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	23 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:		37,057,621		6.83%		38,365,485		7.07%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		9,870,692		1.82%		10,326,645		1.90%
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:
				48,000,313		8.85%		48,692,130		8.98%

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		145		46.3500 ZAR
ORD		Purchase		182		46.1000 ZAR
ORD		Purchase		209		45.7000 ZAR
ORD		Purchase		314		45.9100 ZAR
ORD		Purchase		413		45.5800 ZAR
ORD		Purchase		500		46.4600 ZAR
ORD		Purchase		700		45.5300 ZAR
ORD		Purchase		845		46.0800 ZAR
ORD		Purchase		991		46.0100 ZAR
ORD		Purchase		1,000		46.0600 ZAR
ORD		Purchase		1,000		46.5400 ZAR
ORD		Purchase		1,167		45.8700 ZAR
ORD		Purchase		1,252		3.8630 GBP
ORD		Purchase		1,283		46.2900 ZAR
ORD		Purchase		1,489		45.9200 ZAR
ORD		Purchase		1,495		46.5100 ZAR
ORD		Purchase		1,666		46.3400 ZAR
ORD		Purchase		1,792		46.4100 ZAR
ORD		Purchase		2,575		45.7500 ZAR
ORD		Purchase		4,000		46.0500 ZAR
ORD		Purchase		4,035		46.6300 ZAR
ORD		Purchase		4,109		46.2200 ZAR
ORD		Purchase		4,278		46.2400 ZAR
ORD		Purchase		4,881		3.8794 GBP
ORD		Purchase		5,500		3.8740 GBP
ORD		Purchase		7,210		46.6000 ZAR
ORD		Purchase		12,332		3.8654 GBP
ORD		Purchase		14,124		3.8797 GBP
ORD		Purchase		16,255		3.8775 GBP
ORD		Purchase		22,351		3.8750 GBP
ORD		Purchase		27,812		46.0000 ZAR
ORD		Purchase		64,384		3.8754 GBP
ORD		Purchase		92,318		3.8907 GBP
ORD		Purchase		192,104		3.8938 GBP
ORD		Purchase		273,465		3.8911 GBP
ORD		Purchase		500,000		45.7200 ZAR
ORD		Purchase		709,989		3.8866 GBP
ORD		Sale		100		45.8300 ZAR
ORD		Sale		150		45.9700 ZAR
ORD		Sale		150		46.4400 ZAR
ORD		Sale		152		3.8670 GBP
ORD		Sale		261		45.6000 ZAR
ORD		Sale		825		45.9600 ZAR
ORD		Sale		845		46.0800 ZAR
ORD		Sale		1,000		45.6600 ZAR
ORD		Sale		1,000		46.2400 ZAR
ORD		Sale		1,000		46.4800 ZAR
ORD		Sale		1,228		46.7600 ZAR
ORD		Sale		1,390		46.6500 ZAR
ORD		Sale		1,418		46.1000 ZAR
ORD		Sale		1,460		46.0400 ZAR
ORD		Sale		1,934		45.7600 ZAR
ORD		Sale		2,000		45.7000 ZAR
ORD		Sale		2,000		45.7400 ZAR
ORD		Sale		2,358		45.9800 ZAR
ORD		Sale		2,400		3.8602 GBP
ORD		Sale		2,400		46.5600 ZAR
ORD		Sale		2,500		46.4700 ZAR
ORD		Sale		2,672		46.6300 ZAR
ORD		Sale		2,730		46.1500 ZAR
ORD		Sale		2,784		46.6200 ZAR
ORD		Sale		2,870		46.2800 ZAR
ORD		Sale		2,902		46.6000 ZAR
ORD		Sale		3,112		45.9100 ZAR
ORD		Sale		3,238		46.2000 ZAR
ORD		Sale		3,461		46.7300 ZAR
ORD		Sale		3,505		45.8700 ZAR
ORD		Sale		3,935		46.0600 ZAR
ORD		Sale		4,000		45.7800 ZAR
ORD		Sale		4,000		45.8200 ZAR
ORD		Sale		4,000		45.8400 ZAR
ORD		Sale		4,000		46.2900 ZAR
ORD		Sale		4,055		46.6400 ZAR
