		Purchase		3,900		47.1000 ZAR
ORD		Purchase		4,960		3.6923 GBP
ORD		Purchase		4,964		3.7364 GBP
ORD		Purchase		5,448		3.6777 GBP
ORD		Purchase		6,172		47.1100 ZAR
ORD		Purchase		8,084		3.7321 GBP
ORD		Purchase		8,240		3.6720 GBP
ORD		Purchase		8,841		47.3000 ZAR
ORD		Purchase		11,612		3.6849 GBP
ORD		Purchase		11,695		3.6830 GBP
ORD		Purchase		14,126		3.6789 GBP
ORD		Purchase		59,208		47.0164 ZAR
ORD		Purchase		63,000		46.7300 ZAR
ORD		Purchase		71,070		3.6847 GBP
ORD		Purchase		124,756		3.6853 GBP
ORD		Sale		60		47.2100 ZAR
ORD		Sale		143		3.6730 GBP
ORD		Sale		200		47.1300 ZAR
ORD		Sale		258		47.3700 ZAR
ORD		Sale		262		47.3500 ZAR
ORD		Sale		304		47.1200 ZAR
ORD		Sale		372		47.3900 ZAR
ORD		Sale		390		47.3200 ZAR
ORD		Sale		467		47.3000 ZAR
ORD		Sale		481		47.4700 ZAR
ORD		Sale		491		47.3300 ZAR
ORD		Sale		509		47.3600 ZAR
ORD		Sale		531		46.7000 ZAR
ORD		Sale		537		46.7500 ZAR
ORD		Sale		539		47.2000 ZAR
ORD		Sale		613		46.6800 ZAR
ORD		Sale		659		47.1100 ZAR
ORD		Sale		725		47.4400 ZAR
ORD		Sale		900		47.1000 ZAR
ORD		Sale		981		46.8900 ZAR
ORD		Sale		1,015		46.7600 ZAR
ORD		Sale		1,017		47.0800 ZAR
ORD		Sale		1,019		47.1500 ZAR
ORD		Sale		1,033		46.7100 ZAR
ORD		Sale		1,075		47.2500 ZAR
ORD		Sale		1,222		47.0400 ZAR
ORD		Sale		1,233		47.4800 ZAR
ORD		Sale		1,266		47.0200 ZAR
ORD		Sale		1,395		46.6400 ZAR
ORD		Sale		1,402		46.6500 ZAR
ORD		Sale		1,693		47.0600 ZAR
ORD		Sale		1,786		47.0100 ZAR
ORD		Sale		1,958		3.6742 GBP
ORD		Sale		2,024		47.0700 ZAR
ORD		Sale		2,078		3.6810 GBP
ORD		Sale		2,520		46.8200 ZAR
ORD		Sale		2,521		3.6748 GBP
ORD		Sale		2,738		46.7900 ZAR
ORD		Sale		2,772		46.9400 ZAR
ORD		Sale		3,554		47.0000 ZAR
ORD		Sale		3,878		47.0300 ZAR
ORD		Sale		4,460		47.0500 ZAR
ORD		Sale		4,533		3.6761 GBP
ORD		Sale		4,953		46.8700 ZAR
ORD		Sale		5,410		46.8500 ZAR
ORD		Sale		5,459		47.0900 ZAR
ORD		Sale		6,221		46.8600 ZAR
ORD		Sale		6,385		46.9100 ZAR
ORD		Sale		6,607		46.9800 ZAR
ORD		Sale		6,744		3.7003 GBP
ORD		Sale		7,093		47.3800 ZAR
ORD		Sale		7,565		3.6971 GBP
ORD		Sale		8,100		46.7300 ZAR
ORD		Sale		8,848		46.9200 ZAR
ORD		Sale		9,426		46.9900 ZAR
ORD		Sale		9,543		3.6771 GBP
ORD		Sale		9,586		46.8100 ZAR
ORD		Sale		10,084		46.9000 ZAR
ORD		Sale		12,262		46.9500 ZAR
ORD		Sale		13,302		46.9700 ZAR
ORD		Sale		13,646		46.9600 ZAR
ORD		Sale		14,476		3.7090 GBP
ORD		Sale		15,769		3.6764 GBP
ORD		Sale		17,328		46.8800 ZAR
ORD		Sale		24,635		3.6768 GBP
ORD		Sale		30,023		46.9300 ZAR
ORD		Sale		45,720		3.7015 GBP
ORD		Sale		131,106		3.6960 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		4,846		47.1888 ZAR
ORD		CFD		Long		16,658		46.9286 ZAR
ORD		CFD		Long		22,469		3.7060 GBP
ORD		CFD		Long		48,924		46.8733 ZAR
ORD		CFD		Long		54,017		3.6742 GBP
ORD		CFD		Long		99,059		3.7048 GBP
ORD		CFD		Long		137,590		46.9683 ZAR
ORD		CFD		Short		3,801		47.0565 ZAR
ORD		CFD		Short		6,370		46.8406 ZAR
ORD		CFD		Short		7,731		3.6706 GBP
ORD		CFD		Short		14,126		3.6789 GBP
ORD		CFD		Short		20,556		3.6968 GBP
ORD		CFD		Short		38,871		46.7486 ZAR
ORD		CFD		Short		39,844		47.1921 ZAR
ORD		CFD		Short		59,208		47.0258 ZAR
ORD		CFD		Short		109,691		3.6888 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:		15 Nov 2011
Contact name:		Geoff Smith
Telephone number:		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 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.