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	12 August 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:		32,445,654		5.98%		33,870,309		6.24%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		3,730,991		0.69%		3,894,014		0.72%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		1,072,000		0.20%		0		0.00%
Â		Â		Â		Â		Â		Â
(4)		TOTAL:
				37,248,645		6.87%		37,764,323		6.96%

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		3		48.9800 ZAR
ORD		Purchase		101		48.7100 ZAR
ORD		Purchase		107		48.9100 ZAR
ORD		Purchase		200		47.1200 ZAR
ORD		Purchase		200		47.2800 ZAR
ORD		Purchase		200		47.3700 ZAR
ORD		Purchase		204		49.0400 ZAR
ORD		Purchase		244		47.4000 ZAR
ORD		Purchase		298		48.5200 ZAR
ORD		Purchase		300		47.5000 ZAR
ORD		Purchase		300		48.8700 ZAR
ORD		Purchase		346		49.3200 ZAR
ORD		Purchase		400		48.7200 ZAR
ORD		Purchase		471		47.8500 ZAR
ORD		Purchase		500		47.4600 ZAR
ORD		Purchase		500		48.4900 ZAR
ORD		Purchase		505		49.0700 ZAR
ORD		Purchase		508		49.1400 ZAR
ORD		Purchase		516		47.8200 ZAR
ORD		Purchase		727		47.2200 ZAR
ORD		Purchase		745		47.8300 ZAR
ORD		Purchase		827		47.3800 ZAR
ORD		Purchase		827		47.4500 ZAR
ORD		Purchase		842		48.1200 ZAR
ORD		Purchase		846		48.6600 ZAR
ORD		Purchase		883		47.7500 ZAR
ORD		Purchase		929		48.6900 ZAR
ORD		Purchase		1,000		47.7600 ZAR
ORD		Purchase		1,033		49.0500 ZAR
ORD		Purchase		1,100		48.7600 ZAR
ORD		Purchase		1,110		47.9500 ZAR
ORD		Purchase		1,114		48.2100 ZAR
ORD		Purchase		1,133		48.0800 ZAR
ORD		Purchase		1,163		49.1100 ZAR
ORD		Purchase		1,170		48.6200 ZAR
ORD		Purchase		1,214		47.7400 ZAR
ORD		Purchase		1,218		48.9900 ZAR
ORD		Purchase		1,246		47.9200 ZAR
ORD		Purchase		1,297		48.8300 ZAR
ORD		Purchase		1,352		49.3100 ZAR
ORD		Purchase		1,353		49.2800 ZAR
ORD		Purchase		1,373		4.1339 GBP
ORD		Purchase		1,402		49.0600 ZAR
ORD		Purchase		1,541		48.7900 ZAR
ORD		Purchase		1,559		47.3400 ZAR
ORD		Purchase		1,657		48.5100 ZAR
ORD		Purchase		1,727		47.2400 ZAR
ORD		Purchase		1,993		48.3400 ZAR
ORD		Purchase		2,000		48.3000 ZAR
ORD		Purchase		2,000		48.8600 ZAR
ORD		Purchase		2,066		48.1900 ZAR
ORD		Purchase		2,067		47.3500 ZAR
ORD		Purchase		2,095		47.6700 ZAR
ORD		Purchase		2,171		49.0900 ZAR
ORD		Purchase		2,179		48.5700 ZAR
ORD		Purchase		2,500		47.5500 ZAR
ORD		Purchase		2,500		48.7500 ZAR
ORD		Purchase		2,503		49.0000 ZAR
ORD		Purchase		2,713		47.6300 ZAR
ORD		Purchase		2,728		48.2200 ZAR
ORD		Purchase		2,732		48.9000 ZAR
ORD		Purchase		2,749		48.5900 ZAR
ORD		Purchase		2,769		48.0000 ZAR
ORD		Purchase		2,810		48.5600 ZAR
ORD		Purchase		2,983		48.5400 ZAR
ORD		Purchase		3,091		48.0500 ZAR
ORD		Purchase		3,107		48.3700 ZAR
ORD		Purchase		3,273		47.2300 ZAR
ORD		Purchase		3,351		48.7400 ZAR
ORD		Purchase		3,357		47.5300 ZAR
ORD		Purchase		3,917		48.7700 ZAR
ORD		Purchase		3,994		47.4900 ZAR
ORD		Purchase		4,000		47.2900 ZAR
ORD		Purchase		4,000		47.4200 ZAR
ORD		Purchase		4,000		48.4700 ZAR
ORD		Purchase		4,000		48.6400 ZAR
ORD		Purchase		4,070		48.3800 ZAR
ORD		Purchase		4,256		48.6300 ZAR
ORD		Purchase		4,481		48.2800 ZAR
ORD		Purchase		4,934		48.1800 ZAR
ORD		Purchase		5,000		47.2000 ZAR
ORD		Purchase		5,039		48.3100 ZAR
ORD		Purchase		5,230		48.4100 ZAR
ORD		Purchase		5,299		48.5800 ZAR
ORD		Purchase		5,360		48.7000 ZAR
ORD		Purchase		5,500		48.5000 ZAR
ORD		Purchase		5,629		48.4300 ZAR
ORD		Purchase		6,728		48.7800 ZAR
ORD		Purchase		6,885		48.4500 ZAR
ORD		Purchase		9,000		48.8900 ZAR
ORD		Purchase		10,317		4.1620 GBP
ORD		Purchase		10,678		48.6100 ZAR
ORD		Purchase		10,938		48.3900 ZAR
ORD		Purchase		11,047		48.8000 ZAR
ORD		Purchase		11,938		48.8100 ZAR
