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 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 CANACCORD FINL INC 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:		32,516,289		5.99%		33,751,904		6.22%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		2,071,747		0.38%		2,414,423		0.45%
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:
				35,660,036		6.57%		36,166,327		6.67%

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		10		47.1200 ZAR
ORD		Purchase		166		46.8700 ZAR
ORD		Purchase		300		47.3700 ZAR
ORD		Purchase		378		47.5400 ZAR
ORD		Purchase		400		47.4500 ZAR
ORD		Purchase		400		47.4700 ZAR
ORD		Purchase		400		47.5200 ZAR
ORD		Purchase		400		47.5900 ZAR
ORD		Purchase		413		47.1400 ZAR
ORD		Purchase		523		47.2800 ZAR
ORD		Purchase		594		47.6000 ZAR
ORD		Purchase		600		46.7700 ZAR
ORD		Purchase		600		47.1100 ZAR
ORD		Purchase		600		47.4400 ZAR
ORD		Purchase		700		4.0260 GBP
ORD		Purchase		700		4.0269 GBP
ORD		Purchase		700		46.8100 ZAR
ORD		Purchase		700		46.9400 ZAR
ORD		Purchase		700		47.5600 ZAR
ORD		Purchase		759		47.1800 ZAR
ORD		Purchase		800		46.8200 ZAR
ORD		Purchase		800		47.1700 ZAR
ORD		Purchase		800		47.2700 ZAR
ORD		Purchase		800		47.4600 ZAR
ORD		Purchase		900		47.5100 ZAR
ORD		Purchase		927		47.5700 ZAR
ORD		Purchase		991		46.8300 ZAR
ORD		Purchase		1,067		47.0900 ZAR
ORD		Purchase		1,081		47.7100 ZAR
ORD		Purchase		1,091		46.7500 ZAR
ORD		Purchase		1,100		46.8400 ZAR
ORD		Purchase		1,100		47.0800 ZAR
ORD		Purchase		1,100		47.3500 ZAR
ORD		Purchase		1,116		47.0200 ZAR
ORD		Purchase		1,122		47.6500 ZAR
ORD		Purchase		1,171		46.7100 ZAR
ORD		Purchase		1,175		46.6800 ZAR
ORD		Purchase		1,200		47.7000 ZAR
ORD		Purchase		1,242		47.3200 ZAR
ORD		Purchase		1,280		47.1900 ZAR
ORD		Purchase		1,285		47.3100 ZAR
ORD		Purchase		1,325		47.4100 ZAR
ORD		Purchase		1,400		46.8900 ZAR
ORD		Purchase		1,400		47.6700 ZAR
ORD		Purchase		1,469		47.2900 ZAR
ORD		Purchase		1,480		47.4000 ZAR
ORD		Purchase		1,564		46.7900 ZAR
ORD		Purchase		1,581		47.0600 ZAR
ORD		Purchase		1,600		47.2000 ZAR
ORD		Purchase		1,664		47.6200 ZAR
ORD		Purchase		1,726		47.2500 ZAR
ORD		Purchase		1,740		47.0700 ZAR
ORD		Purchase		1,750		46.9300 ZAR
ORD		Purchase		1,900		47.5000 ZAR
ORD		Purchase		1,965		47.3300 ZAR
ORD		Purchase		2,000		47.6100 ZAR
ORD		Purchase		2,187		46.7200 ZAR
ORD		Purchase		2,241		47.3000 ZAR
ORD		Purchase		2,300		47.2600 ZAR
ORD		Purchase		2,501		46.8600 ZAR
ORD		Purchase		2,593		47.2200 ZAR
ORD		Purchase		2,800		47.5300 ZAR
ORD		Purchase		2,838		46.9100 ZAR
ORD		Purchase		3,077		47.1500 ZAR
ORD		Purchase		3,800		46.9700 ZAR
ORD		Purchase		3,847		46.9800 ZAR
ORD		Purchase		4,000		4.0319 GBP
ORD		Purchase		4,000		47.4300 ZAR
ORD		Purchase		4,151		46.8500 ZAR
ORD		Purchase		4,310		46.9500 ZAR
ORD		Purchase		4,500		47.0400 ZAR
ORD		Purchase		4,612		46.9600 ZAR
ORD		Purchase		4,900		47.3400 ZAR
ORD		Purchase		5,121		47.1600 ZAR
ORD		Purchase		5,167		47.1300 ZAR
ORD		Purchase		5,494		47.2100 ZAR
ORD		Purchase		5,501		47.1000 ZAR
ORD		Purchase		6,715		46.8800 ZAR
ORD		Purchase		8,413		47.0100 ZAR
ORD		Purchase		11,397		4.0229 GBP
ORD		Purchase		16,875		46.9000 ZAR
