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   Barclays PLC.
  are being disclosed:  
(b) Owner or controller of interest and short
  positions disclosed, if different from 1(a):  
(c) Name of offeror/offeree in relation to whose INVESTEC PLC
  relevant securities this form relates:  
(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
  offeror/offeree:  
(e) Date position held/dealing undertaken: 24 August 2011
(f) Has the discloser previously disclosed, or are YES:
they today disclosing, under the Code in respect CANACCORD FINANCIAL INC
of any other party to this offer? CANACCORD FINL INC
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)

Class of relevant security:   ORD
Interests       Short Positions    
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 37,390,450 6.89% 38,839,625 7.16%
           
(2) Derivatives (other than
options): 10,881,710 2.01% 11,196,664 2.06%
           
(3) Options and agreements to
purchase/sell: 1,072,000 0.20% 0 0.00%
           
(4) TOTAL:
49,344,160 9.10% 50,036,289 9.22%

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:  
Details, including nature of the rights concerned and relevant percentages:  

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   Purchase/sale   Number of   Price per unit
security   securities  
ORD Purchase 100 47.7800 ZAR
ORD Purchase 265 47.6300 ZAR
ORD Purchase 326 46.9000 ZAR
ORD Purchase 364 47.8900 ZAR
ORD Purchase 464 47.0400 ZAR
ORD Purchase 519 47.4800 ZAR
ORD Purchase 523 46.8100 ZAR
ORD Purchase 632 47.1600 ZAR
ORD Purchase 676 48.0700 ZAR
ORD Purchase 707 47.4100 ZAR
ORD Purchase 776 46.9800 ZAR
ORD Purchase 776 47.3400 ZAR
ORD Purchase 827 46.6100 ZAR
ORD Purchase 875 47.3100 ZAR
ORD Purchase 987 46.6800 ZAR
ORD Purchase 996 47.2700 ZAR
ORD Purchase 1,000 46.7000 ZAR
ORD Purchase 1,000 47.0600 ZAR
ORD Purchase 1,000 47.1500 ZAR
ORD Purchase 1,004 47.5400 ZAR
ORD Purchase 1,015 47.1800 ZAR
ORD Purchase 1,032 46.8300 ZAR
ORD Purchase 1,033 47.1000 ZAR
ORD Purchase 1,033 47.1400 ZAR
ORD Purchase 1,033 47.2100 ZAR
ORD Purchase 1,057 47.9400 ZAR
ORD Purchase 1,068 46.7700 ZAR
ORD Purchase 1,080 47.2300 ZAR
ORD Purchase 1,081 47.5800 ZAR
ORD Purchase 1,094 47.9300 ZAR
ORD Purchase 1,107 47.4900 ZAR
ORD Purchase 1,157 47.7600 ZAR
ORD Purchase 1,263 46.9500 ZAR
ORD Purchase 1,291 46.7500 ZAR
ORD Purchase 1,318 47.1900 ZAR
ORD Purchase 1,377 46.9700 ZAR
ORD Purchase 1,432 47.5500 ZAR
ORD Purchase 1,495 47.8800 ZAR
ORD Purchase 1,624 46.8400 ZAR
ORD Purchase 1,740 47.7900 ZAR
ORD Purchase 1,779 47.0800 ZAR
ORD Purchase 1,987 47.0100 ZAR
ORD Purchase 2,067 47.1700 ZAR
ORD Purchase 2,500 47.8000 ZAR
ORD Purchase 2,501 47.2400 ZAR
ORD Purchase 2,843 47.8600 ZAR
ORD Purchase 3,265 46.8500 ZAR
ORD Purchase 4,000 47.9000 ZAR
ORD Purchase 5,000 47.6500 ZAR
ORD Purchase 5,000 47.9100 ZAR
ORD Purchase 5,309 47.6200 ZAR
ORD Purchase 7,111 47.0000 ZAR
ORD Purchase 7,133 47.9200 ZAR
ORD Purchase 9,600 47.9500 ZAR
ORD Purchase 11,470 47.5000 ZAR
ORD Sale 41 47.0700 ZAR
