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	7 December 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 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:		49,143,918		9.05%		51,572,162		9.50%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		7,245,417		1.33%		2,823,526		0.52%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		310,000		0.06%		105,000		0.02%
Â		Â		Â		Â		Â		Â
(4)		TOTAL:
				56,699,335		10.44%		54,500,688		10.04%

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		180		44.7500 ZAR
ORD		Purchase		280		44.9800 ZAR
ORD		Purchase		342		45.2000 ZAR
ORD		Purchase		414		45.3000 ZAR
ORD		Purchase		486		45.3100 ZAR
ORD		Purchase		521		45.4000 ZAR
ORD		Purchase		700		45.0800 ZAR
ORD		Purchase		760		45.0600 ZAR
ORD		Purchase		802		45.4300 ZAR
ORD		Purchase		866		45.1400 ZAR
ORD		Purchase		1,000		44.8500 ZAR
ORD		Purchase		1,000		45.2900 ZAR
ORD		Purchase		1,054		45.1700 ZAR
ORD		Purchase		1,260		45.0900 ZAR
ORD		Purchase		1,397		45.2600 ZAR
ORD		Purchase		1,578		45.0000 ZAR
ORD		Purchase		2,116		45.4200 ZAR
ORD		Purchase		2,253		45.1600 ZAR
ORD		Purchase		2,600		45.2300 ZAR
ORD		Purchase		2,700		3.5758 GBP
ORD		Purchase		2,863		3.5801 GBP
ORD		Purchase		2,900		3.5756 GBP
ORD		Purchase		2,900		44.7800 ZAR
ORD		Purchase		3,254		45.1200 ZAR
ORD		Purchase		4,570		45.1100 ZAR
ORD		Purchase		5,569		45.2200 ZAR
ORD		Purchase		5,760		45.4600 ZAR
ORD		Purchase		5,773		45.2500 ZAR
ORD		Purchase		6,078		45.1900 ZAR
ORD		Purchase		6,585		3.6261 GBP
ORD		Purchase		8,000		45.3800 ZAR
ORD		Purchase		8,161		45.1300 ZAR
ORD		Purchase		9,006		3.5971 GBP
ORD		Purchase		9,733		45.3600 ZAR
ORD		Purchase		9,929		45.1000 ZAR
ORD		Purchase		10,314		45.3500 ZAR
ORD		Purchase		10,558		45.3700 ZAR
ORD		Purchase		15,926		3.5836 GBP
ORD		Purchase		23,502		45.4100 ZAR
ORD		Purchase		31,595		3.5851 GBP
ORD		Purchase		47,168		3.5850 GBP
ORD		Purchase		130,344		3.5829 GBP
ORD		Purchase		548,003		3.5853 GBP
ORD		Sale		413		45.3300 ZAR
ORD		Sale		699		45.3600 ZAR
ORD		Sale		700		45.3700 ZAR
ORD		Sale		826		45.2800 ZAR
ORD		Sale		1,000		45.0300 ZAR
ORD		Sale		1,022		45.2200 ZAR
ORD		Sale		1,100		44.9500 ZAR
ORD		Sale		1,126		45.2400 ZAR
ORD		Sale		1,273		45.0200 ZAR
ORD		Sale		1,623		45.3100 ZAR
ORD		Sale		1,652		45.3400 ZAR
ORD		Sale		1,653		45.1700 ZAR
ORD		Sale		1,827		45.0000 ZAR
ORD		Sale		2,196		3.6107 GBP
ORD		Sale		2,270		3.5727 GBP
ORD		Sale		2,293		44.8100 ZAR
ORD		Sale		2,308		45.1300 ZAR
ORD		Sale		2,423		44.8500 ZAR
ORD		Sale		2,753		45.1100 ZAR
ORD		Sale		2,832		45.2100 ZAR
ORD		Sale		2,900		44.7800 ZAR
