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)	Â	Identity of the person whose positions/dealings	Â	Barclays PLC.
Â		are being disclosed:		Â
(b)		Owner or controller of interest and short
Â		positions disclosed, if different from 1(a):		Â
(c)		Name of offeror/offeree in relation to whose		INVESTEC PLC
Â		relevant securities this form relates:		Â
(d)		If an exempt fund manager connected with an
		offeror/offeree, state this and specify identity of
Â		offeror/offeree:		Â
(e)		Date position held/dealing undertaken:		8 December 2011
(f)		Has the discloser previously disclosed, or are		YES:
		they today disclosing, under the Code in respect		EVOLUTION GROUP PLC
Â		of any other party to this offer?		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:	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:		49,154,214		9.05%		51,623,580		9.51%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		7,379,129		1.36%		2,841,338		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:
				56,843,343		10.47%		54,569,918		10.05%

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		68		45.0100 ZAR
ORD		Purchase		150		45.8300 ZAR
ORD		Purchase		300		46.0500 ZAR
ORD		Purchase		396		46.1200 ZAR
ORD		Purchase		400		45.8600 ZAR
ORD		Purchase		421		45.7300 ZAR
ORD		Purchase		1,075		45.6300 ZAR
ORD		Purchase		1,076		45.9600 ZAR
ORD		Purchase		1,235		3.5826 GBP
ORD		Purchase		1,264		3.5725 GBP
ORD		Purchase		1,613		3.5729 GBP
ORD		Purchase		1,713		45.7100 ZAR
ORD		Purchase		1,745		45.6600 ZAR
ORD		Purchase		1,853		45.7200 ZAR
ORD		Purchase		2,000		3.5820 GBP
ORD		Purchase		2,500		45.9800 ZAR
ORD		Purchase		2,796		45.8100 ZAR
ORD		Purchase		3,035		45.7600 ZAR
ORD		Purchase		4,000		3.5910 GBP
ORD		Purchase		4,000		45.5000 ZAR
ORD		Purchase		4,000		45.5900 ZAR
ORD		Purchase		4,000		45.9100 ZAR
ORD		Purchase		4,500		45.5400 ZAR
ORD		Purchase		4,885		45.8000 ZAR
ORD		Purchase		5,103		45.7000 ZAR
ORD		Purchase		5,128		45.6000 ZAR
ORD		Purchase		5,376		45.8700 ZAR
ORD		Purchase		6,071		45.8400 ZAR
ORD		Purchase		6,600		46.0000 ZAR
ORD		Purchase		9,000		45.7500 ZAR
ORD		Purchase		9,568		45.9000 ZAR
ORD		Purchase		10,075		3.5799 GBP
ORD		Purchase		10,158		3.5730 GBP
ORD		Purchase		10,458		45.8500 ZAR
ORD		Purchase		11,431		45.6500 ZAR
ORD		Purchase		13,400		45.5100 ZAR
ORD		Purchase		16,467		3.6145 GBP
ORD		Purchase		29,529		3.5728 GBP
ORD		Purchase		29,818		3.5813 GBP
ORD		Purchase		46,216		3.5891 GBP
ORD		Purchase		93,936		3.5922 GBP
ORD		Purchase		202,189		3.5896 GBP
ORD		Sale		68		45.0100 ZAR
ORD		Sale		171		45.9700 ZAR
ORD		Sale		200		45.3000 ZAR
ORD		Sale		200		45.6400 ZAR
ORD		Sale		230		45.9900 ZAR
ORD		Sale		255		45.6700 ZAR
ORD		Sale		294		45.8000 ZAR
ORD		Sale		359		45.7500 ZAR
ORD		Sale		379		45.3200 ZAR
ORD		Sale		400		45.2300 ZAR
ORD		Sale		500		3.5960 GBP
ORD		Sale		670		45.4700 ZAR
ORD		Sale		717		45.3400 ZAR
ORD		Sale		826		45.9100 ZAR
ORD		Sale		951		46.0300 ZAR
ORD		Sale		1,000		3.5859 GBP
ORD		Sale		1,000		45.7600 ZAR
ORD		Sale		1,066		45.6300 ZAR
ORD		Sale		1,089		45.2900 ZAR
ORD		Sale		1,132		45.0200 ZAR
ORD		Sale		1,134		45.9000 ZAR
ORD		Sale		1,205		45.3100 ZAR
ORD		Sale		1,230		45.9500 ZAR
ORD		Sale		1,275		45.6600 ZAR
ORD		Sale		1,282		45.2500 ZAR
ORD		Sale		1,471		3.6142 GBP
ORD		Sale		1,596		45.7300 ZAR
ORD		Sale		1,820		45.8400 ZAR
ORD		Sale		2,000		45.8200 ZAR
ORD		Sale		2,102		45.4000 ZAR
ORD		Sale		2,197		3.5305 GBP
ORD		Sale		2,500		45.8100 ZAR
ORD		Sale		2,800		45.6500 ZAR
ORD		Sale		3,104		45.8800 ZAR
ORD		Sale		3,481		45.7200 ZAR
ORD		Sale		3,626		45.9200 ZAR
ORD		Sale		4,000		45.8300 ZAR
ORD		Sale		4,300		45.7100 ZAR
ORD		Sale		4,924		45.8600 ZAR
ORD		Sale		5,401		45.7700 ZAR
ORD		Sale		5,800		45.7900 ZAR
ORD		Sale		6,066		45.8900 ZAR
ORD		Sale		6,068		45.7400 ZAR
ORD		Sale		6,285		45.6800 ZAR
ORD		Sale		6,662		3.6156 GBP
ORD		Sale		7,812		3.5924 GBP
ORD		Sale		7,990		45.2800 ZAR
ORD		Sale		8,605		45.6200 ZAR
ORD		Sale		11,717		3.5963 GBP
ORD		Sale		13,140		3.6055 GBP
ORD		Sale		14,809		3.5474 GBP
ORD		Sale		16,776		45.6900 ZAR
ORD		Sale		17,542		3.5961 GBP
ORD		Sale		20,806		3.6110 GBP
ORD		Sale		21,327		45.7000 ZAR
ORD		Sale		29,027		3.5872 GBP
ORD		Sale		44,258		45.8595 ZAR
ORD		Sale		87,797		3.5958 GBP
ORD		Sale		215,228		3.5947 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		255		45.6553 ZAR
ORD		CFD		Long		3,630		45.6895 ZAR
ORD		CFD		Long		4,631		45.7648 ZAR
ORD		CFD		Long		10,387		3.5839 GBP
ORD		CFD		Long		17,263		3.5961 GBP
ORD		CFD		Long		26,011		45.5250 ZAR
ORD		CFD		Long		34,601		3.5814 GBP
ORD		CFD		Long		44,258		45.8502 ZAR
ORD		CFD		Long		52,425		3.5996 GBP
ORD		CFD		Long		99,873		45.7088 ZAR
ORD		CFD		Long		141,418		3.6050 GBP
ORD		CFD		Short		2,256		45.6765 ZAR
ORD		CFD		Short		3,242		3.6071 GBP
ORD		CFD		Short		5,382		45.6621 ZAR
ORD		CFD		Short		7,689		3.5531 GBP
ORD		CFD		Short		8,590		45.7002 ZAR
ORD		CFD		Short		23,083		3.5638 GBP
ORD		CFD		Short		60,541		3.6031 GBP
ORD		CFD		Short		99,079		45.7657 ZAR
ORD		CFD		Short		174,645		3.5909 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	9 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].

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

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.