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	25 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

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:		37,466,796		6.91%		39,135,290		7.21%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		11,616,497		2.14%		11,723,831		2.16%
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:
				50,155,293		9.25%		50,859,121		9.38%

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

(a)	Â	Purchases and sales	Â	Â	Â	Â
Class of relevant		Purchase/sale		Number of		Price per unit
security		Â		securities		Â
ORD		Purchase		50		47.7100 ZAR
ORD		Purchase		241		47.0200 ZAR
ORD		Purchase		270		47.3200 ZAR
ORD		Purchase		270		47.6600 ZAR
ORD		Purchase		300		47.1500 ZAR
ORD		Purchase		400		47.1200 ZAR
ORD		Purchase		403		47.1000 ZAR
ORD		Purchase		545		47.1900 ZAR
ORD		Purchase		555		3.9490 GBP
ORD		Purchase		569		47.2700 ZAR
ORD		Purchase		609		47.0000 ZAR
ORD		Purchase		660		46.4900 ZAR
ORD		Purchase		700		47.5900 ZAR
ORD		Purchase		730		47.8100 ZAR
ORD		Purchase		800		47.8700 ZAR
ORD		Purchase		826		46.9300 ZAR
ORD		Purchase		827		47.7700 ZAR
ORD		Purchase		874		47.1300 ZAR
ORD		Purchase		877		46.9400 ZAR
ORD		Purchase		893		47.2200 ZAR
ORD		Purchase		955		46.2200 ZAR
ORD		Purchase		968		47.0100 ZAR
ORD		Purchase		999		46.2700 ZAR
ORD		Purchase		1,000		46.2900 ZAR
ORD		Purchase		1,000		47.6200 ZAR
ORD		Purchase		1,000		47.7800 ZAR
ORD		Purchase		1,033		47.4900 ZAR
ORD		Purchase		1,265		47.9500 ZAR
ORD		Purchase		1,282		46.9600 ZAR
ORD		Purchase		1,399		46.3500 ZAR
ORD		Purchase		1,448		47.3000 ZAR
ORD		Purchase		1,460		47.6000 ZAR
ORD		Purchase		1,530		47.2600 ZAR
ORD		Purchase		1,600		46.4000 ZAR
ORD		Purchase		1,829		47.6100 ZAR
ORD		Purchase		1,900		47.4100 ZAR
ORD		Purchase		1,961		47.2100 ZAR
ORD		Purchase		1,966		47.2000 ZAR
ORD		Purchase		2,067		47.5200 ZAR
ORD		Purchase		2,195		47.1800 ZAR
ORD		Purchase		2,273		46.1700 ZAR
ORD		Purchase		2,559		46.4400 ZAR
ORD		Purchase		2,880		46.5100 ZAR
ORD		Purchase		3,024		46.5000 ZAR
ORD		Purchase		3,110		46.2300 ZAR
ORD		Purchase		3,204		3.9800 GBP
ORD		Purchase		3,263		46.3100 ZAR
ORD		Purchase		3,341		47.7200 ZAR
ORD		Purchase		3,532		47.7500 ZAR
ORD		Purchase		3,707		46.2400 ZAR
ORD		Purchase		3,730		47.7900 ZAR
ORD		Purchase		4,000		46.8700 ZAR
ORD		Purchase		4,095		47.8000 ZAR
ORD		Purchase		4,237		47.6400 ZAR
ORD		Purchase		4,297		47.3100 ZAR
ORD		Purchase		4,327		47.1600 ZAR
ORD		Purchase		4,396		46.2500 ZAR
ORD		Purchase		5,028		3.9796 GBP
ORD		Purchase		5,066		47.4000 ZAR
ORD		Purchase		5,136		46.5200 ZAR
ORD		Purchase		5,300		47.9900 ZAR
ORD		Purchase		6,000		47.3500 ZAR
ORD		Purchase		7,101		3.9790 GBP
ORD		Purchase		7,197		46.3000 ZAR
ORD		Purchase		8,053		46.3200 ZAR
ORD		Purchase		10,111		3.9601 GBP
ORD		Purchase		20,634		3.9700 GBP
ORD		Purchase		22,167		3.9881 GBP
ORD		Purchase		48,121		3.9823 GBP
ORD		Purchase		87,416		3.9780 GBP
ORD		Purchase		333,830		3.9736 GBP
ORD		Sale		4		47.7600 ZAR
ORD		Sale		83		47.3700 ZAR
ORD		Sale		157		46.9600 ZAR
ORD		Sale		200		47.0200 ZAR
