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:		12 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:		49,443,650		9.11%		52,006,640		9.58%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		8,105,424		1.49%		3,193,472		0.59%
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:
				57,859,074		10.66%		55,305,112		10.19%

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		9		44.9300 ZAR
ORD		Purchase		10		44.8100 ZAR
ORD		Purchase		24		44.7600 ZAR
ORD		Purchase		26		44.8500 ZAR
ORD		Purchase		119		44.8300 ZAR
ORD		Purchase		222		44.5600 ZAR
ORD		Purchase		400		3.4660 GBP
ORD		Purchase		413		44.5100 ZAR
ORD		Purchase		500		44.7100 ZAR
ORD		Purchase		500		44.7200 ZAR
ORD		Purchase		550		44.9800 ZAR
ORD		Purchase		618		44.6000 ZAR
ORD		Purchase		1,000		44.7300 ZAR
ORD		Purchase		1,022		44.8000 ZAR
ORD		Purchase		1,104		44.5200 ZAR
ORD		Purchase		1,200		44.9500 ZAR
ORD		Purchase		1,356		44.5300 ZAR
ORD		Purchase		1,400		44.7500 ZAR
ORD		Purchase		2,242		3.4778 GBP
ORD		Purchase		2,598		3.4727 GBP
ORD		Purchase		2,800		44.7400 ZAR
ORD		Purchase		3,233		44.5500 ZAR
ORD		Purchase		3,283		3.4811 GBP
ORD		Purchase		7,841		3.4755 GBP
ORD		Purchase		7,932		3.4917 GBP
ORD		Purchase		14,484		3.4746 GBP
ORD		Purchase		17,140		3.4732 GBP
ORD		Purchase		18,485		3.4889 GBP
ORD		Purchase		19,506		3.4693 GBP
ORD		Purchase		24,108		3.4749 GBP
ORD		Purchase		32,679		3.4843 GBP
ORD		Purchase		92,536		3.4839 GBP
ORD		Purchase		295,666		3.4780 GBP
ORD		Sale		100		44.5500 ZAR
ORD		Sale		200		44.7600 ZAR
ORD		Sale		300		44.7900 ZAR
ORD		Sale		300		44.9900 ZAR
ORD		Sale		510		44.9400 ZAR
ORD		Sale		700		45.0000 ZAR
ORD		Sale		789		44.7700 ZAR
ORD		Sale		800		44.9500 ZAR
ORD		Sale		858		44.9200 ZAR
ORD		Sale		859		44.9600 ZAR
ORD		Sale		967		44.9800 ZAR
ORD		Sale		1,000		3.5160 GBP
ORD		Sale		1,000		44.6100 ZAR
ORD		Sale		1,044		45.0500 ZAR
ORD		Sale		1,100		44.5400 ZAR
ORD		Sale		1,242		44.8800 ZAR
ORD		Sale		1,448		44.5700 ZAR
ORD		Sale		1,500		3.5122 GBP
ORD		Sale		1,954		44.6800 ZAR
ORD		Sale		2,396		44.8600 ZAR
ORD		Sale		2,620		44.5600 ZAR
ORD		Sale		2,931		44.8300 ZAR
ORD		Sale		3,000		44.7200 ZAR
ORD		Sale		3,292		44.8400 ZAR
ORD		Sale		3,450		44.5900 ZAR
ORD		Sale		3,775		44.6400 ZAR
ORD		Sale		3,830		44.5100 ZAR
ORD		Sale		5,002		44.7400 ZAR
ORD		Sale		5,135		44.6900 ZAR
ORD		Sale		5,926		44.8700 ZAR
ORD		Sale		6,632		44.9700 ZAR
ORD		Sale		6,861		44.8900 ZAR
ORD		Sale		7,854		44.6600 ZAR
ORD		Sale		7,905		44.5200 ZAR
ORD		Sale		9,412		44.6500 ZAR
ORD		Sale		9,641		44.5000 ZAR
ORD		Sale		11,370		44.8200 ZAR
ORD		Sale		11,770		44.6200 ZAR
ORD		Sale		12,886		44.7100 ZAR
ORD		Sale		17,676		44.7000 ZAR
ORD		Sale		18,262		3.4684 GBP
ORD		Sale		20,193		44.9000 ZAR
ORD		Sale		20,356		44.8100 ZAR
ORD		Sale		20,766		44.7500 ZAR
ORD		Sale		20,806		3.4890 GBP
ORD		Sale		22,627		3.4742 GBP
ORD		Sale		28,002		44.8500 ZAR
ORD		Sale		31,542		3.4740 GBP
ORD		Sale		43,035		44.8000 ZAR
ORD		Sale		104,457		44.7751 ZAR
ORD		Sale		228,638		3.4767 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		587		44.8356 ZAR
ORD		CFD		Long		1,000		44.7696 ZAR
ORD		CFD		Long		1,240		3.4678 GBP
ORD		CFD		Long		7,420		3.4863 GBP
ORD		CFD		Long		9,191		44.7756 ZAR
ORD		CFD		Long		24,976		3.4783 GBP
ORD		CFD		Long		31,039		3.4834 GBP
ORD		CFD		Long		49,863		3.4683 GBP
ORD		CFD		Long		104,457		44.7661 ZAR
ORD		CFD		Long		249,545		44.7562 ZAR
ORD		CFD		Short		1,240		44.5433 ZAR
ORD		CFD		Short		1,484		3.4921 GBP
ORD		CFD		Short		2,684		44.5757 ZAR
ORD		CFD		Short		3,957		3.4495 GBP
ORD		CFD		Short		9,582		44.7902 ZAR
ORD		CFD		Short		26,109		3.4860 GBP
ORD		CFD		Short		354,002		3.4839 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	13 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.