ORD		Purchase		16,883		46.9900 ZAR
ORD		Purchase		19,552		47.0500 ZAR
ORD		Purchase		42,081		4.0310 GBP
ORD		Purchase		57,198		4.0333 GBP
ORD		Purchase		62,891		47.0000 ZAR
ORD		Purchase		133,538		4.0302 GBP
ORD		Purchase		194,572		4.0340 GBP
ORD		Sale		148		47.1800 ZAR
ORD		Sale		159		47.4400 ZAR
ORD		Sale		250		47.5900 ZAR
ORD		Sale		326		47.5600 ZAR
ORD		Sale		404		47.6500 ZAR
ORD		Sale		412		47.3100 ZAR
ORD		Sale		447		47.4500 ZAR
ORD		Sale		500		4.0350 GBP
ORD		Sale		558		47.1700 ZAR
ORD		Sale		614		47.4900 ZAR
ORD		Sale		827		46.9200 ZAR
ORD		Sale		885		47.3600 ZAR
ORD		Sale		989		47.4100 ZAR
ORD		Sale		1,000		47.3500 ZAR
ORD		Sale		1,068		47.7000 ZAR
ORD		Sale		1,081		47.7100 ZAR
ORD		Sale		1,148		47.3000 ZAR
ORD		Sale		1,262		47.2800 ZAR
ORD		Sale		1,278		4.0320 GBP
ORD		Sale		1,408		47.3400 ZAR
ORD		Sale		1,800		4.0301 GBP
ORD		Sale		2,140		47.2900 ZAR
ORD		Sale		2,150		47.0700 ZAR
ORD		Sale		2,231		47.6100 ZAR
ORD		Sale		2,268		47.4700 ZAR
ORD		Sale		2,510		47.5800 ZAR
ORD		Sale		2,554		46.8700 ZAR
ORD		Sale		2,560		46.8800 ZAR
ORD		Sale		2,562		46.8400 ZAR
ORD		Sale		2,612		47.5400 ZAR
ORD		Sale		2,719		47.5200 ZAR
ORD		Sale		2,769		47.1600 ZAR
ORD		Sale		2,856		47.2600 ZAR
ORD		Sale		3,202		47.1500 ZAR
ORD		Sale		3,498		47.2200 ZAR
ORD		Sale		4,000		46.8200 ZAR
ORD		Sale		4,000		47.2300 ZAR
ORD		Sale		4,049		47.3700 ZAR
ORD		Sale		4,110		47.2000 ZAR
ORD		Sale		4,268		47.5500 ZAR
ORD		Sale		4,541		47.6000 ZAR
ORD		Sale		5,323		46.9400 ZAR
ORD		Sale		5,618		46.8900 ZAR
ORD		Sale		5,777		4.0340 GBP
ORD		Sale		6,152		46.9800 ZAR
ORD		Sale		6,290		47.5100 ZAR
ORD		Sale		6,632		46.9100 ZAR
ORD		Sale		7,657		4.0236 GBP
ORD		Sale		8,330		47.6200 ZAR
ORD		Sale		8,472		46.9700 ZAR
ORD		Sale		9,013		47.0500 ZAR
ORD		Sale		9,120		46.9600 ZAR
ORD		Sale		10,766		46.9900 ZAR
ORD		Sale		10,957		4.0223 GBP
ORD		Sale		11,862		4.0292 GBP
ORD		Sale		12,222		47.6700 ZAR
ORD		Sale		12,841		4.0481 GBP
ORD		Sale		12,857		47.5000 ZAR
ORD		Sale		14,483		46.8500 ZAR
ORD		Sale		15,562		47.5700 ZAR
ORD		Sale		17,463		47.0000 ZAR
ORD		Sale		24,859		46.9500 ZAR
ORD		Sale		25,351		46.9000 ZAR
ORD		Sale		36,545		47.5300 ZAR
ORD		Sale		52,791		4.0261 GBP
ORD		Sale		95,451		47.3557 ZAR
ORD		Sale		131,913		4.0304 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		4,289		4.0475 GBP
ORD		CFD		Long		4,627		4.0259 GBP
ORD		CFD		Long		20,000		46.9503 ZAR
ORD		CFD		Long		25,381		47.5109 ZAR
ORD		CFD		Long		95,451		47.3461 ZAR
ORD		CFD		Long		135,020		4.0228 GBP
ORD		CFD		Long		251,600		47.0816 ZAR
ORD		CFD		Long		251,982		47.1662 ZAR
ORD		CFD		Short		1,094		47.1529 ZAR
ORD		CFD		Short		1,842		4.0405 GBP
ORD		CFD		Short		2,516		4.0556 GBP
ORD		CFD		Short		11,558		47.1510 ZAR
ORD		CFD		Short		39,665		47.1138 ZAR
ORD		CFD		Short		49,109		47.1101 ZAR
ORD		CFD		Short		65,573		47.0311 ZAR
ORD		CFD		Short		84,601		47.0752 ZAR
ORD		CFD		Short		387,097		4.0323 GBP
ORD		CFD		Short		392,814		47.2228 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	18 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

Â

Â

15 Sep 2011

ORD

Call Options

Purchased

972,000

Â

Â

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.