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	2 December 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:		48,859,714		9.00%		50,519,551		9.30%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		5,021,906		0.92%		2,520,529		0.46%
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
		TOTAL:
				54,191,620		9.98%		53,145,080		9.79%

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		100		46.5800 ZAR
ORD		Purchase		290		46.6700 ZAR
ORD		Purchase		373		46.9600 ZAR
ORD		Purchase		503		46.9200 ZAR
ORD		Purchase		547		46.6800 ZAR
ORD		Purchase		558		46.5600 ZAR
ORD		Purchase		712		46.7800 ZAR
ORD		Purchase		800		47.0100 ZAR
ORD		Purchase		805		46.8300 ZAR
ORD		Purchase		1,000		46.9100 ZAR
ORD		Purchase		1,000		46.9900 ZAR
ORD		Purchase		1,100		46.6300 ZAR
ORD		Purchase		1,100		46.8100 ZAR
ORD		Purchase		1,132		46.8200 ZAR
ORD		Purchase		1,178		46.7900 ZAR
ORD		Purchase		1,200		46.3100 ZAR
ORD		Purchase		1,470		46.9400 ZAR
ORD		Purchase		1,493		46.4900 ZAR
ORD		Purchase		1,576		46.4000 ZAR
ORD		Purchase		1,600		46.5900 ZAR
ORD		Purchase		1,700		46.8600 ZAR
ORD		Purchase		2,000		46.6900 ZAR
ORD		Purchase		2,200		46.7100 ZAR
ORD		Purchase		2,524		46.7600 ZAR
ORD		Purchase		2,700		46.5500 ZAR
ORD		Purchase		2,756		46.9500 ZAR
ORD		Purchase		2,758		46.4500 ZAR
ORD		Purchase		2,870		3.6927 GBP
ORD		Purchase		3,071		46.9000 ZAR
ORD		Purchase		3,100		3.6872 GBP
ORD		Purchase		3,222		46.7000 ZAR
ORD		Purchase		4,000		46.6000 ZAR
ORD		Purchase		4,809		46.6100 ZAR
ORD		Purchase		6,111		46.6400 ZAR
ORD		Purchase		6,281		3.6948 GBP
ORD		Purchase		6,335		46.6500 ZAR
ORD		Purchase		7,228		46.8500 ZAR
ORD		Purchase		8,013		46.7700 ZAR
ORD		Purchase		8,272		3.6848 GBP
ORD		Purchase		8,700		46.6200 ZAR
ORD		Purchase		9,522		3.7193 GBP
ORD		Purchase		12,514		46.7200 ZAR
ORD		Purchase		19,423		3.7163 GBP
ORD		Purchase		50,096		3.7156 GBP
ORD		Purchase		86,642		3.7167 GBP
ORD		Purchase		363,742		3.7230 GBP
ORD		Sale		17		47.1200 ZAR
ORD		Sale		23		46.6000 ZAR
ORD		Sale		23		47.1000 ZAR
ORD		Sale		80		46.4200 ZAR
ORD		Sale		98		46.8300 ZAR
ORD		Sale		269		46.5000 ZAR
ORD		Sale		272		46.7400 ZAR
ORD		Sale		400		46.6100 ZAR
ORD		Sale		405		46.4000 ZAR
ORD		Sale		557		46.5800 ZAR
ORD		Sale		721		46.5700 ZAR
ORD		Sale		826		47.0500 ZAR
ORD		Sale		1,041		46.8600 ZAR
ORD		Sale		1,098		46.5900 ZAR
ORD		Sale		1,185		46.9900 ZAR
ORD		Sale		1,346		3.7250 GBP
ORD		Sale		1,400		46.6200 ZAR
ORD		Sale		1,405		46.4100 ZAR
ORD		Sale		1,405		47.1800 ZAR
ORD		Sale		1,456		46.6400 ZAR
ORD		Sale		1,569		47.0600 ZAR
ORD		Sale		1,735		46.6500 ZAR
ORD		Sale		1,783		3.7237 GBP
ORD		Sale		1,875		46.7000 ZAR
ORD		Sale		1,882		47.0700 ZAR
ORD		Sale		1,968		47.0900 ZAR
ORD		Sale		2,063		46.8200 ZAR
ORD		Sale		2,079		46.9100 ZAR
ORD		Sale		2,189		46.7600 ZAR
ORD		Sale		2,301		46.7700 ZAR
ORD		Sale		2,583		46.7200 ZAR
ORD		Sale		3,012		46.8100 ZAR
ORD		Sale		3,070		46.6300 ZAR
ORD		Sale		3,187		47.1900 ZAR
ORD		Sale		3,256		46.8700 ZAR
ORD		Sale		3,352		46.5600 ZAR
ORD		Sale		3,500		46.7300 ZAR
ORD		Sale		3,852		46.6700 ZAR
ORD		Sale		3,971		3.7309 GBP
ORD		Sale		4,179		46.7800 ZAR
ORD		Sale		4,956		46.9600 ZAR
ORD		Sale		5,078		46.8000 ZAR
ORD		Sale		5,098		47.0400 ZAR
ORD		Sale		5,192		46.7900 ZAR
ORD		Sale		5,310		46.3900 ZAR
ORD		Sale		6,186		47.0000 ZAR
ORD		Sale		7,501		3.7234 GBP
ORD		Sale		8,141		47.1500 ZAR
ORD		Sale		9,007		46.8900 ZAR
ORD		Sale		12,605		46.9700 ZAR
ORD		Sale		12,947		47.5153 ZAR
ORD		Sale		13,756		3.6981 GBP
ORD		Sale		13,986		46.9400 ZAR
ORD		Sale		13,988		46.9800 ZAR
ORD		Sale		14,506		46.9500 ZAR
ORD		Sale		15,678		3.7213 GBP
ORD		Sale		16,480		46.9300 ZAR
ORD		Sale		17,050		46.8500 ZAR
ORD		Sale		17,061		3.7047 GBP
ORD		Sale		20,157		46.8400 ZAR
ORD		Sale		20,806		3.7240 GBP
ORD		Sale		21,306		3.7340 GBP
ORD		Sale		22,538		46.9000 ZAR
ORD		Sale		22,747		3.7285 GBP
ORD		Sale		71,736		3.7091 GBP
ORD		Sale		110,545		3.7269 GBP
ORD		Sale		211,334		3.7123 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		658		46.8012 ZAR
ORD		CFD		Long		2,556		46.7761 ZAR
ORD		CFD		Long		7,227		47.1062 ZAR
ORD		CFD		Long		12,947		47.5056 ZAR
ORD		CFD		Long		29,073		3.7162 GBP
ORD		CFD		Long		29,238		3.7207 GBP
ORD		CFD		Long		113,240		3.7008 GBP
ORD		CFD		Long		201,701		46.8550 ZAR
ORD		CFD		Short		1,260		3.7304 GBP
ORD		CFD		Short		1,840		3.7334 GBP
ORD		CFD		Short		1,958		46.4685 ZAR
ORD		CFD		Short		7,752		3.7245 GBP
ORD		CFD		Short		16,887		3.7275 GBP
ORD		CFD		Short		17,541		46.6735 ZAR
ORD		CFD		Short		34,478		3.7219 GBP
ORD		CFD		Short		58,658		46.7443 ZAR
ORD		CFD		Short		226,692		3.7166 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

YES

Date of disclosure:	Â	5 Dec 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].

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

143221.01

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.

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.