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	19 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: CANACCORD FINANCIAL INC 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:		35,658,430		6.57%		36,536,789		6.74%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		7,128,877		1.31%		7,925,103		1.46%
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:
				43,859,307		8.09%		44,461,892		8.20%

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		62		3.7094 GBP
ORD		Purchase		100		43.7500 ZAR
ORD		Purchase		172		45.0500 ZAR
ORD		Purchase		212		46.0000 ZAR
ORD		Purchase		281		44.5900 ZAR
ORD		Purchase		300		45.6200 ZAR
ORD		Purchase		300		45.9100 ZAR
ORD		Purchase		338		45.8700 ZAR
ORD		Purchase		407		44.7600 ZAR
ORD		Purchase		500		44.5000 ZAR
ORD		Purchase		500		45.1800 ZAR
ORD		Purchase		500		45.8500 ZAR
ORD		Purchase		506		44.0100 ZAR
ORD		Purchase		515		45.9300 ZAR
ORD		Purchase		518		45.1200 ZAR
ORD		Purchase		562		44.5300 ZAR
ORD		Purchase		570		45.5800 ZAR
ORD		Purchase		581		45.5100 ZAR
ORD		Purchase		640		45.8300 ZAR
ORD		Purchase		662		44.3300 ZAR
ORD		Purchase		695		45.0700 ZAR
ORD		Purchase		845		44.4600 ZAR
ORD		Purchase		894		45.8600 ZAR
ORD		Purchase		910		45.2200 ZAR
ORD		Purchase		913		44.1100 ZAR
ORD		Purchase		1,000		44.2900 ZAR
ORD		Purchase		1,124		44.4200 ZAR
ORD		Purchase		1,130		44.6900 ZAR
ORD		Purchase		1,252		45.7100 ZAR
ORD		Purchase		1,277		44.5700 ZAR
ORD		Purchase		1,308		45.9900 ZAR
ORD		Purchase		1,542		45.7000 ZAR
ORD		Purchase		1,556		45.7500 ZAR
ORD		Purchase		1,620		44.0000 ZAR
ORD		Purchase		1,656		45.6700 ZAR
ORD		Purchase		1,730		45.7400 ZAR
ORD		Purchase		2,336		44.4900 ZAR
ORD		Purchase		2,408		44.2800 ZAR
ORD		Purchase		2,947		44.3100 ZAR
ORD		Purchase		2,967		45.4900 ZAR
ORD		Purchase		3,381		44.2300 ZAR
ORD		Purchase		3,510		45.5300 ZAR
ORD		Purchase		3,757		44.4100 ZAR
ORD		Purchase		3,960		44.2500 ZAR
ORD		Purchase		4,000		44.3800 ZAR
ORD		Purchase		4,000		44.6400 ZAR
ORD		Purchase		4,194		45.3000 ZAR
ORD		Purchase		4,233		44.2000 ZAR
ORD		Purchase		4,303		44.4500 ZAR
ORD		Purchase		4,411		44.3200 ZAR
ORD		Purchase		4,691		44.0300 ZAR
ORD		Purchase		5,000		45.4500 ZAR
ORD		Purchase		5,011		45.6300 ZAR
ORD		Purchase		5,257		44.3900 ZAR
ORD		Purchase		5,290		45.1700 ZAR
ORD		Purchase		5,477		44.1600 ZAR
ORD		Purchase		6,500		44.3000 ZAR
ORD		Purchase		7,173		44.1700 ZAR
ORD		Purchase		7,372		44.6000 ZAR
ORD		Purchase		7,587		44.3700 ZAR
ORD		Purchase		9,000		44.7000 ZAR
ORD		Purchase		9,000		45.2400 ZAR
ORD		Purchase		9,486		44.3400 ZAR
ORD		Purchase		9,981		44.2600 ZAR
ORD		Purchase		10,003		44.6200 ZAR
ORD		Purchase		10,590		44.8100 ZAR
ORD		Purchase		10,600		44.2400 ZAR
ORD		Purchase		11,636		45.9500 ZAR
