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	18 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 CANACCORD FINANCIAL INC CANACCORD FINL INC INVESTEC 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:		33,893,781		6.25%		34,954,974		6.44%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		4,384,209		0.81%		4,895,086		0.90%
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:
				39,349,990		7.25%		39,850,060		7.35%

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		2		46.3300 ZAR
ORD		Purchase		3		46.1300 ZAR
ORD		Purchase		100		46.1100 ZAR
ORD		Purchase		100		46.2000 ZAR
ORD		Purchase		100		46.5100 ZAR
ORD		Purchase		153		46.6100 ZAR
ORD		Purchase		200		45.6900 ZAR
ORD		Purchase		248		45.5900 ZAR
ORD		Purchase		253		46.7700 ZAR
ORD		Purchase		297		46.1000 ZAR
ORD		Purchase		300		45.2200 ZAR
ORD		Purchase		300		45.9600 ZAR
ORD		Purchase		300		46.4800 ZAR
ORD		Purchase		300		46.8700 ZAR
ORD		Purchase		300		47.2100 ZAR
ORD		Purchase		367		46.3400 ZAR
ORD		Purchase		368		45.7100 ZAR
ORD		Purchase		400		47.0100 ZAR
ORD		Purchase		400		47.0800 ZAR
ORD		Purchase		413		45.4800 ZAR
ORD		Purchase		413		45.5400 ZAR
ORD		Purchase		413		45.8900 ZAR
ORD		Purchase		432		45.7800 ZAR
ORD		Purchase		478		45.3400 ZAR
ORD		Purchase		500		46.2600 ZAR
ORD		Purchase		500		46.2800 ZAR
ORD		Purchase		500		46.4100 ZAR
ORD		Purchase		500		46.5500 ZAR
ORD		Purchase		500		46.5600 ZAR
ORD		Purchase		500		46.9100 ZAR
ORD		Purchase		549		46.4700 ZAR
ORD		Purchase		600		45.9400 ZAR
ORD		Purchase		600		46.8300 ZAR
ORD		Purchase		665		45.7300 ZAR
ORD		Purchase		700		45.3000 ZAR
ORD		Purchase		700		46.7600 ZAR
ORD		Purchase		700		47.3100 ZAR
ORD		Purchase		800		45.0600 ZAR
ORD		Purchase		800		45.1800 ZAR
ORD		Purchase		800		45.2300 ZAR
ORD		Purchase		800		45.2800 ZAR
ORD		Purchase		800		45.4700 ZAR
ORD		Purchase		800		45.7200 ZAR
ORD		Purchase		900		46.4600 ZAR
ORD		Purchase		900		46.6500 ZAR
ORD		Purchase		913		46.2100 ZAR
ORD		Purchase		999		46.4200 ZAR
ORD		Purchase		1,000		45.1600 ZAR
ORD		Purchase		1,000		46.2700 ZAR
ORD		Purchase		1,000		46.5000 ZAR
ORD		Purchase		1,000		46.7200 ZAR
ORD		Purchase		1,000		47.0000 ZAR
ORD		Purchase		1,033		45.5300 ZAR
ORD		Purchase		1,046		46.3500 ZAR
ORD		Purchase		1,100		46.3100 ZAR
ORD		Purchase		1,113		45.3100 ZAR
ORD		Purchase		1,114		46.4300 ZAR
ORD		Purchase		1,188		46.3800 ZAR
ORD		Purchase		1,200		47.1900 ZAR
ORD		Purchase		1,300		45.2100 ZAR
ORD		Purchase		1,300		45.8100 ZAR
ORD		Purchase		1,326		45.5100 ZAR
ORD		Purchase		1,400		45.8000 ZAR
ORD		Purchase		1,446		45.6300 ZAR
ORD		Purchase		1,500		45.7500 ZAR
ORD		Purchase		1,500		46.4000 ZAR
ORD		Purchase		1,600		45.6800 ZAR
ORD		Purchase		1,700		45.2700 ZAR
ORD		Purchase		1,739		45.6200 ZAR
