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	22 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 CANACCORD FINL 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				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		36,136,122		6.66%		37,150,514		6.85%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		8,364,053		1.54%		9,050,011		1.67%
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:
				45,572,175		8.40%		46,200,525		8.52%

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		190		3.8310 GBP
ORD		Purchase		246		46.8900 ZAR
ORD		Purchase		360		45.6600 ZAR
ORD		Purchase		506		45.3900 ZAR
ORD		Purchase		540		45.7300 ZAR
ORD		Purchase		615		46.5300 ZAR
ORD		Purchase		700		45.9800 ZAR
ORD		Purchase		750		46.8200 ZAR
ORD		Purchase		832		45.0300 ZAR
ORD		Purchase		1,056		45.4100 ZAR
ORD		Purchase		1,180		3.8294 GBP
ORD		Purchase		1,180		45.4600 ZAR
ORD		Purchase		1,657		45.5600 ZAR
ORD		Purchase		1,700		47.0400 ZAR
ORD		Purchase		1,871		3.9166 GBP
ORD		Purchase		2,749		46.6000 ZAR
ORD		Purchase		2,800		3.8692 GBP
ORD		Purchase		2,932		3.8300 GBP
ORD		Purchase		3,230		45.9200 ZAR
ORD		Purchase		3,367		45.7000 ZAR
ORD		Purchase		3,988		3.8292 GBP
ORD		Purchase		4,000		46.0300 ZAR
ORD		Purchase		4,000		46.4700 ZAR
ORD		Purchase		4,000		46.4900 ZAR
ORD		Purchase		4,000		46.5100 ZAR
ORD		Purchase		4,000		46.5900 ZAR
ORD		Purchase		4,000		46.6300 ZAR
ORD		Purchase		4,025		46.7500 ZAR
ORD		Purchase		4,473		46.5000 ZAR
ORD		Purchase		7,594		46.0000 ZAR
ORD		Purchase		8,000		46.0500 ZAR
ORD		Purchase		8,000		46.9000 ZAR
ORD		Purchase		8,210		46.7600 ZAR
ORD		Purchase		8,631		46.8000 ZAR
ORD		Purchase		11,114		46.6200 ZAR
ORD		Purchase		13,000		46.0600 ZAR
ORD		Purchase		16,563		3.9274 GBP
ORD		Purchase		25,887		46.6100 ZAR
ORD		Purchase		29,511		45.9900 ZAR
ORD		Purchase		62,601		46.2913 ZAR
ORD		Purchase		72,517		3.8942 GBP
ORD		Purchase		77,538		3.8986 GBP
ORD		Purchase		146,208		3.9070 GBP
ORD		Purchase		649,749		3.9005 GBP
ORD		Sale		96		45.9900 ZAR
ORD		Sale		100		45.4000 ZAR
ORD		Sale		136		47.2900 ZAR
ORD		Sale		196		45.7600 ZAR
ORD		Sale		200		47.0400 ZAR
ORD		Sale		316		45.7800 ZAR
ORD		Sale		332		45.6900 ZAR
ORD		Sale		374		46.2000 ZAR
ORD		Sale		500		46.6800 ZAR
ORD		Sale		523		46.9700 ZAR
ORD		Sale		612		46.1400 ZAR
ORD		Sale		634		46.7200 ZAR
ORD		Sale		638		46.2100 ZAR
ORD		Sale		781		47.0800 ZAR
ORD		Sale		797		45.3300 ZAR
ORD		Sale		811		45.5400 ZAR
ORD		Sale		878		46.3500 ZAR
ORD		Sale		1,000		46.0100 ZAR
ORD		Sale		1,033		45.5300 ZAR
ORD		Sale		1,033		45.6000 ZAR
ORD		Sale		1,033		46.0400 ZAR
ORD		Sale		1,033		46.3200 ZAR
ORD		Sale		1,034		46.7800 ZAR
ORD		Sale		1,274		45.9800 ZAR
ORD		Sale		1,303		45.3900 ZAR
ORD		Sale		1,327		46.5600 ZAR
ORD		Sale		1,383		46.9800 ZAR
ORD		Sale		1,445		45.3200 ZAR
ORD		Sale		1,600		45.7200 ZAR
ORD		Sale		1,804		46.4000 ZAR
ORD		Sale		2,040		46.3400 ZAR
ORD		Sale		2,050		47.1400 ZAR
ORD		Sale		2,067		45.9200 ZAR
ORD		Sale		2,075		46.9500 ZAR
ORD		Sale		2,101		45.9100 ZAR
ORD		Sale		2,139		46.3000 ZAR
ORD		Sale		2,167		45.5600 ZAR
ORD		Sale		2,574		46.9300 ZAR
ORD		Sale		2,702		47.0000 ZAR
ORD		Sale		2,985		46.3100 ZAR
ORD		Sale		3,366		46.7400 ZAR
ORD		Sale		3,427		45.6400 ZAR
ORD		Sale		3,500		46.3700 ZAR
