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	21 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				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		46,320,511		8.54%		48,959,626		9.03%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		7,591,001		1.40%		2,875,681		0.53%
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:
				54,221,512		10.00%		51,940,307		9.58%

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		500		44.1500 ZAR
ORD		Purchase		500		44.1600 ZAR
ORD		Purchase		500		44.1800 ZAR
ORD		Purchase		500		44.3000 ZAR
ORD		Purchase		500		44.8200 ZAR
ORD		Purchase		500		45.2000 ZAR
ORD		Purchase		600		44.1100 ZAR
ORD		Purchase		626		44.3600 ZAR
ORD		Purchase		700		44.8700 ZAR
ORD		Purchase		700		45.1100 ZAR
ORD		Purchase		770		3.3598 GBP
ORD		Purchase		1,000		44.4100 ZAR
ORD		Purchase		1,000		45.0100 ZAR
ORD		Purchase		1,100		44.7800 ZAR
ORD		Purchase		1,237		44.4800 ZAR
ORD		Purchase		1,300		44.1200 ZAR
ORD		Purchase		1,807		44.1400 ZAR
ORD		Purchase		1,995		3.3650 GBP
ORD		Purchase		3,000		3.4370 GBP
ORD		Purchase		3,400		44.6100 ZAR
ORD		Purchase		3,993		44.1300 ZAR
ORD		Purchase		4,064		3.3666 GBP
ORD		Purchase		5,000		44.6000 ZAR
ORD		Purchase		12,093		3.3643 GBP
ORD		Purchase		17,181		43.8600 ZAR
ORD		Purchase		20,806		3.3680 GBP
ORD		Purchase		25,581		3.3822 GBP
ORD		Purchase		32,927		3.4204 GBP
ORD		Purchase		62,664		3.4237 GBP
ORD		Purchase		64,095		3.3656 GBP
ORD		Purchase		202,100		3.4145 GBP
ORD		Purchase		452,339		3.4148 GBP
ORD		Sale		204		44.5300 ZAR
ORD		Sale		276		44.8600 ZAR
ORD		Sale		378		43.9700 ZAR
ORD		Sale		455		45.0200 ZAR
ORD		Sale		507		45.3000 ZAR
ORD		Sale		522		44.0800 ZAR
ORD		Sale		578		45.0100 ZAR
ORD		Sale		999		44.7000 ZAR
ORD		Sale		1,008		44.4900 ZAR
ORD		Sale		1,025		45.2500 ZAR
ORD		Sale		1,038		44.8000 ZAR
ORD		Sale		1,050		44.5700 ZAR
ORD		Sale		1,067		45.1300 ZAR
ORD		Sale		1,069		3.3574 GBP
ORD		Sale		1,184		44.7600 ZAR
ORD		Sale		1,203		44.7300 ZAR
ORD		Sale		1,206		44.7100 ZAR
ORD		Sale		1,237		44.2000 ZAR
ORD		Sale		1,272		44.4100 ZAR
ORD		Sale		1,289		44.5100 ZAR
ORD		Sale		1,322		44.2400 ZAR
ORD		Sale		1,364		45.1400 ZAR
ORD		Sale		1,637		44.6100 ZAR
ORD		Sale		1,693		45.2300 ZAR
ORD		Sale		2,003		44.3800 ZAR
ORD		Sale		2,066		45.1000 ZAR
ORD		Sale		2,125		44.3900 ZAR
ORD		Sale		2,448		3.3300 GBP
ORD		Sale		2,470		44.6000 ZAR
ORD		Sale		2,515		44.1100 ZAR
ORD		Sale		2,522		44.0200 ZAR
ORD		Sale		2,529		45.3600 ZAR
ORD		Sale		2,688		44.0000 ZAR
ORD		Sale		2,917		44.2900 ZAR
ORD		Sale		3,073		44.9000 ZAR
ORD		Sale		3,079		45.2800 ZAR
ORD		Sale		3,158		3.4072 GBP