ORD		Sale		200		47.1000 ZAR
ORD		Sale		223		47.1600 ZAR
ORD		Sale		265		47.5400 ZAR
ORD		Sale		270		47.6600 ZAR
ORD		Sale		271		47.2400 ZAR
ORD		Sale		354		47.9900 ZAR
ORD		Sale		365		47.8500 ZAR
ORD		Sale		370		47.0600 ZAR
ORD		Sale		400		47.0400 ZAR
ORD		Sale		400		47.1200 ZAR
ORD		Sale		540		47.2500 ZAR
ORD		Sale		545		47.1900 ZAR
ORD		Sale		700		47.5900 ZAR
ORD		Sale		960		47.2000 ZAR
ORD		Sale		996		47.7700 ZAR
ORD		Sale		1,000		46.2500 ZAR
ORD		Sale		1,000		46.3300 ZAR
ORD		Sale		1,000		47.6200 ZAR
ORD		Sale		1,000		47.7900 ZAR
ORD		Sale		1,000		47.8000 ZAR
ORD		Sale		1,000		48.0300 ZAR
ORD		Sale		1,000		48.0500 ZAR
ORD		Sale		1,000		48.0800 ZAR
ORD		Sale		1,050		47.3900 ZAR
ORD		Sale		1,170		46.2400 ZAR
ORD		Sale		1,188		46.9800 ZAR
ORD		Sale		1,207		47.3500 ZAR
ORD		Sale		1,265		47.9200 ZAR
ORD		Sale		1,265		47.9500 ZAR
ORD		Sale		1,292		47.9400 ZAR
ORD		Sale		1,300		48.0000 ZAR
ORD		Sale		1,331		47.2600 ZAR
ORD		Sale		1,500		48.0100 ZAR
ORD		Sale		1,544		46.8500 ZAR
ORD		Sale		1,597		46.8000 ZAR
ORD		Sale		1,830		46.3100 ZAR
ORD		Sale		1,843		47.1500 ZAR
ORD		Sale		2,000		47.7800 ZAR
ORD		Sale		2,026		47.2700 ZAR
ORD		Sale		2,067		47.0500 ZAR
ORD		Sale		2,401		47.0100 ZAR
ORD		Sale		2,560		47.2100 ZAR
ORD		Sale		2,653		47.4500 ZAR
ORD		Sale		3,000		46.3000 ZAR
ORD		Sale		3,635		47.9100 ZAR
ORD		Sale		3,903		47.3600 ZAR
ORD		Sale		4,000		46.8900 ZAR
ORD		Sale		4,000		46.9200 ZAR
ORD		Sale		4,000		46.9400 ZAR
ORD		Sale		4,000		47.1700 ZAR
ORD		Sale		4,000		47.5000 ZAR
ORD		Sale		4,000		47.6400 ZAR
ORD		Sale		4,299		46.9500 ZAR
ORD		Sale		4,886		47.8600 ZAR
ORD		Sale		5,000		47.6500 ZAR
ORD		Sale		5,417		46.4000 ZAR
ORD		Sale		6,206		47.4000 ZAR
ORD		Sale		6,262		47.3100 ZAR
ORD		Sale		6,348		47.2900 ZAR
ORD		Sale		7,843		46.9700 ZAR
ORD		Sale		8,000		47.9000 ZAR
ORD		Sale		8,064		47.7500 ZAR
ORD		Sale		8,269		46.9900 ZAR
ORD		Sale		9,082		46.9000 ZAR
ORD		Sale		11,391		3.9699 GBP
ORD		Sale		11,694		46.7000 ZAR
ORD		Sale		13,270		47.6000 ZAR
ORD		Sale		18,662		3.9762 GBP
ORD		Sale		22,029		47.4100 ZAR
ORD		Sale		34,295		3.9720 GBP
ORD		Sale		53,604		47.0000 ZAR
ORD		Sale		53,831		3.9829 GBP
ORD		Sale		69,212		47.3000 ZAR
ORD		Sale		164,273		3.9730 GBP
ORD		Sale		275,843		46.8724 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		400		47.0400 ZAR
ORD		CFD		Long		758		3.9400 GBP
ORD		CFD		Long		2,256		46.5516 ZAR
ORD		CFD		Long		2,700		47.7822 ZAR
ORD		CFD		Long		15,585		3.9829 GBP
ORD		CFD		Long		48,841		3.9737 GBP
ORD		CFD		Long		125,383		47.0965 ZAR
ORD		CFD		Long		126,058		47.0262 ZAR
ORD		CFD		Long		134,409		3.9772 GBP
ORD		CFD		Long		168,102		47.3108 ZAR
ORD		CFD		Long		275,843		46.8629 ZAR
ORD		CFD		Short		203		47.1150 ZAR
ORD		CFD		Short		4,266		47.3553 ZAR
ORD		CFD		Short		4,471		47.4058 ZAR
ORD		CFD		Short		9,499		47.3887 ZAR
ORD		CFD		Short		12,346		3.9891 GBP
ORD		CFD		Short		107,619		46.9669 ZAR
ORD		CFD		Short		428,253		3.9750 GBP
ORD		CFD		Short		574,684		47.0495 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:	Â	26 August 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.