ORD		Sale		3,654		46.7700 ZAR
ORD		Sale		4,000		45.2900 ZAR
ORD		Sale		4,000		45.4100 ZAR
ORD		Sale		4,000		46.6400 ZAR
ORD		Sale		4,000		46.8000 ZAR
ORD		Sale		4,100		45.7300 ZAR
ORD		Sale		4,147		46.9600 ZAR
ORD		Sale		4,403		46.1200 ZAR
ORD		Sale		4,413		46.7100 ZAR
ORD		Sale		4,631		45.3100 ZAR
ORD		Sale		4,742		47.0200 ZAR
ORD		Sale		4,761		46.5000 ZAR
ORD		Sale		4,953		46.9900 ZAR
ORD		Sale		4,960		47.1000 ZAR
ORD		Sale		5,000		46.0000 ZAR
ORD		Sale		5,000		46.9400 ZAR
ORD		Sale		5,311		46.8500 ZAR
ORD		Sale		5,400		3.8293 GBP
ORD		Sale		5,584		45.7500 ZAR
ORD		Sale		5,710		46.7300 ZAR
ORD		Sale		6,000		45.8000 ZAR
ORD		Sale		6,033		46.8800 ZAR
ORD		Sale		6,255		47.0100 ZAR
ORD		Sale		6,345		45.4600 ZAR
ORD		Sale		6,698		46.6700 ZAR
ORD		Sale		6,755		47.1300 ZAR
ORD		Sale		7,028		45.9300 ZAR
ORD		Sale		7,042		46.5800 ZAR
ORD		Sale		7,120		3.8369 GBP
ORD		Sale		7,850		46.9000 ZAR
ORD		Sale		8,027		46.0200 ZAR
ORD		Sale		8,068		45.5700 ZAR
ORD		Sale		8,101		46.7900 ZAR
ORD		Sale		8,316		45.7400 ZAR
ORD		Sale		8,562		45.3000 ZAR
ORD		Sale		9,000		45.7000 ZAR
ORD		Sale		9,000		46.4800 ZAR
ORD		Sale		9,000		46.7600 ZAR
ORD		Sale		9,000		47.1200 ZAR
ORD		Sale		9,000		47.1700 ZAR
ORD		Sale		9,000		47.1900 ZAR
ORD		Sale		9,101		46.4100 ZAR
ORD		Sale		10,200		3.8390 GBP
ORD		Sale		10,868		46.9200 ZAR
ORD		Sale		10,878		46.4600 ZAR
ORD		Sale		10,926		46.7000 ZAR
ORD		Sale		10,962		46.3900 ZAR
ORD		Sale		11,000		45.9600 ZAR
ORD		Sale		11,008		45.5100 ZAR
ORD		Sale		11,798		46.4900 ZAR
ORD		Sale		12,000		46.5200 ZAR
ORD		Sale		12,278		46.4200 ZAR
ORD		Sale		12,325		46.7500 ZAR
ORD		Sale		13,000		46.2300 ZAR
ORD		Sale		13,383		45.9000 ZAR
ORD		Sale		14,000		46.5100 ZAR
ORD		Sale		14,000		46.6500 ZAR
ORD		Sale		14,033		46.8700 ZAR
ORD		Sale		14,380		46.8600 ZAR
ORD		Sale		14,975		46.0300 ZAR
ORD		Sale		15,018		46.8900 ZAR
ORD		Sale		15,040		45.4500 ZAR
ORD		Sale		16,000		45.9400 ZAR
ORD		Sale		16,299		3.8994 GBP
ORD		Sale		18,000		46.8300 ZAR
ORD		Sale		19,053		46.1100 ZAR
ORD		Sale		19,338		47.0500 ZAR
ORD		Sale		20,339		47.0700 ZAR
ORD		Sale		20,476		45.9500 ZAR
ORD		Sale		22,081		47.0600 ZAR
ORD		Sale		25,000		47.0300 ZAR
ORD		Sale		25,202		45.8900 ZAR
ORD		Sale		26,558		3.9005 GBP
ORD		Sale		33,200		3.8410 GBP
ORD		Sale		39,998		46.8400 ZAR
ORD		Sale		41,062		3.8999 GBP
ORD		Sale		53,307		46.6600 ZAR
ORD		Sale		54,779		3.9038 GBP
ORD		Sale		54,946		46.9100 ZAR
ORD		Sale		266,904		3.9021 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		928		3.9247 GBP
ORD		CFD		Long		3,446		46.8897 ZAR
ORD		CFD		Long		19,138		46.9223 ZAR
ORD		CFD		Long		23,776		3.8827 GBP
ORD		CFD		Long		23,924		46.7056 ZAR
ORD		CFD		Long		44,130		3.9169 GBP
ORD		CFD		Long		234,534		46.3449 ZAR
ORD		CFD		Long		293,485		3.9058 GBP
ORD		CFD		Long		828,073		46.4653 ZAR
ORD		CFD		Short		670		45.9200 ZAR
ORD		CFD		Short		700		45.9800 ZAR
ORD		CFD		Short		2,274		3.8355 GBP
ORD		CFD		Short		3,068		45.3406 ZAR
ORD		CFD		Short		3,226		3.8706 GBP
ORD		CFD		Short		62,601		46.3004 ZAR
ORD		CFD		Short		167,495		46.3846 ZAR
ORD		CFD		Short		874,581		46.4861 ZAR
ORD		CFD		Short		886,598		3.9040 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 Â

Date of disclosure:	Â	23 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.