ORD		Sale		2,958		45.1900 ZAR
ORD		Sale		3,049		45.3500 ZAR
ORD		Sale		3,160		3.5729 GBP
ORD		Sale		3,200		45.1400 ZAR
ORD		Sale		3,609		3.6051 GBP
ORD		Sale		3,768		44.9300 ZAR
ORD		Sale		4,000		44.9600 ZAR
ORD		Sale		4,000		45.2700 ZAR
ORD		Sale		4,000		45.3900 ZAR
ORD		Sale		4,118		44.9700 ZAR
ORD		Sale		4,650		45.1600 ZAR
ORD		Sale		4,944		44.9900 ZAR
ORD		Sale		5,281		45.2300 ZAR
ORD		Sale		5,862		45.1200 ZAR
ORD		Sale		6,217		45.0500 ZAR
ORD		Sale		6,466		45.2000 ZAR
ORD		Sale		6,629		44.9100 ZAR
ORD		Sale		7,250		45.0900 ZAR
ORD		Sale		7,520		45.3200 ZAR
ORD		Sale		7,944		45.1000 ZAR
ORD		Sale		9,111		45.0700 ZAR
ORD		Sale		9,372		45.2500 ZAR
ORD		Sale		9,600		44.8900 ZAR
ORD		Sale		10,238		45.0600 ZAR
ORD		Sale		10,267		3.5849 GBP
ORD		Sale		10,500		44.9200 ZAR
ORD		Sale		10,567		45.0100 ZAR
ORD		Sale		11,960		3.6122 GBP
ORD		Sale		13,515		45.2600 ZAR
ORD		Sale		17,880		44.9000 ZAR
ORD		Sale		23,064		3.5696 GBP
ORD		Sale		25,497		3.5907 GBP
ORD		Sale		29,977		3.6004 GBP
ORD		Sale		31,485		3.5793 GBP
ORD		Sale		33,328		45.2900 ZAR
ORD		Sale		37,534		45.0800 ZAR
ORD		Sale		41,613		3.5850 GBP
ORD		Sale		67,840		45.3000 ZAR
ORD		Sale		74,039		3.5938 GBP
ORD		Sale		107,210		3.5725 GBP
ORD		Sale		128,385		45.1355 ZAR
ORD		Sale		215,704		3.5848 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		21		45.1857 ZAR
ORD		CFD		Long		3,671		45.1157 ZAR
ORD		CFD		Long		6,662		45.2729 ZAR
ORD		CFD		Long		7,055		3.5780 GBP
ORD		CFD		Long		34,027		3.5839 GBP
ORD		CFD		Long		34,292		3.5848 GBP
ORD		CFD		Long		41,923		45.0588 ZAR
ORD		CFD		Long		81,982		3.5704 GBP
ORD		CFD		Long		121,855		3.6017 GBP
ORD		CFD		Long		128,385		45.1263 ZAR
ORD		CFD		Long		298,187		45.1369 ZAR
ORD		CFD		Short		313		3.5717 GBP
ORD		CFD		Short		1,541		3.6214 GBP
ORD		CFD		Short		3,322		3.5842 GBP
ORD		CFD		Short		10,057		45.1543 ZAR
ORD		CFD		Short		15,790		3.6112 GBP
ORD		CFD		Short		18,161		45.2237 ZAR
ORD		CFD		Short		30,561		3.5751 GBP
ORD		CFD		Short		93,459		45.3014 ZAR
ORD		CFD		Short		419,579		3.5866 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	8 Dec 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 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

105,000

4,039.0000

American

15 Mar 2012

ORD

Put Options

Written

-105,000

4,752.0000

American

15 Mar 2012

ORD

Call Options

Purchased

105,000

5,702.0000

American

15 Mar 2012

ORD

Put Options

Purchased

50,000

4,425.0000

American

15 Dec 2011

ORD

Put Options

Purchased

50,000

4,500.0000

American

15 Dec 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.