ORD		Purchase		1,900		45.7400 ZAR
ORD		Purchase		1,988		45.7000 ZAR
ORD		Purchase		2,000		46.5400 ZAR
ORD		Purchase		2,074		46.3200 ZAR
ORD		Purchase		2,152		45.6400 ZAR
ORD		Purchase		2,200		46.9000 ZAR
ORD		Purchase		2,215		45.6000 ZAR
ORD		Purchase		2,640		46.2500 ZAR
ORD		Purchase		2,722		45.2900 ZAR
ORD		Purchase		2,744		46.3700 ZAR
ORD		Purchase		2,819		45.1400 ZAR
ORD		Purchase		3,788		46.3600 ZAR
ORD		Purchase		4,054		46.4500 ZAR
ORD		Purchase		4,600		45.0000 ZAR
ORD		Purchase		4,600		46.9900 ZAR
ORD		Purchase		6,189		46.4400 ZAR
ORD		Purchase		7,000		3.8148 GBP
ORD		Purchase		7,310		3.9294 GBP
ORD		Purchase		18,773		3.8947 GBP
ORD		Purchase		19,466		3.8080 GBP
ORD		Purchase		32,046		3.8922 GBP
ORD		Purchase		32,824		3.8888 GBP
ORD		Purchase		60,111		45.2000 ZAR
ORD		Purchase		86,457		3.8927 GBP
ORD		Purchase		97,712		3.9002 GBP
ORD		Purchase		100,453		3.8815 GBP
ORD		Purchase		337,110		3.9037 GBP
ORD		Purchase		924,635		3.8916 GBP
ORD		Sale		26		3.8100 GBP
ORD		Sale		100		46.5100 ZAR
ORD		Sale		100		46.9100 ZAR
ORD		Sale		153		46.9900 ZAR
ORD		Sale		154		45.2500 ZAR
ORD		Sale		160		47.0100 ZAR
ORD		Sale		200		46.1200 ZAR
ORD		Sale		200		46.6500 ZAR
ORD		Sale		200		46.8300 ZAR
ORD		Sale		211		45.6300 ZAR
ORD		Sale		274		45.9600 ZAR
ORD		Sale		300		45.5100 ZAR
ORD		Sale		300		45.5400 ZAR
ORD		Sale		300		45.5700 ZAR
ORD		Sale		300		46.8700 ZAR
ORD		Sale		321		46.3600 ZAR
ORD		Sale		322		45.4100 ZAR
ORD		Sale		400		47.0800 ZAR
ORD		Sale		408		46.7800 ZAR
ORD		Sale		426		46.3300 ZAR
ORD		Sale		582		45.8100 ZAR
ORD		Sale		635		46.5000 ZAR
ORD		Sale		661		46.7100 ZAR
ORD		Sale		716		46.6100 ZAR
ORD		Sale		879		3.7804 GBP
ORD		Sale		925		47.2800 ZAR
ORD		Sale		1,000		45.6700 ZAR
ORD		Sale		1,125		45.2100 ZAR
ORD		Sale		1,168		45.4900 ZAR
ORD		Sale		1,237		46.5600 ZAR
ORD		Sale		1,283		45.5000 ZAR
ORD		Sale		1,424		46.2500 ZAR
ORD		Sale		1,894		47.2000 ZAR
ORD		Sale		2,000		45.9100 ZAR
ORD		Sale		2,044		45.2600 ZAR
ORD		Sale		2,082		46.7300 ZAR
ORD		Sale		2,130		3.9591 GBP
ORD		Sale		2,185		46.9500 ZAR
ORD		Sale		2,248		46.7000 ZAR
ORD		Sale		2,475		45.2700 ZAR
ORD		Sale		2,550		47.2200 ZAR
ORD		Sale		2,585		47.1800 ZAR
ORD		Sale		2,592		46.5300 ZAR
ORD		Sale		2,654		46.4900 ZAR
ORD		Sale		2,963		45.2800 ZAR
ORD		Sale		3,309		46.2700 ZAR
ORD		Sale		3,400		45.2400 ZAR
ORD		Sale		3,400		46.7200 ZAR
ORD		Sale		3,586		46.7600 ZAR
ORD		Sale		3,600		45.7900 ZAR
ORD		Sale		3,843		46.5500 ZAR
ORD		Sale		4,000		45.4300 ZAR
ORD		Sale		4,000		45.7000 ZAR
ORD		Sale		4,000		46.0100 ZAR
ORD		Sale		4,000		46.1900 ZAR
ORD		Sale		4,660		3.9522 GBP
ORD		Sale		4,708		46.8500 ZAR
ORD		Sale		4,925		45.6600 ZAR
ORD		Sale		5,000		46.5200 ZAR
ORD		Sale		5,175		46.0500 ZAR
ORD		Sale		5,286		46.1300 ZAR
ORD		Sale		5,310		45.3900 ZAR
