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	15 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 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		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		31,888,003		5.88%		33,249,797		6.13%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		2,516,369		0.46%		2,724,740		0.50%
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:
				35,476,372		6.54%		35,974,537		6.63%

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		200		48.2600 ZAR
ORD		Purchase		247		48.5800 ZAR
ORD		Purchase		275		48.5400 ZAR
ORD		Purchase		291		48.7500 ZAR
ORD		Purchase		347		48.3300 ZAR
ORD		Purchase		500		48.2200 ZAR
ORD		Purchase		600		48.0900 ZAR
ORD		Purchase		604		48.4600 ZAR
ORD		Purchase		700		48.8800 ZAR
ORD		Purchase		713		48.2700 ZAR
ORD		Purchase		800		48.2100 ZAR
ORD		Purchase		827		48.0300 ZAR
ORD		Purchase		933		48.3000 ZAR
ORD		Purchase		951		48.4300 ZAR
ORD		Purchase		1,024		48.2800 ZAR
ORD		Purchase		1,154		48.3100 ZAR
ORD		Purchase		1,185		48.7400 ZAR
ORD		Purchase		1,200		48.4200 ZAR
ORD		Purchase		1,234		48.3900 ZAR
ORD		Purchase		1,245		48.4400 ZAR
ORD		Purchase		1,287		48.4900 ZAR
ORD		Purchase		1,399		48.4500 ZAR
ORD		Purchase		1,546		48.6000 ZAR
ORD		Purchase		1,648		48.6300 ZAR
ORD		Purchase		1,977		4.1521 GBP
ORD		Purchase		2,013		48.2900 ZAR
ORD		Purchase		2,133		48.6200 ZAR
ORD		Purchase		2,212		48.5300 ZAR
ORD		Purchase		2,271		48.6800 ZAR
ORD		Purchase		2,338		48.6900 ZAR
ORD		Purchase		2,497		48.7600 ZAR
ORD		Purchase		2,529		48.3800 ZAR
ORD		Purchase		2,540		48.7000 ZAR
ORD		Purchase		2,551		48.1000 ZAR
ORD		Purchase		2,560		48.7100 ZAR
ORD		Purchase		2,571		48.5500 ZAR
ORD		Purchase		2,756		48.4800 ZAR
ORD		Purchase		3,088		48.3500 ZAR
ORD		Purchase		3,268		48.5900 ZAR
ORD		Purchase		3,524		48.4700 ZAR
ORD		Purchase		3,569		48.2000 ZAR
ORD		Purchase		3,600		4.1603 GBP
ORD		Purchase		4,000		48.6100 ZAR
ORD		Purchase		4,101		48.5200 ZAR
ORD		Purchase		4,427		48.8000 ZAR
ORD		Purchase		4,951		48.3600 ZAR
ORD		Purchase		5,423		48.5000 ZAR
ORD		Purchase		5,652		48.3400 ZAR
ORD		Purchase		6,048		48.7300 ZAR
ORD		Purchase		6,307		48.4100 ZAR
ORD		Purchase		6,476		48.5100 ZAR
ORD		Purchase		7,550		48.3700 ZAR
ORD		Purchase		8,000		48.5700 ZAR
ORD		Purchase		9,084		48.6500 ZAR
ORD		Purchase		9,663		48.3200 ZAR
ORD		Purchase		10,004		4.1294 GBP
ORD		Purchase		11,114		48.5600 ZAR
ORD		Purchase		11,432		48.7200 ZAR
ORD		Purchase		13,414		4.1410 GBP
ORD		Purchase		13,922		48.4000 ZAR
ORD		Purchase		55,588		4.1424 GBP
ORD		Purchase		216,693		4.1543 GBP
ORD		Purchase		511,891		48.4185 ZAR
ORD		Sale		21		48.6900 ZAR
ORD		Sale		100		48.2600 ZAR
