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	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:		16 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	ORD	Â	Â	Â	Â	Â	Â
			Interests		Â		Short Positions		Â
Â	Â		Number		(%)		Number		(%)
(1)	Relevant securities owned
	and/or controlled:		44,832,495		8.27%		47,086,505		8.68%
Â	Â		Â		Â		Â		Â
(2)	Derivatives (other than
	options):		4,487,293		0.83%		1,467,422		0.27%
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:
			49,629,788		9.15%		48,658,927		8.97%

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		27		47.0900 ZAR
ORD		Purchase		27		47.1800 ZAR
ORD		Purchase		27		47.4800 ZAR
ORD		Purchase		200		3.6710 GBP
ORD		Purchase		270		47.6300 ZAR
ORD		Purchase		354		47.5900 ZAR
ORD		Purchase		530		47.7100 ZAR
ORD		Purchase		551		47.7900 ZAR
ORD		Purchase		582		3.6683 GBP
ORD		Purchase		814		47.7200 ZAR
ORD		Purchase		835		47.6500 ZAR
ORD		Purchase		887		46.9600 ZAR
ORD		Purchase		1,042		47.8200 ZAR
ORD		Purchase		1,075		47.0400 ZAR
ORD		Purchase		1,088		3.6527 GBP
ORD		Purchase		1,234		47.4000 ZAR
ORD		Purchase		1,259		47.7300 ZAR
ORD		Purchase		1,301		47.7600 ZAR
ORD		Purchase		1,304		47.0000 ZAR
ORD		Purchase		1,597		47.6000 ZAR
ORD		Purchase		1,657		46.8300 ZAR
ORD		Purchase		2,201		46.8500 ZAR
ORD		Purchase		2,394		46.9300 ZAR
ORD		Purchase		2,715		47.7700 ZAR
ORD		Purchase		3,309		47.7500 ZAR
ORD		Purchase		3,841		47.5800 ZAR
ORD		Purchase		4,000		47.5500 ZAR
ORD		Purchase		4,000		47.6100 ZAR
ORD		Purchase		4,513		3.6780 GBP
ORD		Purchase		5,000		47.7800 ZAR
ORD		Purchase		5,918		3.6741 GBP
ORD		Purchase		7,565		3.6824 GBP
ORD		Purchase		11,404		47.2500 ZAR
ORD		Purchase		12,665		3.6791 GBP
ORD		Purchase		20,892		3.6563 GBP
ORD		Purchase		24,270		3.6604 GBP
ORD		Purchase		78,618		3.6601 GBP
ORD		Purchase		308,414		3.6593 GBP
ORD		Sale		115		47.6500 ZAR
ORD		Sale		302		47.1400 ZAR
ORD		Sale		305		47.5100 ZAR
ORD		Sale		330		46.7500 ZAR
ORD		Sale		413		47.0700 ZAR
ORD		Sale		413		47.6100 ZAR
ORD		Sale		413		47.6200 ZAR
ORD		Sale		413		47.7800 ZAR
ORD		Sale		461		47.0800 ZAR
ORD		Sale		568		3.6492 GBP
ORD		Sale		733		47.5700 ZAR
ORD		Sale		810		47.5400 ZAR
ORD		Sale		826		46.7600 ZAR
ORD		Sale		826		46.8400 ZAR
ORD		Sale		826		47.1700 ZAR
ORD		Sale		846		3.6567 GBP
ORD		Sale		1,000		47.7100 ZAR
ORD		Sale		1,033		47.5900 ZAR
ORD		Sale		1,053		47.6600 ZAR
ORD		Sale		1,081		46.9700 ZAR
ORD		Sale		1,157		47.1000 ZAR
ORD		Sale		1,157		47.4800 ZAR
ORD		Sale		1,165		46.9400 ZAR
ORD		Sale		1,415		46.9600 ZAR
ORD		Sale		1,500		47.3300 ZAR
ORD		Sale		1,911		46.9300 ZAR
ORD		Sale		1,938		46.9800 ZAR
ORD		Sale		1,948		46.8600 ZAR
ORD		Sale		2,000		47.5200 ZAR
ORD		Sale		2,031		3.6372 GBP
ORD		Sale		2,200		47.2700 ZAR
ORD		Sale		2,445		46.7900 ZAR
ORD		Sale		2,577		47.0300 ZAR
ORD		Sale		2,579		47.2200 ZAR
ORD		Sale		2,761		3.6750 GBP
ORD		Sale		2,799		47.5800 ZAR
ORD		Sale		2,808		47.0400 ZAR
ORD		Sale		2,959		46.8800 ZAR
ORD		Sale		3,162		47.3400 ZAR
ORD		Sale		3,358		47.6800 ZAR
ORD		Sale		3,793		47.0000 ZAR
ORD		Sale		3,810		47.2000 ZAR
ORD		Sale		4,000		46.8500 ZAR
ORD		Sale		4,000		47.0900 ZAR
ORD		Sale		4,000		47.1800 ZAR
ORD		Sale		4,000		47.2300 ZAR
ORD		Sale		4,000		47.3100 ZAR
ORD		Sale		4,000		47.4300 ZAR
ORD		Sale		4,000		47.4500 ZAR
ORD		Sale		4,013		47.5300 ZAR
ORD		Sale		4,207		47.3200 ZAR
ORD		Sale		4,820		47.1900 ZAR
ORD		Sale		5,197		47.6900 ZAR
ORD		Sale		5,425		47.3900 ZAR
ORD		Sale		5,748		46.9500 ZAR
ORD		Sale		6,033		47.1300 ZAR
ORD		Sale		6,096		47.2900 ZAR
ORD		Sale		6,444		46.9000 ZAR
ORD		Sale		6,597		47.4400 ZAR
ORD		Sale		8,000		47.3800 ZAR
ORD		Sale		8,000		47.4000 ZAR
ORD		Sale		8,645		46.9100 ZAR
ORD		Sale		9,000		47.2600 ZAR
ORD		Sale		9,471		3.6702 GBP
ORD		Sale		9,949		47.4900 ZAR
ORD		Sale		11,616		47.2400 ZAR
ORD		Sale		12,000		47.4700 ZAR
ORD		Sale		13,394		3.6522 GBP
ORD		Sale		13,958		47.5000 ZAR
ORD		Sale		14,770		3.6486 GBP
ORD		Sale		16,553		47.2500 ZAR
ORD		Sale		32,413		3.6777 GBP
ORD		Sale		50,362		3.6530 GBP
ORD		Sale		105,499		47.2464 ZAR
ORD		Sale		111,298		3.6733 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		6,326		3.6728 GBP
ORD		CFD		Long		15,215		3.6429 GBP
ORD		CFD		Long		15,277		47.2208 ZAR
ORD		CFD		Long		17,280		47.1094 ZAR
ORD		CFD		Long		32,656		3.6663 GBP
ORD		CFD		Long		49,605		3.6909 GBP
ORD		CFD		Long		105,499		47.2368 ZAR
ORD		CFD		Long		190,782		47.2537 ZAR
ORD		CFD		Short		682		47.2689 ZAR
ORD		CFD		Short		3,505		3.6714 GBP
ORD		CFD		Short		3,662		47.7074 ZAR
ORD		CFD		Short		18,770		47.1562 ZAR
ORD		CFD		Short		30,500		47.6243 ZAR
ORD		CFD		Short		38,583		3.6662 GBP
ORD		CFD		Short		315,386		3.6598 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	17 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.

143221.01

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.