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: 30 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
    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: 38,440,822 7.09% 40,287,924 7.43%
           
(2) Derivatives (other than
options): 10,811,068 1.99% 10,742,447 1.98%
           
(3) Options and agreements to
purchase/sell: 1,072,000 0.20% 0 0.00%
           
TOTAL:
50,323,890 9.28% 51,030,371 9.41%

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 76 4.2290 GBP
ORD Purchase 211 49.1000 ZAR
ORD Purchase 300 48.6300 ZAR
ORD Purchase 392 48.4900 ZAR
ORD Purchase 398 48.5500 ZAR
ORD Purchase 700 48.5200 ZAR
ORD Purchase 700 48.6400 ZAR
ORD Purchase 800 48.2000 ZAR
ORD Purchase 800 48.3400 ZAR
ORD Purchase 800 48.6500 ZAR
ORD Purchase 800 48.9000 ZAR
ORD Purchase 875 48.9800 ZAR
ORD Purchase 900 49.0300 ZAR
ORD Purchase 944 48.5800 ZAR
ORD Purchase 958 48.4800 ZAR
ORD Purchase 1,034 48.5600 ZAR
ORD Purchase 1,036 48.2600 ZAR
ORD Purchase 1,060 48.8200 ZAR
ORD Purchase 1,083 48.8800 ZAR
ORD Purchase 1,091 48.7100 ZAR
ORD Purchase 1,132 48.3800 ZAR
ORD Purchase 1,133 48.2800 ZAR
ORD Purchase 1,393 48.2300 ZAR
ORD Purchase 1,400 48.2700 ZAR
ORD Purchase 1,400 48.8000 ZAR
ORD Purchase 1,407 48.6100 ZAR
ORD Purchase 1,458 48.4000 ZAR
ORD Purchase 1,468 48.4400 ZAR
ORD Purchase 1,784 48.1200 ZAR
ORD Purchase 1,922 48.3900 ZAR
ORD Purchase 2,180 48.4700 ZAR
ORD Purchase 2,400 48.1100 ZAR
ORD Purchase 2,400 48.7500 ZAR
ORD Purchase 2,400 49.1100 ZAR
ORD Purchase 2,600 48.3100 ZAR
ORD Purchase 2,600 48.8700 ZAR
ORD Purchase 2,963 48.3600 ZAR
ORD Purchase 3,140 48.4500 ZAR
ORD Purchase 3,175 48.5100 ZAR
ORD Purchase 3,801 48.3700 ZAR
ORD Purchase 4,590 48.4100 ZAR
ORD Purchase 4,823 48.4600 ZAR
ORD Purchase 6,510 48.2500 ZAR
ORD Purchase 6,832 48.3000 ZAR
ORD Purchase 10,391 4.2128 GBP
ORD Purchase 13,726 4.1958 GBP
ORD Purchase 15,646 48.5000 ZAR
ORD Purchase 17,825 4.1980 GBP
ORD Purchase 42,339 4.1988 GBP
ORD Purchase 147,538 4.2062 GBP
ORD Sale 78 48.9200 ZAR
ORD Sale 122 48.5200 ZAR
ORD Sale 262 48.6700 ZAR
ORD Sale 335 48.9100 ZAR
ORD Sale 395 4.1968 GBP
ORD Sale 403 48.8000 ZAR
ORD Sale 413 48.5400 ZAR
ORD Sale 413 48.5800 ZAR
ORD Sale 413 49.0100 ZAR
ORD Sale 413 49.0200 ZAR
ORD Sale 413 49.0700 ZAR
ORD Sale 413 49.0900 ZAR
ORD Sale 530 4.1872 GBP
ORD Sale 651 4.1840 GBP
ORD Sale 726 48.9900 ZAR
ORD Sale 735 48.3200 ZAR
ORD Sale 826 49.0600 ZAR
ORD Sale 827 48.4200 ZAR
ORD Sale 827 49.1300 ZAR
ORD Sale 943 48.2300 ZAR
ORD Sale 989 48.9600 ZAR
ORD Sale 1,025 48.4700 ZAR
ORD Sale 1,030 48.3300 ZAR
ORD Sale 1,126 48.9800 ZAR
ORD Sale 1,240 48.3800 ZAR
ORD Sale 1,240 48.3900 ZAR
ORD Sale 1,240 48.5600 ZAR
ORD Sale 1,432 48.2800 ZAR
ORD Sale 1,466 48.4500 ZAR
ORD Sale 1,696 48.3100 ZAR
ORD Sale 1,865 4.1910 GBP
ORD Sale 1,910 48.8800 ZAR
ORD Sale 1,980 49.1000 ZAR
ORD Sale 2,065 48.9400 ZAR
ORD Sale 2,066 48.3400 ZAR
ORD Sale 2,067 48.5300 ZAR
ORD Sale 2,067 48.9300 ZAR
ORD Sale 2,203 4.1822 GBP
ORD Sale 2,500 48.9700 ZAR
ORD Sale 2,512 49.1100 ZAR
ORD Sale 2,944 49.0800 ZAR
ORD Sale 3,325 48.4900 ZAR
ORD Sale 3,388 48.4000 ZAR
ORD Sale 3,449 48.5100 ZAR
ORD Sale 3,786 48.3000 ZAR
ORD Sale 3,947 48.9000 ZAR
ORD Sale 4,035 49.0400 ZAR
ORD Sale 4,971 48.4400 ZAR
ORD Sale 5,069 48.6500 ZAR
ORD Sale 6,976 4.1989 GBP
ORD Sale 7,461 4.1909 GBP
ORD Sale 8,474 48.6300 ZAR
ORD Sale 9,024 48.4300 ZAR
ORD Sale 12,481 4.2000 GBP
ORD Sale 21,447 48.5000 ZAR
ORD Sale 90,228 48.6316 ZAR
ORD Sale 127,809 4.2017 GBP

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD CFD Long 116 4.2205 GBP
ORD CFD Long 143 48.2145 ZAR
ORD CFD Long 827 48.4200 ZAR
ORD CFD Long 1,562 4.2204 GBP
ORD CFD Long 1,643 48.5994 ZAR
ORD CFD Long 2,400 48.9358 ZAR
ORD CFD Long 21,278 4.1879 GBP
ORD CFD Long 28,349 4.2024 GBP
ORD CFD Long 71,812 48.4846 ZAR
ORD CFD Long 82,342 4.2022 GBP
ORD CFD Long 90,228 48.6218 ZAR
ORD CFD Long 105,707 48.6045 ZAR
ORD CFD Short 1,083 48.8956 ZAR
ORD CFD Short 7,500 48.3686 ZAR
ORD CFD Short 19,633 48.4295 ZAR
ORD CFD Short 20,790 48.4437 ZAR
ORD CFD Short 22,806 48.5691 ZAR
ORD CFD Short 200,948 48.6152 ZAR
ORD CFD Short 203,656 4.2045 GBP

(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: 31 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.

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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