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	5 Dec 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

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)

	Â		Â	Interests	Â	Â	Â	Short Positions	Â	Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		49,362,050		9.09%		50,951,191		9.38%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		5,466,185		1.01%		2,430,411		0.45%
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:
				55,138,235		10.15%		53,486,602		9.85%

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		45.3800 ZAR
ORD		Purchase		503		45.6800 ZAR
ORD		Purchase		534		45.8900 ZAR
ORD		Purchase		600		45.7100 ZAR
ORD		Purchase		700		45.3900 ZAR
ORD		Purchase		700		45.5200 ZAR
ORD		Purchase		794		45.7700 ZAR
ORD		Purchase		846		45.9800 ZAR
ORD		Purchase		882		45.5000 ZAR
ORD		Purchase		924		45.8300 ZAR
ORD		Purchase		1,000		45.4800 ZAR
ORD		Purchase		1,037		46.0900 ZAR
ORD		Purchase		1,038		45.6900 ZAR
ORD		Purchase		1,181		45.4600 ZAR
ORD		Purchase		1,232		3.7000 GBP
ORD		Purchase		1,374		3.7196 GBP
ORD		Purchase		1,465		46.3000 ZAR
ORD		Purchase		1,600		45.5700 ZAR
ORD		Purchase		1,600		45.6200 ZAR
ORD		Purchase		1,611		45.8200 ZAR
ORD		Purchase		1,880		45.5800 ZAR
ORD		Purchase		1,900		45.8400 ZAR
ORD		Purchase		2,000		3.7220 GBP
ORD		Purchase		2,142		45.9300 ZAR
ORD		Purchase		2,160		46.0100 ZAR
ORD		Purchase		2,202		45.7000 ZAR
ORD		Purchase		2,219		45.4700 ZAR
ORD		Purchase		2,565		45.9200 ZAR
ORD		Purchase		2,612		45.8100 ZAR
ORD		Purchase		2,704		45.7300 ZAR
ORD		Purchase		2,885		45.4900 ZAR
ORD		Purchase		2,933		45.7500 ZAR
ORD		Purchase		3,367		46.2900 ZAR
ORD		Purchase		3,378		45.9900 ZAR
ORD		Purchase		3,783		45.9700 ZAR
ORD		Purchase		3,900		45.7600 ZAR
ORD		Purchase		4,279		45.7200 ZAR
ORD		Purchase		4,513		45.7900 ZAR
ORD		Purchase		4,543		45.8600 ZAR
ORD		Purchase		4,872		45.8800 ZAR
ORD		Purchase		5,011		45.8500 ZAR
ORD		Purchase		6,479		45.8700 ZAR
ORD		Purchase		6,682		45.9000 ZAR
ORD		Purchase		7,000		45.6600 ZAR
ORD		Purchase		13,040		45.8000 ZAR
ORD		Purchase		37,176		45.9100 ZAR
ORD		Purchase		39,632		3.7238 GBP
ORD		Purchase		39,760		3.7302 GBP
ORD		Purchase		88,359		3.7288 GBP
ORD		Purchase		200,077		3.7279 GBP
ORD		Purchase		395,208		3.7293 GBP
ORD		Sale		100		46.1100 ZAR
ORD		Sale		150		45.9200 ZAR
ORD		Sale		151		45.6300 ZAR
ORD		Sale		503		45.6800 ZAR
ORD		Sale		517		45.5400 ZAR
ORD		Sale		700		45.3900 ZAR
ORD		Sale		826		46.3200 ZAR
ORD		Sale		900		46.0400 ZAR
ORD		Sale		1,000		46.2900 ZAR
ORD		Sale		1,008		46.3100 ZAR
ORD		Sale		1,015		45.8600 ZAR
ORD		Sale		1,033		45.6200 ZAR
ORD		Sale		1,320		45.4600 ZAR
ORD		Sale		1,487		45.9500 ZAR
ORD		Sale		1,660		46.1700 ZAR