ORD		Purchase		12,041		48.3500 ZAR
ORD		Purchase		12,481		48.4000 ZAR
ORD		Purchase		14,252		48.5500 ZAR
ORD		Purchase		18,777		4.1328 GBP
ORD		Purchase		19,481		48.8500 ZAR
ORD		Purchase		19,533		4.1335 GBP
ORD		Purchase		20,330		4.1587 GBP
ORD		Purchase		20,533		48.4800 ZAR
ORD		Purchase		22,410		48.2000 ZAR
ORD		Purchase		29,378		4.1623 GBP
ORD		Purchase		33,686		4.1382 GBP
ORD		Purchase		45,224		48.6000 ZAR
ORD		Purchase		108,833		4.1406 GBP
ORD		Purchase		130,340		48.3917 ZAR
ORD		Sale		18		48.6400 ZAR
ORD		Sale		41		49.1400 ZAR
ORD		Sale		53		48.3800 ZAR
ORD		Sale		101		48.0000 ZAR
ORD		Sale		125		48.6300 ZAR
ORD		Sale		153		47.3400 ZAR
ORD		Sale		173		48.4500 ZAR
ORD		Sale		200		47.7500 ZAR
ORD		Sale		200		47.8000 ZAR
ORD		Sale		200		47.9200 ZAR
ORD		Sale		204		48.1700 ZAR
ORD		Sale		214		47.7400 ZAR
ORD		Sale		214		47.9900 ZAR
ORD		Sale		250		48.9600 ZAR
ORD		Sale		293		49.2300 ZAR
ORD		Sale		300		47.5000 ZAR
ORD		Sale		300		47.9800 ZAR
ORD		Sale		400		47.8400 ZAR
ORD		Sale		400		49.0200 ZAR
ORD		Sale		413		48.8700 ZAR
ORD		Sale		418		47.5800 ZAR
ORD		Sale		420		48.1100 ZAR
ORD		Sale		498		48.7900 ZAR
ORD		Sale		500		48.7000 ZAR
ORD		Sale		500		48.7600 ZAR
ORD		Sale		538		48.4600 ZAR
ORD		Sale		623		48.4300 ZAR
ORD		Sale		631		48.7100 ZAR
ORD		Sale		638		48.4400 ZAR
ORD		Sale		643		48.6200 ZAR
ORD		Sale		672		48.1000 ZAR
ORD		Sale		727		47.2200 ZAR
ORD		Sale		745		47.8300 ZAR
ORD		Sale		800		49.0900 ZAR
ORD		Sale		846		4.1545 GBP
ORD		Sale		852		48.3000 ZAR
ORD		Sale		864		49.1600 ZAR
ORD		Sale		877		48.0300 ZAR
ORD		Sale		880		49.1300 ZAR
ORD		Sale		895		49.3000 ZAR
ORD		Sale		993		48.3400 ZAR
ORD		Sale		1,000		48.2700 ZAR
ORD		Sale		1,000		48.9700 ZAR
ORD		Sale		1,004		48.7400 ZAR
ORD		Sale		1,021		48.1600 ZAR
ORD		Sale		1,028		47.5400 ZAR
ORD		Sale		1,033		49.2600 ZAR
ORD		Sale		1,108		48.5800 ZAR
ORD		Sale		1,184		48.4900 ZAR
ORD		Sale		1,196		48.7500 ZAR
ORD		Sale		1,202		48.7800 ZAR
ORD		Sale		1,232		48.8100 ZAR
ORD		Sale		1,268		48.3100 ZAR
ORD		Sale		1,274		48.4200 ZAR
ORD		Sale		1,298		48.5200 ZAR
ORD		Sale		1,400		48.3600 ZAR
ORD		Sale		1,413		48.2100 ZAR
ORD		Sale		1,425		49.2500 ZAR
ORD		Sale		1,529		49.0500 ZAR
ORD		Sale		1,539		48.6900 ZAR
ORD		Sale		1,549		48.3700 ZAR
ORD		Sale		1,559		48.2300 ZAR
ORD		Sale		1,590		49.0100 ZAR
ORD		Sale		1,647		49.3300 ZAR
ORD		Sale		1,703		48.6800 ZAR
ORD		Sale		1,781		49.2200 ZAR
ORD		Sale		1,802		48.8200 ZAR
ORD		Sale		1,874		49.0000 ZAR
ORD		Sale		1,937		48.3300 ZAR
ORD		Sale		1,982		49.2000 ZAR
ORD		Sale		2,002		49.0600 ZAR
ORD		Sale		2,257		49.3200 ZAR
ORD		Sale		2,333		49.0400 ZAR
ORD		Sale		2,465		48.2200 ZAR
ORD		Sale		2,657		4.1497 GBP
ORD		Sale		2,818		48.0500 ZAR
ORD		Sale		2,895		48.6100 ZAR
ORD		Sale		3,000		48.9100 ZAR
ORD		Sale		3,040		48.5300 ZAR
ORD		Sale		3,041		47.8700 ZAR
ORD		Sale		3,100		49.2700 ZAR
ORD		Sale		3,201		48.5900 ZAR
ORD		Sale		3,207		48.5000 ZAR
ORD		Sale		3,441		4.1483 GBP
ORD		Sale		3,448		48.1300 ZAR
ORD		Sale		3,554		48.3200 ZAR
ORD		Sale		3,733		48.4100 ZAR
ORD		Sale		3,803		48.4000 ZAR
ORD		Sale		3,897		48.3500 ZAR
ORD		Sale		4,000		47.1900 ZAR
ORD		Sale		4,000		47.2600 ZAR
ORD		Sale		4,113		48.8800 ZAR
ORD		Sale		4,392		47.3000 ZAR
ORD		Sale		4,542		48.4800 ZAR
ORD		Sale		4,695		49.0800 ZAR
ORD		Sale		5,532		48.5600 ZAR
ORD		Sale		6,454		49.0300 ZAR
ORD		Sale		7,325		48.6000 ZAR
ORD		Sale		7,656		4.1536 GBP
ORD		Sale		9,093		48.9900 ZAR
ORD		Sale		9,853		49.2400 ZAR
ORD		Sale		11,237		48.5400 ZAR
ORD		Sale		16,889		48.5500 ZAR
ORD		Sale		35,375		4.1473 GBP
ORD		Sale		38,816		4.1490 GBP
ORD		Sale		165,461		4.1404 GBP
							Â