ORD		Purchase		12,486		44.3500 ZAR
ORD		Purchase		14,410		3.7027 GBP
ORD		Purchase		15,719		44.6500 ZAR
ORD		Purchase		17,655		44.4000 ZAR
ORD		Purchase		24,266		3.7613 GBP
ORD		Purchase		105,527		3.7640 GBP
ORD		Purchase		108,867		3.7622 GBP
ORD		Purchase		328,873		3.7448 GBP
ORD		Purchase		1,321,654		3.7442 GBP
ORD		Sale		50		45.2600 ZAR
ORD		Sale		107		45.7300 ZAR
ORD		Sale		320		44.3600 ZAR
ORD		Sale		400		45.1600 ZAR
ORD		Sale		502		44.6600 ZAR
ORD		Sale		518		45.1200 ZAR
ORD		Sale		572		44.7700 ZAR
ORD		Sale		740		45.8300 ZAR
ORD		Sale		820		45.2700 ZAR
ORD		Sale		820		45.6300 ZAR
ORD		Sale		827		45.0700 ZAR
ORD		Sale		827		45.6500 ZAR
ORD		Sale		827		45.9200 ZAR
ORD		Sale		845		44.4500 ZAR
ORD		Sale		847		45.3100 ZAR
ORD		Sale		887		3.7385 GBP
ORD		Sale		925		44.4800 ZAR
ORD		Sale		963		44.7500 ZAR
ORD		Sale		1,000		44.9100 ZAR
ORD		Sale		1,004		45.4900 ZAR
ORD		Sale		1,033		44.0700 ZAR
ORD		Sale		1,033		44.8800 ZAR
ORD		Sale		1,033		44.9300 ZAR
ORD		Sale		1,100		44.8500 ZAR
ORD		Sale		1,191		45.7700 ZAR
ORD		Sale		1,234		44.7200 ZAR
ORD		Sale		1,240		46.1900 ZAR
ORD		Sale		1,275		46.0600 ZAR
ORD		Sale		1,279		45.6700 ZAR
ORD		Sale		1,292		45.6400 ZAR
ORD		Sale		1,368		45.9400 ZAR
ORD		Sale		1,400		45.0500 ZAR
ORD		Sale		1,428		45.8800 ZAR
ORD		Sale		1,585		45.1800 ZAR
ORD		Sale		1,761		45.3000 ZAR
ORD		Sale		1,791		45.7200 ZAR
ORD		Sale		1,855		44.8000 ZAR
ORD		Sale		2,200		3.8162 GBP
ORD		Sale		2,256		44.1300 ZAR
ORD		Sale		2,267		44.2900 ZAR
ORD		Sale		2,267		44.6100 ZAR
ORD		Sale		2,287		44.5300 ZAR
ORD		Sale		2,357		44.3100 ZAR
ORD		Sale		2,522		45.5800 ZAR
ORD		Sale		2,800		3.8205 GBP
ORD		Sale		2,855		44.5100 ZAR
ORD		Sale		2,903		45.9500 ZAR
ORD		Sale		2,914		45.0400 ZAR
ORD		Sale		2,925		44.2800 ZAR
ORD		Sale		3,017		44.4600 ZAR
ORD		Sale		3,052		44.8400 ZAR
ORD		Sale		3,336		44.0200 ZAR
ORD		Sale		3,933		46.1000 ZAR
ORD		Sale		4,000		43.8800 ZAR
ORD		Sale		4,000		43.9400 ZAR
ORD		Sale		4,000		44.1100 ZAR
ORD		Sale		4,000		44.9400 ZAR
ORD		Sale		4,000		45.0600 ZAR
ORD		Sale		4,000		45.1100 ZAR
ORD		Sale		4,000		45.2400 ZAR
ORD		Sale		4,000		45.3200 ZAR
ORD		Sale		4,000		45.4300 ZAR
ORD		Sale		4,000		46.0900 ZAR
ORD		Sale		4,100		44.0100 ZAR
ORD		Sale		4,256		3.8184 GBP
ORD		Sale		4,285		3.8073 GBP
ORD		Sale		4,470		44.3500 ZAR
ORD		Sale		4,511		44.5200 ZAR
ORD		Sale		4,549		45.1500 ZAR
ORD		Sale		4,557		45.8600 ZAR
ORD		Sale		4,680		44.2300 ZAR
ORD		Sale		4,717		44.4100 ZAR
ORD		Sale		4,793		44.2400 ZAR
ORD		Sale		4,890		3.8252 GBP
ORD		Sale		4,903		45.9100 ZAR
ORD		Sale		4,914		44.4300 ZAR
ORD		Sale		4,925		45.6000 ZAR
ORD		Sale		5,029		44.0300 ZAR
ORD		Sale		5,122		44.5800 ZAR
ORD		Sale		5,365		44.4200 ZAR
ORD		Sale		5,477		44.2100 ZAR
ORD		Sale		5,577		46.0300 ZAR
