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	15 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		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		44,609,425		8.22%		46,792,630		8.63%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		3,946,212		0.73%		1,233,454		0.23%
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:
				48,865,637		9.01%		48,131,084		8.87%

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

(a)	Â	Purchases and sales	Â	Â	Â	Â
Class of relevant		Purchase/sale		Number of		Price per unit
security		Â		securities		Â
ORD		Purchase		6		47.0000 ZAR
ORD		Purchase		23		47.3900 ZAR
ORD		Purchase		26		46.9500 ZAR
ORD		Purchase		96		47.4000 ZAR
ORD		Purchase		106		46.9100 ZAR
ORD		Purchase		148		46.8700 ZAR
ORD		Purchase		161		46.7100 ZAR
ORD		Purchase		190		46.9600 ZAR
ORD		Purchase		272		47.2100 ZAR
ORD		Purchase		537		46.7900 ZAR
ORD		Purchase		634		47.2400 ZAR
ORD		Purchase		677		47.1600 ZAR
ORD		Purchase		684		47.2000 ZAR
ORD		Purchase		759		47.2600 ZAR
ORD		Purchase		800		3.6580 GBP
ORD		Purchase		1,090		3.6415 GBP
ORD		Purchase		1,335		46.9800 ZAR
ORD		Purchase		1,636		47.0200 ZAR
ORD		Purchase		1,644		46.6300 ZAR
ORD		Purchase		3,515		46.9000 ZAR
ORD		Purchase		3,845		47.2700 ZAR
ORD		Purchase		4,000		47.4200 ZAR
ORD		Purchase		6,218		3.6385 GBP
ORD		Purchase		7,282		47.2900 ZAR
ORD		Purchase		8,830		3.6376 GBP
ORD		Purchase		20,085		3.6556 GBP
ORD		Purchase		37,317		3.6357 GBP
ORD		Purchase		54,672		3.6345 GBP
ORD		Purchase		61,060		3.6586 GBP
ORD		Purchase		231,997		3.6352 GBP
ORD		Purchase		384,180		3.6337 GBP
ORD		Sale		101		3.6430 GBP
ORD		Sale		185		47.0900 ZAR
ORD		Sale		413		47.1600 ZAR
ORD		Sale		413		47.1800 ZAR
ORD		Sale		600		46.9300 ZAR
ORD		Sale		600		46.9800 ZAR
ORD		Sale		746		47.0500 ZAR
ORD		Sale		835		46.9600 ZAR
ORD		Sale		993		46.6700 ZAR
ORD		Sale		1,000		47.3600 ZAR
ORD		Sale		1,644		46.6300 ZAR
ORD		Sale		1,826		3.6416 GBP
ORD		Sale		1,944		46.7400 ZAR
ORD		Sale		2,066		47.3700 ZAR
ORD		Sale		2,201		46.8800 ZAR
ORD		Sale		2,479		47.1400 ZAR
ORD		Sale		2,544		3.6436 GBP
ORD		Sale		2,637		46.9500 ZAR
ORD		Sale		3,000		47.2400 ZAR
ORD		Sale		3,000		47.3900 ZAR
ORD		Sale		3,151		3.6469 GBP
ORD		Sale		3,385		46.6500 ZAR
ORD		Sale		3,449		46.6400 ZAR
ORD		Sale		4,000		46.8900 ZAR
ORD		Sale		4,000		46.9900 ZAR
ORD		Sale		4,200		47.2900 ZAR
ORD		Sale		4,239		3.6639 GBP
ORD		Sale		4,275		3.6350 GBP
ORD		Sale		4,500		47.0000 ZAR
ORD		Sale		4,979		46.6800 ZAR
ORD		Sale		5,122		46.9100 ZAR
ORD		Sale		7,130		46.8000 ZAR
ORD		Sale		8,266		46.8300 ZAR
ORD		Sale		9,005		46.8100 ZAR
ORD		Sale		9,653		46.8600 ZAR
ORD		Sale		12,696		46.7500 ZAR
ORD		Sale		13,212		46.6900 ZAR
ORD		Sale		14,148		46.8500 ZAR
ORD		Sale		15,034		46.8700 ZAR
ORD		Sale		15,297		3.6406 GBP
ORD		Sale		15,571		46.9200 ZAR
ORD		Sale		16,826		46.7000 ZAR
ORD		Sale		19,712		46.8400 ZAR
ORD		Sale		21,639		3.6450 GBP
ORD		Sale		22,007		46.9000 ZAR
ORD		Sale		22,800		46.7300 ZAR
ORD		Sale		23,177		46.7900 ZAR
ORD		Sale		23,989		46.7800 ZAR
ORD		Sale		25,682		46.7600 ZAR
ORD		Sale		27,394		3.6389 GBP
ORD		Sale		32,181		46.7100 ZAR
ORD		Sale		33,150		46.7200 ZAR
ORD		Sale		36,870		3.6446 GBP
ORD		Sale		39,333		46.7700 ZAR
ORD		Sale		124,801		3.6472 GBP
ORD		Sale		221,193		46.7679 ZAR

(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		6,471		46.6311 ZAR
ORD		CFD		Long		7,452		46.9993 ZAR
ORD		CFD		Long		19,164		3.6220 GBP
ORD		CFD		Long		33,571		3.6738 GBP
ORD		CFD		Long		48,726		46.7703 ZAR
ORD		CFD		Long		57,686		3.6449 GBP
ORD		CFD		Long		221,193		46.7584 ZAR
ORD		CFD		Long		342,910		46.7790 ZAR
ORD		CFD		Short		1,399		47.1868 ZAR
ORD		CFD		Short		1,705		47.1468 ZAR
ORD		CFD		Short		6,784		47.3089 ZAR
ORD		CFD		Short		16,353		47.1351 ZAR
ORD		CFD		Short		25,516		3.6344 GBP
ORD		CFD		Short		61,060		3.6586 GBP
ORD		CFD		Short		572,608		3.6322 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	16 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.