ORD		Sale		5,740		46.4100 ZAR
ORD		Sale		5,786		45.1500 ZAR
ORD		Sale		6,334		45.3200 ZAR
ORD		Sale		6,365		46.4800 ZAR
ORD		Sale		6,390		46.1700 ZAR
ORD		Sale		6,418		45.0300 ZAR
ORD		Sale		6,576		45.3100 ZAR
ORD		Sale		7,006		45.2900 ZAR
ORD		Sale		7,305		46.7500 ZAR
ORD		Sale		8,000		46.1400 ZAR
ORD		Sale		8,000		46.8900 ZAR
ORD		Sale		8,396		46.7400 ZAR
ORD		Sale		8,572		45.3000 ZAR
ORD		Sale		9,000		45.1000 ZAR
ORD		Sale		9,000		45.2000 ZAR
ORD		Sale		9,036		46.8000 ZAR
ORD		Sale		9,099		46.8200 ZAR
ORD		Sale		9,593		46.4600 ZAR
ORD		Sale		10,157		3.7737 GBP
ORD		Sale		10,440		46.4700 ZAR
ORD		Sale		11,394		3.9059 GBP
ORD		Sale		12,340		46.2800 ZAR
ORD		Sale		13,397		46.2000 ZAR
ORD		Sale		13,533		46.9000 ZAR
ORD		Sale		14,918		46.3200 ZAR
ORD		Sale		15,000		46.3400 ZAR
ORD		Sale		15,242		46.3700 ZAR
ORD		Sale		15,296		46.1000 ZAR
ORD		Sale		15,350		46.4200 ZAR
ORD		Sale		15,406		45.8000 ZAR
ORD		Sale		16,853		46.1500 ZAR
ORD		Sale		18,609		46.3500 ZAR
ORD		Sale		19,085		46.2900 ZAR
ORD		Sale		21,455		3.8896 GBP
ORD		Sale		25,416		46.3900 ZAR
ORD		Sale		27,030		3.7775 GBP
ORD		Sale		28,559		46.4300 ZAR
ORD		Sale		35,967		46.3000 ZAR
ORD		Sale		38,911		46.4400 ZAR
ORD		Sale		39,194		46.3100 ZAR
ORD		Sale		39,474		3.8931 GBP
ORD		Sale		41,029		46.4000 ZAR
ORD		Sale		44,134		46.4500 ZAR
ORD		Sale		100,040		3.8843 GBP
ORD		Sale		156,869		3.8705 GBP
ORD		Sale		577,623		46.2190 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		1,046		3.9711 GBP
ORD		CFD		Long		1,500		45.4640 ZAR
ORD		CFD		Long		1,652		45.9533 ZAR
ORD		CFD		Long		1,800		46.2961 ZAR
ORD		CFD		Long		2,000		46.3051 ZAR
ORD		CFD		Long		7,938		46.6917 ZAR
ORD		CFD		Long		48,970		3.8403 GBP
ORD		CFD		Long		135,159		45.7111 ZAR
ORD		CFD		Long		577,623		46.2097 ZAR
ORD		CFD		Long		678,530		46.2340 ZAR
ORD		CFD		Short		813		46.5543 ZAR
ORD		CFD		Short		874		45.6233 ZAR
ORD		CFD		Short		1,000		47.0150 ZAR
ORD		CFD		Short		1,477		3.9761 GBP
ORD		CFD		Short		3,191		46.5034 ZAR
ORD		CFD		Short		11,832		3.9731 GBP
ORD		CFD		Short		19,356		3.8287 GBP
ORD		CFD		Short		21,715		46.0873 ZAR
ORD		CFD		Short		28,860		46.1760 ZAR
ORD		CFD		Short		36,428		45.5639 ZAR
ORD		CFD		Short		42,278		45.2180 ZAR
ORD		CFD		Short		52,952		3.8055 GBP
ORD		CFD		Short		1,268,484		3.9048 GBP
ORD		CFD		Short		1,271,043		46.2249 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	19 Aug 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].

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

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

5,200.0000

American

15 Sep 2011

ORD

Call Options

Purchased

972,000

5,800.0000

American

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.

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.