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	17 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:		45,745,144		8.43%		48,136,802		8.87%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		6,069,698		1.12%		2,158,905		0.40%
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:
				52,124,842		9.61%		50,400,707		9.29%

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		35		47.0700 ZAR
ORD		Purchase		83		46.5100 ZAR
ORD		Purchase		530		47.1500 ZAR
ORD		Purchase		536		47.0900 ZAR
ORD		Purchase		600		46.7100 ZAR
ORD		Purchase		700		47.3100 ZAR
ORD		Purchase		867		46.1000 ZAR
ORD		Purchase		900		46.6700 ZAR
ORD		Purchase		983		46.4600 ZAR
ORD		Purchase		994		47.4100 ZAR
ORD		Purchase		998		47.1600 ZAR
ORD		Purchase		1,033		45.7900 ZAR
ORD		Purchase		1,033		45.8500 ZAR
ORD		Purchase		1,033		46.7000 ZAR
ORD		Purchase		1,033		46.7400 ZAR
ORD		Purchase		1,051		47.2600 ZAR
ORD		Purchase		1,083		46.5900 ZAR
ORD		Purchase		1,199		46.0700 ZAR
ORD		Purchase		1,349		47.4200 ZAR
ORD		Purchase		1,852		3.5966 GBP
ORD		Purchase		1,865		47.1900 ZAR
ORD		Purchase		1,924		46.6400 ZAR
ORD		Purchase		2,200		47.3700 ZAR
ORD		Purchase		2,293		46.0200 ZAR
ORD		Purchase		2,505		45.6500 ZAR
ORD		Purchase		2,806		47.3000 ZAR
ORD		Purchase		2,992		47.2200 ZAR
ORD		Purchase		3,000		46.5300 ZAR
ORD		Purchase		3,645		3.5647 GBP
ORD		Purchase		3,786		47.0300 ZAR
ORD		Purchase		5,000		45.9900 ZAR
ORD		Purchase		6,657		47.4300 ZAR
ORD		Purchase		6,995		3.6066 GBP
ORD		Purchase		9,612		3.6057 GBP
ORD		Purchase		10,403		3.5430 GBP
ORD		Purchase		10,403		3.5490 GBP
ORD		Purchase		15,700		45.9700 ZAR
ORD		Purchase		18,118		3.6177 GBP
ORD		Purchase		25,386		3.6021 GBP
ORD		Purchase		27,163		3.5652 GBP
ORD		Purchase		97,189		3.5828 GBP
ORD		Purchase		230,424		47.2500 ZAR
ORD		Purchase		286,082		3.5736 GBP
ORD		Purchase		657,460		3.5746 GBP
ORD		Sale		13		47.2000 ZAR
ORD		Sale		57		47.1000 ZAR
ORD		Sale		91		46.3200 ZAR
ORD		Sale		170		46.4500 ZAR
ORD		Sale		212		46.9600 ZAR
ORD		Sale		303		45.8800 ZAR
ORD		Sale		343		46.7300 ZAR
ORD		Sale		400		47.1900 ZAR
ORD		Sale		413		46.7600 ZAR
ORD		Sale		595		46.4100 ZAR
ORD		Sale		600		46.8400 ZAR
ORD		Sale		700		47.3100 ZAR
ORD		Sale		783		46.0700 ZAR
ORD		Sale		823		47.2200 ZAR
ORD		Sale		967		45.6100 ZAR
ORD		Sale		983		46.4600 ZAR
ORD		Sale		1,000		3.5503 GBP
ORD		Sale		1,000		46.8500 ZAR
ORD		Sale		1,004		46.9700 ZAR
ORD		Sale		1,008		45.9900 ZAR
ORD		Sale		1,010		46.3300 ZAR
ORD		Sale		1,020		47.1400 ZAR
ORD		Sale		1,033		45.9100 ZAR
ORD		Sale		1,110		46.2700 ZAR
ORD		Sale		1,137		46.2900 ZAR
ORD		Sale		1,159		45.5000 ZAR
ORD		Sale		1,207		45.8600 ZAR
ORD		Sale		1,214		47.0400 ZAR
ORD		Sale		1,284		45.5200 ZAR
ORD		Sale		1,285		45.7200 ZAR
ORD		Sale		1,300		45.9400 ZAR
ORD		Sale		1,300		46.6100 ZAR
ORD		Sale		1,419		45.6900 ZAR
ORD		Sale		1,433		3.5558 GBP
ORD		Sale		1,500		47.1300 ZAR
ORD		Sale		1,513		45.6500 ZAR
ORD		Sale		1,568		46.1200 ZAR
ORD		Sale		1,583		47.2100 ZAR
ORD		Sale		1,700		45.7000 ZAR
ORD		Sale		1,800		47.1500 ZAR
ORD		Sale		1,895		45.7500 ZAR
ORD		Sale		1,906		46.3100 ZAR
ORD		Sale		1,943		46.2200 ZAR
ORD		Sale		2,010		46.1100 ZAR
ORD		Sale		2,017		46.8600 ZAR
ORD		Sale		2,191		46.6700 ZAR
ORD		Sale		2,267		46.5400 ZAR
ORD		Sale		2,270		46.6600 ZAR
