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:		18 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:		45,754,748		8.44%		48,281,093		8.90%
Â	Â		Â		Â		Â		Â
(2)	Derivatives (other than
	options):		6,342,052		1.17%		2,286,656		0.42%
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:
			52,406,800		9.66%		50,672,749		9.34%

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		165		44.8300 ZAR
ORD		Purchase		215		45.0000 ZAR
ORD		Purchase		400		3.4530 GBP
ORD		Purchase		500		45.1300 ZAR
ORD		Purchase		500		45.2700 ZAR
ORD		Purchase		699		44.8400 ZAR
ORD		Purchase		699		44.8700 ZAR
ORD		Purchase		700		45.2400 ZAR
ORD		Purchase		709		44.9100 ZAR
ORD		Purchase		781		44.9900 ZAR
ORD		Purchase		900		44.9600 ZAR
ORD		Purchase		900		45.3300 ZAR
ORD		Purchase		966		45.0800 ZAR
ORD		Purchase		1,000		44.9500 ZAR
ORD		Purchase		1,100		45.2600 ZAR
ORD		Purchase		1,116		45.2200 ZAR
ORD		Purchase		1,180		45.0200 ZAR
ORD		Purchase		1,246		45.3200 ZAR
ORD		Purchase		1,318		3.4591 GBP
ORD		Purchase		1,521		44.8600 ZAR
ORD		Purchase		1,550		45.0600 ZAR
ORD		Purchase		1,590		45.2000 ZAR
ORD		Purchase		1,735		44.8800 ZAR
ORD		Purchase		1,741		45.1200 ZAR
ORD		Purchase		1,952		45.0100 ZAR
ORD		Purchase		2,000		45.2800 ZAR
ORD		Purchase		2,103		45.0300 ZAR
ORD		Purchase		2,331		45.0500 ZAR
ORD		Purchase		2,389		45.0700 ZAR
ORD		Purchase		2,543		3.4619 GBP
ORD		Purchase		3,228		45.2500 ZAR
ORD		Purchase		3,420		45.1900 ZAR
ORD		Purchase		4,717		3.4791 GBP
ORD		Purchase		4,928		45.1100 ZAR
ORD		Purchase		5,646		45.1700 ZAR
ORD		Purchase		5,700		3.4774 GBP
ORD		Purchase		6,151		45.2300 ZAR
ORD		Purchase		6,290		45.1600 ZAR
ORD		Purchase		6,464		45.3400 ZAR
ORD		Purchase		6,676		45.0900 ZAR
ORD		Purchase		6,703		45.1400 ZAR
ORD		Purchase		6,717		3.4789 GBP
ORD		Purchase		7,339		45.1500 ZAR
ORD		Purchase		8,825		3.4614 GBP
ORD		Purchase		9,320		45.1800 ZAR
ORD		Purchase		14,268		3.4610 GBP
ORD		Purchase		15,532		3.4647 GBP
ORD		Purchase		17,947		45.1000 ZAR
ORD		Purchase		18,301		3.4593 GBP
ORD		Purchase		20,806		3.4740 GBP
ORD		Purchase		25,275		3.5000 GBP
ORD		Purchase		32,233		3.4606 GBP
ORD		Purchase		34,582		3.4611 GBP
ORD		Purchase		36,370		3.4663 GBP
ORD		Purchase		47,269		3.4848 GBP
ORD		Purchase		102,366		45.1634 ZAR
ORD		Purchase		115,250		3.4796 GBP
ORD		Purchase		149,249		3.4670 GBP
ORD		Purchase		281,916		3.4701 GBP
ORD		Sale		1		45.3700 ZAR
ORD		Sale		15		45.4000 ZAR
ORD		Sale		113		45.1700 ZAR
ORD		Sale		500		44.7100 ZAR
ORD		Sale		770		44.8900 ZAR
ORD		Sale		937		44.8500 ZAR
ORD		Sale		996		45.2100 ZAR
ORD		Sale		1,048		44.8700 ZAR
ORD		Sale		1,354		44.7200 ZAR
ORD		Sale		1,487		44.8300 ZAR
ORD		Sale		2,296		45.2300 ZAR
ORD		Sale		2,372		44.8800 ZAR
ORD		Sale		2,471		44.8000 ZAR
ORD		Sale		2,555		44.9800 ZAR
ORD		Sale		3,400		45.0400 ZAR
ORD		Sale		4,000		45.1600 ZAR
ORD		Sale		4,215		45.1800 ZAR
ORD		Sale		5,644		44.8100 ZAR
ORD		Sale		5,653		45.0100 ZAR
ORD		Sale		5,717		44.9400 ZAR
ORD		Sale		5,718		44.8200 ZAR
ORD		Sale		5,985		44.9100 ZAR
ORD		Sale		6,272		44.7900 ZAR
ORD		Sale		6,300		3.4842 GBP
ORD		Sale		6,389		44.9300 ZAR
ORD		Sale		8,586		44.9500 ZAR
ORD		Sale		8,672		44.8600 ZAR
ORD		Sale		8,866		44.7400 ZAR
ORD		Sale		9,000		44.9200 ZAR
ORD		Sale		14,066		45.1900 ZAR
ORD		Sale		14,353		44.7600 ZAR
ORD		Sale		14,663		3.4837 GBP
ORD		Sale		16,040		44.9000 ZAR
ORD		Sale		17,490		44.7000 ZAR
ORD		Sale		20,111		44.7500 ZAR
ORD		Sale		20,678		3.4807 GBP
ORD		Sale		23,633		3.4876 GBP
ORD		Sale		33,089		45.0000 ZAR
ORD		Sale		42,199		3.4767 GBP
ORD		Sale		53,387		45.1500 ZAR
ORD		Sale		57,155		3.4822 GBP
ORD		Sale		60,782		45.2000 ZAR
ORD		Sale		67,829		45.1000 ZAR
ORD		Sale		252,445		3.4877 GBP
ORD		Sale		355,472		3.4793 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		4,014		3.4638 GBP
ORD		CFD		Long		7,174		3.4571 GBP
ORD		CFD		Long		8,016		44.9909 ZAR
ORD		CFD		Long		18,186		45.0251 ZAR
ORD		CFD		Long		19,086		45.0819 ZAR
ORD		CFD		Long		20,478		3.4942 GBP
ORD		CFD		Long		55,293		3.4702 GBP
ORD		CFD		Long		170,018		3.4922 GBP
ORD		CFD		Long		301,917		44.9731 ZAR
ORD		CFD		Short		787		45.1180 ZAR
ORD		CFD		Short		1,345		45.1197 ZAR
ORD		CFD		Short		1,851		44.9464 ZAR
ORD		CFD		Short		13,598		3.4903 GBP
ORD		CFD		Short		19,896		45.1850 ZAR
ORD		CFD		Short		32,233		3.4606 GBP
ORD		CFD		Short		41,734		45.1711 ZAR
ORD		CFD		Short		54,078		3.4707 GBP
ORD		CFD		Short		102,366		45.1723 ZAR
ORD		CFD		Short		327,830		3.4674 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	21 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.