ORD		Sale		4,150		46.3900 ZAR
ORD		Sale		4,392		46.4900 ZAR
ORD		Sale		4,516		46.4300 ZAR
ORD		Sale		4,775		46.4600 ZAR
ORD		Sale		5,000		45.8000 ZAR
ORD		Sale		5,000		46.6800 ZAR
ORD		Sale		5,000		46.7000 ZAR
ORD		Sale		5,270		46.1700 ZAR
ORD		Sale		5,404		46.2500 ZAR
ORD		Sale		5,534		46.5800 ZAR
ORD		Sale		5,719		46.7400 ZAR
ORD		Sale		6,000		46.5700 ZAR
ORD		Sale		6,039		45.7300 ZAR
ORD		Sale		6,214		45.7700 ZAR
ORD		Sale		6,500		46.6600 ZAR
ORD		Sale		6,800		3.8961 GBP
ORD		Sale		6,986		46.2300 ZAR
ORD		Sale		7,000		46.3300 ZAR
ORD		Sale		7,119		45.8900 ZAR
ORD		Sale		7,173		45.7100 ZAR
ORD		Sale		7,345		46.0900 ZAR
ORD		Sale		7,462		46.5300 ZAR
ORD		Sale		8,000		45.8600 ZAR
ORD		Sale		8,000		46.3700 ZAR
ORD		Sale		8,844		46.0300 ZAR
ORD		Sale		9,176		46.3200 ZAR
ORD		Sale		9,502		46.5000 ZAR
ORD		Sale		9,746		46.2600 ZAR
ORD		Sale		9,864		45.9400 ZAR
ORD		Sale		10,144		45.9200 ZAR
ORD		Sale		10,356		46.7200 ZAR
ORD		Sale		10,681		3.8945 GBP
ORD		Sale		10,802		46.6700 ZAR
ORD		Sale		11,554		46.1100 ZAR
ORD		Sale		11,759		46.5400 ZAR
ORD		Sale		11,842		46.3500 ZAR
ORD		Sale		11,956		46.0500 ZAR
ORD		Sale		12,000		45.9300 ZAR
ORD		Sale		12,000		46.7100 ZAR
ORD		Sale		12,017		45.9000 ZAR
ORD		Sale		12,108		46.0000 ZAR
ORD		Sale		13,553		46.4100 ZAR
ORD		Sale		13,727		46.7500 ZAR
ORD		Sale		14,779		3.8819 GBP
ORD		Sale		15,580		46.4000 ZAR
ORD		Sale		19,807		3.8871 GBP
ORD		Sale		20,898		45.9500 ZAR
ORD		Sale		23,335		45.7500 ZAR
ORD		Sale		25,118		46.4200 ZAR
ORD		Sale		36,720		3.8800 GBP
ORD		Sale		39,755		46.3000 ZAR
ORD		Sale		46,259		46.4500 ZAR
ORD		Sale		65,645		3.8801 GBP
ORD		Sale		211,666		3.8842 GBP
ORD		Sale		504,000		45.7200 ZAR
ORD		Sale		813,211		46.3328 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		800		3.8977 GBP
ORD		CFD		Long		2,461		46.6539 ZAR
ORD		CFD		Long		7,145		46.2021 ZAR
ORD		CFD		Long		8,000		46.3851 ZAR
ORD		CFD		Long		29,072		3.8928 GBP
ORD		CFD		Long		62,314		3.8786 GBP
ORD		CFD		Long		63,415		3.8903 GBP
ORD		CFD		Long		150,804		46.1932 ZAR
ORD		CFD		Long		403,605		46.2381 ZAR
ORD		CFD		Long		500,000		3.8344 GBP
ORD		CFD		Long		558,879		45.7813 ZAR
ORD		CFD		Long		813,211		46.3235 ZAR
ORD		Futures		Short		50		46.1300 ZAR
ORD		CFD		Short		7,210		46.6186 ZAR
ORD		CFD		Short		10,068		46.0488 ZAR
ORD		CFD		Short		16,820		3.8816 GBP
ORD		CFD		Short		41,601		46.1210 ZAR
ORD		CFD		Short		500,000		45.7245 ZAR
ORD		CFD		Short		1,230,123		3.8896 GBP
ORD		CFD		Short		1,385,226		46.2849 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:		24 Aug 2011
Contact name:		Geoff Smith
Telephone number:		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.

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.