ORD		Sale		2,381		46.0800 ZAR
ORD		Sale		2,409		46.7700 ZAR
ORD		Sale		2,503		45.8000 ZAR
ORD		Sale		2,505		3.5230 GBP
ORD		Sale		2,719		45.6800 ZAR
ORD		Sale		2,805		45.7400 ZAR
ORD		Sale		2,806		47.3000 ZAR
ORD		Sale		2,807		46.5100 ZAR
ORD		Sale		2,938		46.0100 ZAR
ORD		Sale		3,000		46.3900 ZAR
ORD		Sale		3,266		3.5773 GBP
ORD		Sale		3,285		45.6700 ZAR
ORD		Sale		3,300		45.8100 ZAR
ORD		Sale		3,465		46.8300 ZAR
ORD		Sale		3,489		3.5358 GBP
ORD		Sale		3,537		46.1800 ZAR
ORD		Sale		3,565		47.0700 ZAR
ORD		Sale		4,083		45.7700 ZAR
ORD		Sale		4,211		47.0300 ZAR
ORD		Sale		4,348		45.9500 ZAR
ORD		Sale		4,400		45.8400 ZAR
ORD		Sale		4,584		46.1600 ZAR
ORD		Sale		4,813		46.9500 ZAR
ORD		Sale		4,831		46.9800 ZAR
ORD		Sale		4,992		45.7600 ZAR
ORD		Sale		5,718		46.6800 ZAR
ORD		Sale		6,067		46.5800 ZAR
ORD		Sale		6,084		45.8200 ZAR
ORD		Sale		6,089		46.2300 ZAR
ORD		Sale		6,302		46.5900 ZAR
ORD		Sale		6,538		45.7900 ZAR
ORD		Sale		6,598		46.6900 ZAR
ORD		Sale		7,473		45.9600 ZAR
ORD		Sale		7,770		46.1300 ZAR
ORD		Sale		7,950		46.0600 ZAR
ORD		Sale		8,063		46.2100 ZAR
ORD		Sale		8,166		47.0600 ZAR
ORD		Sale		8,221		45.7800 ZAR
ORD		Sale		8,982		45.8300 ZAR
ORD		Sale		8,986		46.6400 ZAR
ORD		Sale		9,045		46.2600 ZAR
ORD		Sale		9,133		46.2400 ZAR
ORD		Sale		9,385		46.5000 ZAR
ORD		Sale		9,832		46.5500 ZAR
ORD		Sale		9,885		46.5700 ZAR
ORD		Sale		10,006		46.7400 ZAR
ORD		Sale		10,610		46.2500 ZAR
ORD		Sale		10,910		46.7200 ZAR
ORD		Sale		11,534		46.0900 ZAR
ORD		Sale		11,818		45.6000 ZAR
ORD		Sale		11,996		46.0400 ZAR
ORD		Sale		12,606		46.1900 ZAR
ORD		Sale		13,052		45.9800 ZAR
ORD		Sale		13,169		45.9700 ZAR
ORD		Sale		13,186		46.6300 ZAR
ORD		Sale		13,302		47.0500 ZAR
ORD		Sale		13,596		45.8900 ZAR
ORD		Sale		14,462		45.7300 ZAR
ORD		Sale		14,616		46.0500 ZAR
ORD		Sale		15,057		46.5600 ZAR
ORD		Sale		15,113		46.0300 ZAR
ORD		Sale		15,198		3.5869 GBP
ORD		Sale		15,606		46.1000 ZAR
ORD		Sale		16,796		46.1700 ZAR
ORD		Sale		17,925		46.1500 ZAR
ORD		Sale		19,017		46.2000 ZAR
ORD		Sale		19,547		45.9000 ZAR
ORD		Sale		20,420		46.7100 ZAR
ORD		Sale		23,101		3.5573 GBP
ORD		Sale		26,792		3.5632 GBP
ORD		Sale		27,129		46.1400 ZAR
ORD		Sale		28,331		3.5583 GBP
ORD		Sale		29,558		46.6000 ZAR
ORD		Sale		38,105		46.6500 ZAR
ORD		Sale		38,245		46.0000 ZAR
ORD		Sale		40,004		46.7000 ZAR
ORD		Sale		47,967		3.5698 GBP
ORD		Sale		174,490		3.5689 GBP
ORD		Sale		230,381		47.2500 ZAR
ORD		Sale		265,072		46.3437 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		508		46.6350 ZAR
ORD		CFD		Long		5,165		46.1560 ZAR
ORD		CFD		Long		6,379		3.6090 GBP
ORD		CFD		Long		16,372		46.2033 ZAR
ORD		CFD		Long		23,257		3.5333 GBP
ORD		CFD		Long		56,938		46.7156 ZAR
ORD		CFD		Long		113,238		3.5666 GBP
ORD		CFD		Long		230,000		3.6752 GBP
ORD		CFD		Long		265,072		46.3343 ZAR
ORD		CFD		Long		684,041		46.2560 ZAR
ORD		CFD		Short		3,786		47.0450 ZAR
ORD		CFD		Short		4,928		3.5513 GBP
ORD		CFD		Short		5,000		46.0047 ZAR
ORD		CFD		Short		10,289		47.0102 ZAR
ORD		CFD		Short		21,648		47.1332 ZAR
ORD		CFD		Short		25,386		3.6021 GBP
ORD		CFD		Short		30,852		3.5868 GBP
ORD		CFD		Short		230,000		47.2547 ZAR
ORD		CFD		Short		933,027		3.5766 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:		18 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.