ORD		Sale		3,202		45.0300 ZAR
ORD		Sale		3,571		44.7800 ZAR
ORD		Sale		3,800		3.3825 GBP
ORD		Sale		4,000		44.2100 ZAR
ORD		Sale		4,000		44.2700 ZAR
ORD		Sale		4,000		44.5200 ZAR
ORD		Sale		4,000		44.9400 ZAR
ORD		Sale		4,000		44.9500 ZAR
ORD		Sale		4,234		3.4145 GBP
ORD		Sale		4,240		44.3700 ZAR
ORD		Sale		4,446		44.4200 ZAR
ORD		Sale		4,500		44.3400 ZAR
ORD		Sale		4,534		44.4800 ZAR
ORD		Sale		4,967		44.4000 ZAR
ORD		Sale		5,000		44.9700 ZAR
ORD		Sale		5,733		44.1400 ZAR
ORD		Sale		5,837		44.1600 ZAR
ORD		Sale		6,100		3.4054 GBP
ORD		Sale		6,198		43.8600 ZAR
ORD		Sale		6,234		45.0400 ZAR
ORD		Sale		6,250		44.6300 ZAR
ORD		Sale		6,673		44.8300 ZAR
ORD		Sale		7,000		44.7900 ZAR
ORD		Sale		7,136		3.3717 GBP
ORD		Sale		7,307		44.3600 ZAR
ORD		Sale		7,534		45.1100 ZAR
ORD		Sale		7,701		44.6400 ZAR
ORD		Sale		7,702		44.7400 ZAR
ORD		Sale		8,000		44.4500 ZAR
ORD		Sale		8,000		45.0000 ZAR
ORD		Sale		8,270		44.1200 ZAR
ORD		Sale		8,398		44.8400 ZAR
ORD		Sale		9,000		44.3100 ZAR
ORD		Sale		9,029		44.1300 ZAR
ORD		Sale		9,098		44.5900 ZAR
ORD		Sale		9,699		44.2500 ZAR
ORD		Sale		10,300		44.6700 ZAR
ORD		Sale		11,074		44.2600 ZAR
ORD		Sale		11,268		44.1800 ZAR
ORD		Sale		12,031		44.9600 ZAR
ORD		Sale		12,195		3.3523 GBP
ORD		Sale		12,706		44.6800 ZAR
ORD		Sale		14,850		44.8200 ZAR
ORD		Sale		15,093		44.6500 ZAR
ORD		Sale		15,434		44.1900 ZAR
ORD		Sale		15,599		44.3000 ZAR
ORD		Sale		18,790		44.1700 ZAR
ORD		Sale		19,778		44.7500 ZAR
ORD		Sale		22,779		44.8100 ZAR
ORD		Sale		24,907		44.8500 ZAR
ORD		Sale		26,327		3.3972 GBP
ORD		Sale		26,874		44.3500 ZAR
ORD		Sale		29,811		44.1500 ZAR
ORD		Sale		39,811		3.4121 GBP
ORD		Sale		63,976		44.1000 ZAR
ORD		Sale		70,274		3.4046 GBP
ORD		Sale		89,944		44.9815 ZAR
ORD		Sale		189,989		3.3815 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		1,025		45.2355 ZAR
ORD		CFD		Long		1,069		3.3574 GBP
ORD		CFD		Long		1,655		3.4495 GBP
ORD		CFD		Long		3,614		44.9561 ZAR
ORD		CFD		Long		5,148		44.8002 ZAR
ORD		CFD		Long		8,565		3.3359 GBP
ORD		CFD		Long		22,692		3.3982 GBP
ORD		CFD		Long		27,789		3.4125 GBP
ORD		CFD		Long		46,194		3.3843 GBP
ORD		CFD		Long		89,944		44.9724 ZAR
ORD		CFD		Long		544,387		44.4774 ZAR
ORD		CFD		Short		379		3.3428 GBP
ORD		CFD		Short		584		3.3407 GBP
ORD		CFD		Short		1,600		43.8731 ZAR
ORD		CFD		Short		7,240		3.3408 GBP
ORD		CFD		Short		10,669		3.3474 GBP
ORD		CFD		Short		12,083		44.3355 ZAR
ORD		CFD		Short		25,821		3.4131 GBP
ORD		CFD		Short		654,391		3.4225 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	22 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 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.