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	29 November 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		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		48,770,726		8.98%		50,252,289		9.25%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		7,254,655		1.34%		3,774,418		0.70%
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:
				56,335,381		10.38%		54,131,707		9.97%

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		1		44.0400 ZAR
ORD		Purchase		6		44.2000 ZAR
ORD		Purchase		400		44.4200 ZAR
ORD		Purchase		413		44.0800 ZAR
ORD		Purchase		576		44.3800 ZAR
ORD		Purchase		621		44.3400 ZAR
ORD		Purchase		700		43.8200 ZAR
ORD		Purchase		744		44.2600 ZAR
ORD		Purchase		900		43.9900 ZAR
ORD		Purchase		1,036		3.3650 GBP
ORD		Purchase		1,076		44.3500 ZAR
ORD		Purchase		1,100		44.0700 ZAR
ORD		Purchase		1,109		44.1800 ZAR
ORD		Purchase		1,200		3.4110 GBP
ORD		Purchase		1,200		44.3600 ZAR
ORD		Purchase		1,319		43.9100 ZAR
ORD		Purchase		1,400		44.0100 ZAR
ORD		Purchase		1,401		44.2400 ZAR
ORD		Purchase		1,911		44.1900 ZAR
ORD		Purchase		2,476		44.2800 ZAR
ORD		Purchase		2,700		44.2500 ZAR
ORD		Purchase		2,789		44.1500 ZAR
ORD		Purchase		2,800		44.0600 ZAR
ORD		Purchase		3,110		44.0900 ZAR
ORD		Purchase		3,206		44.4100 ZAR
ORD		Purchase		3,970		44.1600 ZAR
ORD		Purchase		4,000		43.8500 ZAR
ORD		Purchase		4,059		3.3659 GBP
ORD		Purchase		4,232		44.3000 ZAR
ORD		Purchase		4,336		3.3768 GBP
ORD		Purchase		4,828		3.3841 GBP
ORD		Purchase		4,884		44.8815 ZAR
ORD		Purchase		5,617		44.1400 ZAR
ORD		Purchase		5,825		43.8800 ZAR
ORD		Purchase		7,020		44.2300 ZAR
ORD		Purchase		7,106		44.2100 ZAR
ORD		Purchase		7,668		44.3300 ZAR
ORD		Purchase		7,720		3.4076 GBP
ORD		Purchase		7,860		3.3799 GBP
ORD		Purchase		8,342		3.3750 GBP
ORD		Purchase		9,415		3.3796 GBP
ORD		Purchase		14,805		3.3651 GBP
ORD		Purchase		15,036		3.4051 GBP
ORD		Purchase		20,344		3.3740 GBP
ORD		Purchase		20,806		3.3910 GBP
ORD		Purchase		24,221		44.4000 ZAR
ORD		Purchase		36,084		3.3767 GBP
ORD		Purchase		180,274		3.3850 GBP
ORD		Sale		124		43.9000 ZAR
ORD		Sale		124		44.1900 ZAR
ORD		Sale		246		44.2200 ZAR
ORD		Sale		322		44.2800 ZAR
ORD		Sale		372		44.4200 ZAR
ORD		Sale		434		43.9200 ZAR
ORD		Sale		435		43.8800 ZAR
ORD		Sale		500		44.1200 ZAR
ORD		Sale		581		44.1600 ZAR
ORD		Sale		636		44.2400 ZAR
ORD		Sale		700		3.4161 GBP
ORD		Sale		974		43.9700 ZAR
ORD		Sale		1,044		43.9800 ZAR
ORD		Sale		1,045		3.3887 GBP
ORD		Sale		1,073		44.1700 ZAR
ORD		Sale		1,076		44.2100 ZAR
ORD		Sale		1,093		3.3904 GBP
ORD		Sale		1,116		44.1500 ZAR
ORD		Sale		1,159		44.2300 ZAR
ORD		Sale		1,192		44.1800 ZAR
ORD		Sale		1,661		3.3789 GBP
ORD		Sale		1,750		44.1300 ZAR
ORD		Sale		1,969		44.0800 ZAR
ORD		Sale		2,500		43.8100 ZAR
ORD		Sale		2,776		43.9900 ZAR
ORD		Sale		2,807		3.3969 GBP
ORD		Sale		3,168		44.0100 ZAR
ORD		Sale		3,778		3.3910 GBP
ORD		Sale		4,133		44.0700 ZAR
ORD		Sale		4,500		44.0900 ZAR
ORD		Sale		4,800		3.3923 GBP
ORD		Sale		4,977		3.3872 GBP
ORD		Sale		5,576		44.0300 ZAR
ORD		Sale		6,475		44.1100 ZAR
ORD		Sale		6,483		44.0000 ZAR
ORD		Sale		6,772		44.1400 ZAR
ORD		Sale		7,584		3.3864 GBP
ORD		Sale		8,028		44.1000 ZAR
ORD		Sale		17,240		3.3880 GBP
ORD		Sale		26,159		3.3855 GBP
ORD		Sale		50,107		3.3825 GBP
ORD		Sale		155,889		3.3863 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		246		44.2058 ZAR
ORD		CFD		Long		5,030		3.3857 GBP
ORD		CFD		Long		8,475		44.0755 ZAR
ORD		CFD		Long		11,917		44.0950 ZAR
ORD		CFD		Long		14,957		3.3703 GBP
ORD		CFD		Long		23,352		3.4041 GBP
ORD		CFD		Long		40,595		44.0397 ZAR
ORD		CFD		Long		76,566		3.3864 GBP
ORD		CFD		Short		4,884		44.8904 ZAR
ORD		CFD		Short		7,020		44.2441 ZAR
ORD		CFD		Short		11,039		3.3760 GBP
ORD		CFD		Short		26,116		3.3955 GBP
ORD		CFD		Short		27,041		44.3682 ZAR
ORD		CFD		Short		36,710		3.3871 GBP
ORD		CFD		Short		38,787		3.3957 GBP
ORD		CFD		Short		51,286		44.1841 ZAR
ORD		CFD		Short		61,067		3.3712 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

NO

Date of disclosure:	Â	1 Dec 2011 Â
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

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.

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.