ORD		Sale		5,616		45.4500 ZAR
ORD		Sale		5,874		44.3200 ZAR
ORD		Sale		6,082		44.1400 ZAR
ORD		Sale		6,516		44.2700 ZAR
ORD		Sale		6,756		45.1400 ZAR
ORD		Sale		6,799		46.0100 ZAR
ORD		Sale		6,914		45.0800 ZAR
ORD		Sale		7,175		45.0300 ZAR
ORD		Sale		8,053		44.5900 ZAR
ORD		Sale		8,132		44.8100 ZAR
ORD		Sale		8,144		45.4100 ZAR
ORD		Sale		8,396		44.3400 ZAR
ORD		Sale		8,411		44.5000 ZAR
ORD		Sale		8,687		45.9300 ZAR
ORD		Sale		8,696		44.1700 ZAR
ORD		Sale		8,700		44.4400 ZAR
ORD		Sale		9,000		44.0500 ZAR
ORD		Sale		9,477		3.7719 GBP
ORD		Sale		9,485		44.2200 ZAR
ORD		Sale		9,560		44.0900 ZAR
ORD		Sale		9,608		44.3800 ZAR
ORD		Sale		9,730		45.9600 ZAR
ORD		Sale		10,793		44.1800 ZAR
ORD		Sale		11,671		45.0000 ZAR
ORD		Sale		11,714		44.7000 ZAR
ORD		Sale		11,991		3.8019 GBP
ORD		Sale		12,000		45.2200 ZAR
ORD		Sale		12,035		44.3900 ZAR
ORD		Sale		12,345		45.2000 ZAR
ORD		Sale		12,789		45.2500 ZAR
ORD		Sale		12,831		44.3300 ZAR
ORD		Sale		13,403		44.6400 ZAR
ORD		Sale		13,482		45.0900 ZAR
ORD		Sale		13,615		44.6500 ZAR
ORD		Sale		14,549		44.4000 ZAR
ORD		Sale		16,294		44.7600 ZAR
ORD		Sale		16,946		44.2500 ZAR
ORD		Sale		18,430		45.1000 ZAR
ORD		Sale		19,016		45.2300 ZAR
ORD		Sale		19,541		44.6200 ZAR
ORD		Sale		19,663		3.7917 GBP
ORD		Sale		19,744		44.7900 ZAR
ORD		Sale		19,847		44.1600 ZAR
ORD		Sale		20,000		44.1000 ZAR
ORD		Sale		21,606		45.1900 ZAR
ORD		Sale		22,344		45.2100 ZAR
ORD		Sale		22,722		44.2600 ZAR
ORD		Sale		25,872		44.1900 ZAR
ORD		Sale		26,162		3.7344 GBP
ORD		Sale		28,703		45.1700 ZAR
ORD		Sale		28,779		45.4200 ZAR
ORD		Sale		33,720		3.7560 GBP
ORD		Sale		35,915		44.1500 ZAR
ORD		Sale		51,033		44.2000 ZAR
ORD		Sale		74,199		3.8120 GBP
ORD		Sale		92,851		3.7180 GBP
ORD		Sale		179,931		3.8074 GBP
ORD		Sale		620,305		44.7613 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		5,641		3.7908 GBP
ORD		CFD		Long		9,968		3.7151 GBP
ORD		CFD		Long		10,353		44.9123 ZAR
ORD		CFD		Long		45,431		3.7771 GBP
ORD		CFD		Long		249,901		44.6418 ZAR
ORD		CFD		Long		620,305		44.7522 ZAR
ORD		CFD		Long		885,089		44.7193 ZAR
ORD		CFD		Short		127		3.8085 GBP
ORD		CFD		Short		1,453		3.8396 GBP
ORD		CFD		Short		1,699		3.8084 GBP
ORD		CFD		Short		3,206		3.8361 GBP
ORD		CFD		Short		4,887		44.7963 ZAR
ORD		CFD		Short		14,254		3.7130 GBP
ORD		CFD		Short		21,213		44.7217 ZAR
ORD		CFD		Short		28,832		44.9649 ZAR
ORD		CFD		Short		65,302		3.7412 GBP
ORD		CFD		Short		194,969		44.5892 ZAR
ORD		CFD		Short		1,515,747		44.7345 ZAR
ORD		CFD		Short		1,526,194		3.7480 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	22 Aug 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

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.

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.