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	30 November 2011 Â
(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:		48,743,215		8.98%		50,074,347		9.22%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		5,970,491		1.10%		3,068,968		0.57%
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:
				55,023,706		10.13%		53,248,315		9.81%

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		161		45.8800 ZAR
ORD		Purchase		200		44.7400 ZAR
ORD		Purchase		221		45.3700 ZAR
ORD		Purchase		297		44.8400 ZAR
ORD		Purchase		334		44.5600 ZAR
ORD		Purchase		413		44.3100 ZAR
ORD		Purchase		413		44.9300 ZAR
ORD		Purchase		467		44.5100 ZAR
ORD		Purchase		480		44.7600 ZAR
ORD		Purchase		515		44.6000 ZAR
ORD		Purchase		612		45.9100 ZAR
ORD		Purchase		750		44.6500 ZAR
ORD		Purchase		842		45.0600 ZAR
ORD		Purchase		860		44.6700 ZAR
ORD		Purchase		1,000		44.9800 ZAR
ORD		Purchase		1,033		44.2800 ZAR
ORD		Purchase		1,033		44.6200 ZAR
ORD		Purchase		1,033		44.8800 ZAR
ORD		Purchase		1,034		45.9200 ZAR
ORD		Purchase		1,100		44.7200 ZAR
ORD		Purchase		1,100		44.9700 ZAR
ORD		Purchase		1,164		44.3900 ZAR
ORD		Purchase		1,200		44.3300 ZAR
ORD		Purchase		1,206		45.9700 ZAR
ORD		Purchase		1,217		45.2100 ZAR
ORD		Purchase		1,634		44.5000 ZAR
ORD		Purchase		1,661		45.1200 ZAR
ORD		Purchase		1,715		45.0100 ZAR
ORD		Purchase		1,726		44.2900 ZAR
ORD		Purchase		1,759		45.0200 ZAR
ORD		Purchase		1,875		45.2000 ZAR
ORD		Purchase		1,900		44.3000 ZAR
ORD		Purchase		1,988		44.5400 ZAR
ORD		Purchase		2,000		44.9000 ZAR
ORD		Purchase		2,014		45.0400 ZAR
ORD		Purchase		2,032		45.0700 ZAR
ORD		Purchase		2,066		44.1500 ZAR
ORD		Purchase		2,066		44.5500 ZAR
ORD		Purchase		2,067		44.8200 ZAR
ORD		Purchase		2,102		45.1400 ZAR
ORD		Purchase		2,593		45.5100 ZAR
ORD		Purchase		2,931		45.0800 ZAR
ORD		Purchase		2,999		3.4973 GBP
ORD		Purchase		3,028		3.4970 GBP
ORD		Purchase		3,141		45.0300 ZAR
ORD		Purchase		3,993		45.0900 ZAR
ORD		Purchase		4,000		44.8900 ZAR
ORD		Purchase		4,000		45.7100 ZAR
ORD		Purchase		4,001		44.7500 ZAR
ORD		Purchase		4,100		44.7300 ZAR
ORD		Purchase		4,200		44.8100 ZAR
ORD		Purchase		4,300		45.9300 ZAR
ORD		Purchase		5,697		45.8900 ZAR
ORD		Purchase		5,771		45.1600 ZAR
ORD		Purchase		5,926		45.8500 ZAR
ORD		Purchase		6,068		45.0500 ZAR
ORD		Purchase		6,600		45.1700 ZAR
ORD		Purchase		7,740		44.6600 ZAR
ORD		Purchase		8,024		45.9000 ZAR
ORD		Purchase		9,528		3.4842 GBP
ORD		Purchase		10,075		3.6150 GBP
ORD		Purchase		10,118		3.4629 GBP
ORD		Purchase		13,158		3.5037 GBP
ORD		Purchase		13,485		45.0000 ZAR
ORD		Purchase		15,526		44.9500 ZAR
ORD		Purchase		16,705		3.5065 GBP
ORD		Purchase		38,702		3.5100 GBP
ORD		Purchase		47,561		3.4663 GBP
ORD		Purchase		77,195		3.5187 GBP
ORD		Purchase		285,471		46.4800 ZAR
ORD		Purchase		317,775		3.5269 GBP
ORD		Purchase		800,000		44.1300 ZAR
ORD		Sale		10		44.4200 ZAR
ORD		Sale		51		45.2800 ZAR
ORD		Sale		75		45.8100 ZAR
ORD		Sale		207		45.3600 ZAR
ORD		Sale		266		45.1400 ZAR
ORD		Sale		275		44.6300 ZAR
ORD		Sale		413		45.1900 ZAR
ORD		Sale		413		45.9400 ZAR
ORD		Sale		467		44.5100 ZAR
ORD		Sale		470		3.6018 GBP
ORD		Sale		500		44.9500 ZAR
ORD		Sale		500		45.1500 ZAR
ORD		Sale		525		45.8500 ZAR
ORD		Sale		587		45.8300 ZAR
ORD		Sale		632		3.6030 GBP
ORD		Sale		653		44.3100 ZAR
ORD		Sale		700		44.3000 ZAR
ORD		Sale		700		45.0600 ZAR
ORD		Sale		748		45.8400 ZAR
ORD		Sale		826		45.5300 ZAR
ORD		Sale		834		45.1300 ZAR
ORD		Sale		1,000		44.9800 ZAR
ORD		Sale		1,014		44.7500 ZAR
ORD		Sale		1,014		45.0400 ZAR
ORD		Sale		1,027		45.7800 ZAR
ORD		Sale		1,028		44.5000 ZAR
ORD		Sale		1,033		45.0500 ZAR
ORD		Sale		1,033		45.2200 ZAR
ORD		Sale		1,038		45.2100 ZAR
ORD		Sale		1,042		45.8700 ZAR
ORD		Sale		1,100		44.7200 ZAR
ORD		Sale		1,109		45.5000 ZAR
ORD		Sale		1,155		45.3500 ZAR
ORD		Sale		1,293		45.1200 ZAR
ORD		Sale		1,296		45.4200 ZAR
ORD		Sale		1,302		45.0100 ZAR
ORD		Sale		1,352		45.7900 ZAR
ORD		Sale		1,405		45.7600 ZAR
ORD		Sale		1,500		44.9700 ZAR
ORD		Sale		1,529		44.9900 ZAR
ORD		Sale		1,574		45.5100 ZAR
ORD		Sale		1,577		45.9800 ZAR
ORD		Sale		1,653		45.5200 ZAR
ORD		Sale		1,700		44.6500 ZAR
ORD		Sale		1,722		45.9200 ZAR
ORD		Sale		1,779		45.3400 ZAR
ORD		Sale		1,813		45.3100 ZAR
ORD		Sale		1,817		45.0300 ZAR
ORD		Sale		1,825		45.0700 ZAR
ORD		Sale		1,847		45.2700 ZAR
ORD		Sale		1,941		45.9600 ZAR
ORD		Sale		2,064		45.2400 ZAR
ORD		Sale		2,087		45.2500 ZAR
ORD		Sale		2,092		45.9300 ZAR
ORD		Sale		2,104		45.0800 ZAR
ORD		Sale		2,212		45.2000 ZAR
ORD		Sale		2,231		45.9100 ZAR
ORD		Sale		2,347		45.0200 ZAR
ORD		Sale		2,351		45.8000 ZAR
ORD		Sale		2,360		44.1600 ZAR
ORD		Sale		2,568		3.5225 GBP
ORD		Sale		2,600		45.8900 ZAR
ORD		Sale		2,883		45.4300 ZAR
ORD		Sale		3,016		45.9500 ZAR
ORD		Sale		3,040		45.1800 ZAR
ORD		Sale		3,452		45.6200 ZAR
ORD		Sale		3,533		45.0000 ZAR
ORD		Sale		3,656		45.2600 ZAR
ORD		Sale		3,725		44.6100 ZAR
ORD		Sale		3,760		45.2300 ZAR
ORD		Sale		3,799		45.2900 ZAR
ORD		Sale		3,886		45.4100 ZAR
ORD		Sale		3,993		45.0900 ZAR
ORD		Sale		4,000		44.4000 ZAR
ORD		Sale		4,038		3.5575 GBP
ORD		Sale		4,076		45.8800 ZAR
ORD		Sale		4,109		45.5400 ZAR
ORD		Sale		4,335		3.6036 GBP
ORD		Sale		4,422		45.7700 ZAR
ORD		Sale		5,134		3.6150 GBP
ORD		Sale		5,780		45.3300 ZAR
ORD		Sale		5,900		44.3300 ZAR
ORD		Sale		6,141		45.3200 ZAR
ORD		Sale		6,195		45.4500 ZAR
ORD		Sale		6,226		45.3700 ZAR
ORD		Sale		7,055		3.5124 GBP
ORD		Sale		7,672		3.4690 GBP
ORD		Sale		9,000		45.5500 ZAR
ORD		Sale		9,529		45.4800 ZAR
ORD		Sale		9,880		3.5348 GBP
ORD		Sale		10,000		3.5417 GBP
ORD		Sale		10,763		3.4993 GBP
ORD		Sale		11,451		3.5615 GBP
ORD		Sale		13,534		45.9000 ZAR
ORD		Sale		15,826		45.1700 ZAR
ORD		Sale		20,537		3.6041 GBP
ORD		Sale		20,898		3.4592 GBP
ORD		Sale		26,771		45.0392 ZAR
ORD		Sale		28,440		3.5186 GBP
ORD		Sale		29,484		3.5650 GBP
ORD		Sale		33,551		3.5090 GBP
ORD		Sale		102,141		3.5264 GBP
ORD		Sale		109,126		46.4800 ZAR
ORD		Sale		215,248		3.5253 GBP
ORD		Sale		800,000		44.1300 ZAR