(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		20		48.0945 ZAR
ORD		CFD		Long		468		4.1188 GBP
ORD		CFD		Long		1,745		48.4677 ZAR
ORD		CFD		Long		3,200		48.4478 ZAR
ORD		CFD		Long		3,259		4.1550 GBP
ORD		CFD		Long		3,600		4.1691 GBP
ORD		CFD		Long		5,200		48.4405 ZAR
ORD		CFD		Long		5,282		48.9209 ZAR
ORD		CFD		Long		14,456		48.4807 ZAR
ORD		CFD		Long		37,607		4.1408 GBP
ORD		CFD		Long		89,097		4.1255 GBP
ORD		CFD		Long		155,529		48.5489 ZAR
ORD		CFD		Long		485,346		4.1318 GBP
ORD		CFD		Long		490,352		48.4105 ZAR
ORD		CFD		Short		20		48.5555 ZAR
ORD		CFD		Short		3,502		48.4712 ZAR
ORD		CFD		Short		3,798		48.4117 ZAR
ORD		CFD		Short		4,002		48.5197 ZAR
ORD		CFD		Short		4,383		4.1209 GBP
ORD		CFD		Short		5,668		4.1542 GBP
ORD		CFD		Short		10,640		48.4792 ZAR
ORD		CFD		Short		16,228		48.6541 ZAR
ORD		CFD		Short		36,015		4.1236 GBP
ORD		CFD		Short		75,962		4.1357 GBP
ORD		CFD		Short		130,340		48.4012 ZAR
ORD		CFD		Short		185,432		48.5506 ZAR
ORD		CFD		Short		197,972		4.1390 GBP
ORD		CFD		Short		321,822		48.3993 ZAR

(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 Â

Date of disclosure:	Â	15 Aug 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].

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

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

100,000

5,200.0000

American

15 Sep 2011

ORD

Call Options

Purchased

972,000

5,800.0000

American

15 Sep 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.