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	31 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 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:		38,802,799		7.15%		40,598,521		7.48%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		8,538,956		1.57%		8,461,259		1.56%
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:
				48,413,755		8.93%		49,059,780		9.04%

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		41		48.1500 ZAR
ORD		Purchase		100		48.0000 ZAR
ORD		Purchase		122		48.8900 ZAR
ORD		Purchase		205		4.2588 GBP
ORD		Purchase		346		49.5100 ZAR
ORD		Purchase		700		49.5000 ZAR
ORD		Purchase		701		48.9600 ZAR
ORD		Purchase		710		48.8000 ZAR
ORD		Purchase		772		49.2800 ZAR
ORD		Purchase		1,000		48.7400 ZAR
ORD		Purchase		1,018		48.9900 ZAR
ORD		Purchase		1,020		49.0100 ZAR
ORD		Purchase		1,033		49.2500 ZAR
ORD		Purchase		1,060		49.1900 ZAR
ORD		Purchase		1,143		49.1500 ZAR
ORD		Purchase		1,276		49.1300 ZAR
ORD		Purchase		1,295		49.1100 ZAR
ORD		Purchase		1,562		49.4700 ZAR
ORD		Purchase		1,752		48.4300 ZAR
ORD		Purchase		1,797		49.1600 ZAR
ORD		Purchase		2,604		49.0600 ZAR
ORD		Purchase		3,113		4.2562 GBP
ORD		Purchase		4,133		49.3500 ZAR
ORD		Purchase		7,490		4.2709 GBP
ORD		Purchase		10,417		4.2974 GBP
ORD		Purchase		11,113		4.2551 GBP
ORD		Purchase		15,094		4.2863 GBP
ORD		Purchase		20,634		4.2650 GBP
ORD		Purchase		26,988		4.2784 GBP
ORD		Purchase		40,998		4.2885 GBP
ORD		Purchase		69,426		4.2837 GBP
ORD		Purchase		80,183		4.2758 GBP
ORD		Purchase		303,478		4.2771 GBP
ORD		Purchase		1,500,000		48.5000 ZAR
ORD		Sale		4		48.5900 ZAR
ORD		Sale		179		48.8400 ZAR
ORD		Sale		184		48.3200 ZAR
ORD		Sale		346		49.5100 ZAR
ORD		Sale		384		49.0600 ZAR
ORD		Sale		400		49.2000 ZAR
ORD		Sale		408		49.0400 ZAR
ORD		Sale		413		48.8700 ZAR
ORD		Sale		413		48.8800 ZAR
ORD		Sale		413		48.9000 ZAR
ORD		Sale		413		48.9200 ZAR
ORD		Sale		443		49.0000 ZAR
ORD		Sale		445		49.2100 ZAR
ORD		Sale		558		48.5300 ZAR
ORD		Sale		634		48.4900 ZAR
ORD		Sale		694		48.7600 ZAR
ORD		Sale		1,000		47.9200 ZAR
ORD		Sale		1,000		47.9500 ZAR
ORD		Sale		1,000		48.0800 ZAR
ORD		Sale		1,007		48.6000 ZAR
ORD		Sale		1,058		48.4500 ZAR
ORD		Sale		1,200		48.9900 ZAR
ORD		Sale		1,493		4.2843 GBP
ORD		Sale		1,551		48.7700 ZAR
ORD		Sale		1,552		48.7800 ZAR
ORD		Sale		1,688		49.2400 ZAR
ORD		Sale		1,748		49.0100 ZAR
ORD		Sale		1,888		49.2700 ZAR
ORD		Sale		1,900		48.0100 ZAR
ORD		Sale		1,941		49.1800 ZAR
ORD		Sale		2,000		48.0500 ZAR
ORD		Sale		2,000		48.7500 ZAR
ORD		Sale		2,160		49.0200 ZAR
ORD		Sale		2,160		49.0900 ZAR
ORD		Sale		2,169		49.2600 ZAR
ORD		Sale		2,302		49.2500 ZAR
ORD		Sale		2,324		49.1900 ZAR
ORD		Sale		2,500		4.2959 GBP
ORD		Sale		2,655		49.1100 ZAR
ORD		Sale		3,168		49.1600 ZAR
ORD		Sale		3,242		49.3000 ZAR
ORD		Sale		3,284		49.0700 ZAR
ORD		Sale		3,508		48.9800 ZAR
ORD		Sale		3,570		49.1300 ZAR
ORD		Sale		3,796		49.1200 ZAR
ORD		Sale		3,946		47.9400 ZAR
ORD		Sale		4,000		47.9300 ZAR
ORD		Sale		4,000		48.0200 ZAR
ORD		Sale		4,000		48.0400 ZAR
ORD		Sale		4,000		48.1700 ZAR
ORD		Sale		4,000		48.6400 ZAR
ORD		Sale		4,000		49.2300 ZAR
ORD		Sale		4,145		49.4400 ZAR
ORD		Sale		4,186		48.0300 ZAR
ORD		Sale		4,337		49.1700 ZAR
ORD		Sale		4,345		49.1000 ZAR
ORD		Sale		4,536		4.3063 GBP
ORD		Sale		4,713		47.9600 ZAR
ORD		Sale		5,401		49.4300 ZAR
ORD		Sale		6,416		49.4800 ZAR
ORD		Sale		6,876		4.3066 GBP
ORD		Sale		7,367		48.8100 ZAR
ORD		Sale		7,517		4.2629 GBP
ORD		Sale		8,836		49.4600 ZAR
ORD		Sale		9,253		48.8000 ZAR
ORD		Sale		9,467		48.8200 ZAR
ORD		Sale		10,103		48.8500 ZAR
ORD		Sale		11,206		4.2811 GBP
ORD		Sale		12,215		49.4700 ZAR
ORD		Sale		12,252		4.3030 GBP
ORD		Sale		13,207		49.3500 ZAR
ORD		Sale		14,033		49.2200 ZAR
ORD		Sale		14,631		4.2741 GBP
ORD		Sale		22,855		4.3200 GBP
ORD		Sale		30,354		49.5000 ZAR
ORD		Sale		32,696		49.4900 ZAR
ORD		Sale		37,883		4.2796 GBP
ORD		Sale		40,946		4.3082 GBP
ORD		Sale		47,812		49.4500 ZAR
ORD		Sale		79,729		48.8988 ZAR
ORD		Sale		1,500,000		48.5000 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		198		49.3341 ZAR
ORD		CFD		Long		3,671		4.3106 GBP
ORD		CFD		Long		6,206		4.3104 GBP
ORD		CFD		Long		6,868		49.1029 ZAR
ORD		CFD		Long		11,421		4.2403 GBP
ORD		CFD		Long		79,729		48.8890 ZAR
ORD		CFD		Long		290,554		49.1017 ZAR
ORD		CFD		Long		1,500,000		4.2074 GBP
ORD		CFD		Long		1,510,740		48.5201 ZAR
ORD		CFD		Short		198		48.8156 ZAR
ORD		CFD		Short		1,562		49.4897 ZAR
ORD		CFD		Short		3,272		48.9564 ZAR
ORD		CFD		Short		5,708		48.8258 ZAR
ORD		CFD		Short		11,304		4.2753 GBP
ORD		CFD		Short		17,826		4.2936 GBP
ORD		CFD		Short		364,795		4.2716 GBP
ORD		CFD		Short		377,349		49.0584 ZAR
ORD		CFD		Short		1,500,000		48.5048 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:		1 Sep 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 [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 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

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.