(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		4,311		3.4671 GBP
ORD		CFD		Long		9,951		3.4867 GBP
ORD		SWAP		Long		13,121		3.4500 GBP
ORD		CFD		Long		22,069		46.1661 ZAR
ORD		CFD		Long		23,581		3.6159 GBP
ORD		CFD		Long		26,771		45.0301 ZAR
ORD		CFD		Long		31,584		46.4614 ZAR
ORD		CFD		Long		65,179		3.4926 GBP
ORD		CFD		Long		81,878		46.0400 ZAR
ORD		CFD		Long		105,902		3.4965 GBP
ORD		CFD		Long		154,450		45.3653 ZAR
ORD		CFD		Short		2,773		44.7207 ZAR
ORD		CFD		Short		3,750		3.4955 GBP
ORD		CFD		Short		4,820		45.1027 ZAR
ORD		CFD		Short		16,022		3.5417 GBP
ORD		CFD		Short		20,962		3.5255 GBP
ORD		CFD		Short		39,824		45.0169 ZAR
ORD		CFD		Short		47,561		3.4663 GBP
ORD		CFD		Short		59,111		3.4872 GBP
ORD		CFD		Short		72,080		45.1874 ZAR
ORD		CFD		Short		213,566		3.5107 GBP
ORD		CFD		Short		800,000		44.1344 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	1 Dec 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

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.