ORD		Sale		1,880		45.5800 ZAR
ORD		Sale		1,977		46.1300 ZAR
ORD		Sale		2,224		45.6900 ZAR
ORD		Sale		2,302		45.5600 ZAR
ORD		Sale		2,442		46.0900 ZAR
ORD		Sale		2,629		45.7200 ZAR
ORD		Sale		2,675		45.5900 ZAR
ORD		Sale		2,812		45.4900 ZAR
ORD		Sale		2,893		45.8900 ZAR
ORD		Sale		3,070		45.8200 ZAR
ORD		Sale		3,261		45.5100 ZAR
ORD		Sale		3,296		46.0600 ZAR
ORD		Sale		3,405		46.0000 ZAR
ORD		Sale		3,457		46.1200 ZAR
ORD		Sale		3,669		46.5700 ZAR
ORD		Sale		3,706		45.6700 ZAR
ORD		Sale		3,767		3.7308 GBP
ORD		Sale		4,000		45.6000 ZAR
ORD		Sale		4,000		45.9800 ZAR
ORD		Sale		4,039		3.7330 GBP
ORD		Sale		4,645		45.9400 ZAR
ORD		Sale		4,688		45.5200 ZAR
ORD		Sale		5,033		45.9900 ZAR
ORD		Sale		5,267		46.0300 ZAR
ORD		Sale		5,601		45.9700 ZAR
ORD		Sale		5,643		46.0100 ZAR
ORD		Sale		5,854		45.9100 ZAR
ORD		Sale		6,030		45.5300 ZAR
ORD		Sale		6,176		45.4700 ZAR
ORD		Sale		6,214		45.5000 ZAR
ORD		Sale		6,322		46.0700 ZAR
ORD		Sale		6,440		3.7239 GBP
ORD		Sale		7,256		45.6400 ZAR
ORD		Sale		7,423		45.9300 ZAR
ORD		Sale		8,000		45.4300 ZAR
ORD		Sale		8,089		45.7100 ZAR
ORD		Sale		8,265		45.7400 ZAR
ORD		Sale		8,757		45.8400 ZAR
ORD		Sale		8,915		45.8800 ZAR
ORD		Sale		9,000		45.4800 ZAR
ORD		Sale		9,075		45.7800 ZAR
ORD		Sale		9,224		45.6500 ZAR
ORD		Sale		10,019		3.7260 GBP
ORD		Sale		10,359		3.7300 GBP
ORD		Sale		10,797		45.9000 ZAR
ORD		Sale		12,204		45.8700 ZAR
ORD		Sale		13,093		45.7300 ZAR
ORD		Sale		13,703		45.8300 ZAR
ORD		Sale		15,153		45.4500 ZAR
ORD		Sale		15,838		3.7329 GBP
ORD		Sale		17,657		45.8100 ZAR
ORD		Sale		17,855		45.8500 ZAR
ORD		Sale		18,059		45.7900 ZAR
ORD		Sale		20,380		45.7600 ZAR
ORD		Sale		21,208		45.7000 ZAR
ORD		Sale		23,472		45.7700 ZAR
ORD		Sale		24,644		45.4400 ZAR
ORD		Sale		36,170		3.7281 GBP
ORD		Sale		42,658		3.7266 GBP
ORD		Sale		56,831		45.9379 ZAR
ORD		Sale		63,386		45.7500 ZAR
ORD		Sale		87,924		3.7189 GBP
ORD		Sale		90,986		45.8000 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		2,576		46.0953 ZAR
ORD		CFD		Long		3,669		46.5550 ZAR
ORD		CFD		Long		4,664		3.7294 GBP
ORD		CFD		Long		6,898		3.7213 GBP
ORD		CFD		Long		23,119		45.9759 ZAR
ORD		CFD		Long		25,540		3.7229 GBP
ORD		CFD		Long		33,383		3.7252 GBP
ORD		CFD		Long		35,219		45.6118 ZAR
ORD		CFD		Long		56,831		45.9286 ZAR
ORD		CFD		Long		501,466		45.7394 ZAR
ORD		CFD		Short		1,881		45.5944 ZAR
ORD		CFD		Short		12,332		3.7175 GBP
ORD		CFD		Short		17,926		45.8289 ZAR
ORD		CFD		Short		21,911		3.7226 GBP
ORD		CFD		Short		32,488		45.8369 ZAR
ORD		CFD		Short		32,998		3.7282 GBP
ORD		CFD		Short		575,626		3.7296 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	6 Dec 2001
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.