ORD		Sale		173		48.4900 ZAR
ORD		Sale		180		48.5900 ZAR
ORD		Sale		469		48.8700 ZAR
ORD		Sale		539		48.7100 ZAR
ORD		Sale		678		48.6800 ZAR
ORD		Sale		693		48.5200 ZAR
ORD		Sale		728		48.5800 ZAR
ORD		Sale		735		48.2200 ZAR
ORD		Sale		819		48.2800 ZAR
ORD		Sale		878		48.5300 ZAR
ORD		Sale		954		48.8900 ZAR
ORD		Sale		1,000		48.5000 ZAR
ORD		Sale		1,023		48.8500 ZAR
ORD		Sale		1,180		48.3000 ZAR
ORD		Sale		1,335		48.4200 ZAR
ORD		Sale		1,461		48.7200 ZAR
ORD		Sale		1,557		48.2500 ZAR
ORD		Sale		1,582		48.4100 ZAR
ORD		Sale		1,800		48.2000 ZAR
ORD		Sale		1,916		4.1524 GBP
ORD		Sale		1,922		48.9000 ZAR
ORD		Sale		2,093		48.3900 ZAR
ORD		Sale		2,226		48.3600 ZAR
ORD		Sale		2,335		48.3500 ZAR
ORD		Sale		2,439		48.5500 ZAR
ORD		Sale		2,551		48.1000 ZAR
ORD		Sale		2,566		48.3200 ZAR
ORD		Sale		2,745		48.3400 ZAR
ORD		Sale		2,762		48.3700 ZAR
ORD		Sale		3,647		48.4400 ZAR
ORD		Sale		3,708		48.3100 ZAR
ORD		Sale		3,869		48.3800 ZAR
ORD		Sale		4,400		48.7000 ZAR
ORD		Sale		5,653		48.4500 ZAR
ORD		Sale		6,041		48.4800 ZAR
ORD		Sale		6,394		48.3300 ZAR
ORD		Sale		9,000		48.8000 ZAR
ORD		Sale		10,269		4.1444 GBP
ORD		Sale		11,011		4.1511 GBP
ORD		Sale		14,604		4.1552 GBP
ORD		Sale		46,166		4.1350 GBP
ORD		Sale		52,687		4.1596 GBP
ORD		Sale		93,843		4.1343 GBP
ORD		Sale		211,213		4.1366 GBP
ORD		Sale		406,821		4.1392 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		1,453		4.1178 GBP
ORD		CFD		Long		1,781		48.6243 ZAR
ORD		CFD		Long		1,800		48.4639 ZAR
ORD		CFD		Long		3,740		48.5167 ZAR
ORD		CFD		Long		4,134		4.1464 GBP
ORD		CFD		Long		4,193		48.3670 ZAR
ORD		CFD		Long		5,000		48.7843 ZAR
ORD		CFD		Long		5,026		4.1658 GBP
ORD		CFD		Long		54,742		48.4321 ZAR
ORD		CFD		Long		56,719		4.1261 GBP
ORD		CFD		Long		648,753		4.1371 GBP
ORD		CFD		Long		685,985		48.4515 ZAR
ORD		CFD		Short		1,781		48.2221 ZAR
ORD		CFD		Short		4,193		48.8156 ZAR
ORD		CFD		Short		4,876		48.5294 ZAR
ORD		CFD		Short		5,000		48.6610 ZAR
ORD		CFD		Short		5,812		4.1536 GBP
ORD		CFD		Short		9,539		4.1559 GBP
ORD		CFD		Short		11,558		48.4314 ZAR
ORD		CFD		Short		13,177		48.3856 ZAR
ORD		CFD		Short		15,184		4.1553 GBP
ORD		CFD		Short		24,566		4.1534 GBP
ORD		CFD		Short		29,502		4.1440 GBP
ORD		CFD		Short		62,101		4.1588 GBP
ORD		CFD		Short		71,256		48.4645 ZAR
ORD		CFD		Short		133,509		48.5221 ZAR
ORD		CFD		Short		511,891		48.4280 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

Date of disclosure:	Â	16 Aug 2011
Contact name:	Â	Geoff Smith
Telephone number:	Â	020 7116 2913

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

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.

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.