ORD Sale 118 47.7500 ZAR
ORD Sale 183 46.8300 ZAR
ORD Sale 200 46.8900 ZAR
ORD Sale 210 47.1800 ZAR
ORD Sale 317 46.7500 ZAR
ORD Sale 500 46.7900 ZAR
ORD Sale 500 46.9900 ZAR
ORD Sale 500 47.1000 ZAR
ORD Sale 500 47.2200 ZAR
ORD Sale 600 47.2700 ZAR
ORD Sale 600 47.9700 ZAR
ORD Sale 700 46.7600 ZAR
ORD Sale 700 47.1300 ZAR
ORD Sale 700 47.2300 ZAR
ORD Sale 700 47.4100 ZAR
ORD Sale 827 47.2100 ZAR
ORD Sale 827 47.2900 ZAR
ORD Sale 900 46.4400 ZAR
ORD Sale 900 47.3000 ZAR
ORD Sale 920 46.4500 ZAR
ORD Sale 1,000 46.6800 ZAR
ORD Sale 1,000 46.9300 ZAR
ORD Sale 1,000 46.9600 ZAR
ORD Sale 1,000 47.7300 ZAR
ORD Sale 1,000 47.9000 ZAR
ORD Sale 1,000 47.9100 ZAR
ORD Sale 1,125 47.0500 ZAR
ORD Sale 1,200 47.9600 ZAR
ORD Sale 1,265 47.3800 ZAR
ORD Sale 1,277 47.9500 ZAR
ORD Sale 1,487 47.4000 ZAR
ORD Sale 1,614 47.0400 ZAR
ORD Sale 1,677 46.9700 ZAR
ORD Sale 1,800 47.6000 ZAR
ORD Sale 1,900 47.1700 ZAR
ORD Sale 2,069 47.0300 ZAR
ORD Sale 2,100 46.9000 ZAR
ORD Sale 2,513 47.1600 ZAR
ORD Sale 2,603 47.0200 ZAR
ORD Sale 2,695 47.8800 ZAR
ORD Sale 3,380 46.8500 ZAR
ORD Sale 4,000 47.3400 ZAR
ORD Sale 4,000 47.5700 ZAR
ORD Sale 4,000 47.5800 ZAR
ORD Sale 4,027 46.9800 ZAR
ORD Sale 4,164 47.1500 ZAR
ORD Sale 4,610 46.9100 ZAR
ORD Sale 4,787 47.0800 ZAR
ORD Sale 4,832 46.7300 ZAR
ORD Sale 4,900 47.1400 ZAR
ORD Sale 5,268 46.7100 ZAR
ORD Sale 5,318 47.1900 ZAR
ORD Sale 6,280 47.9900 ZAR
ORD Sale 6,559 47.0100 ZAR
ORD Sale 6,729 47.0600 ZAR
ORD Sale 7,120 48.0000 ZAR
ORD Sale 7,143 47.2000 ZAR
ORD Sale 8,233 46.8000 ZAR
ORD Sale 9,266 46.8400 ZAR
ORD Sale 10,133 47.5000 ZAR
ORD Sale 10,679 46.7200 ZAR
ORD Sale 14,930 47.0000 ZAR
ORD Sale 35,342 46.7000 ZAR
ORD Sale 444,125 47.0859 ZAR

(b) Derivatives transactions (other than options)

Class of relevant security   Product description

e.g. CFD

  Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

  Number of reference securities   Price per unit

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(ii) Exercising

Class of relevant security   Product description

e.g. call option

  Number of securities   Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security   Nature of dealing

e.g. subscription, conversion

  Details   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?  

YES

Date of disclosure:  

25 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 monitoring@disclosure.org.uk. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on +44 (0)20 7638 0129.

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 the person whose positions/dealings   Barclays PLC.
are being disclosed:  
Name of offeror/offeree in relation to whose INVESTEC
relevant securities this from relates:  

2. OPTIONS AND DERIVATIVES

Class   Product   Writing,   Number   Exercise   Type   Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
      relates      
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 +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

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