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	1 September 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		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		39,786,696		7.33%		41,204,187		7.60%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		9,331,508		1.72%		9,594,962		1.77%
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:
				50,190,204		9.25%		50,799,149		9.37%

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		258		4.2869 GBP
ORD		Purchase		1,756		4.3047 GBP
ORD		Purchase		12,117		4.3471 GBP
ORD		Purchase		14,106		4.2906 GBP
ORD		Purchase		49,465		4.3912 GBP
ORD		Purchase		62,320		4.3585 GBP
ORD		Purchase		74,303		4.3657 GBP
ORD		Purchase		122,157		4.3530 GBP
ORD		Purchase		466,596		4.3539 GBP
ORD		Sale		532		4.2860 GBP
ORD		Sale		3,461		4.3059 GBP
ORD		Sale		6,083		4.3070 GBP
ORD		Sale		6,510		4.3673 GBP
ORD		Sale		8,289		4.3404 GBP
ORD		Sale		10,700		4.3440 GBP
ORD		Sale		13,510		4.3503 GBP
ORD		Sale		24,118		4.3351 GBP
ORD		Sale		34,435		4.3087 GBP
ORD		Sale		130,735		4.3467 GBP
ORD		Sale		485,000		49.3500 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		848		49.1699 ZAR
ORD		CFD		Long		1,100		49.9840 ZAR
ORD		CFD		Long		1,500		49.5601 ZAR
ORD		CFD		Long		5,000		4.3794 GBP
ORD		CFD		Long		5,782		49.6312 ZAR
ORD		CFD		Long		6,214		49.0965 ZAR
ORD		CFD		Long		15,827		4.3701 GBP
ORD		CFD		Long		22,624		4.3662 GBP
ORD		CFD		Long		23,140		49.4610 ZAR
ORD		CFD		Long		24,232		49.8700 ZAR
ORD		CFD		Long		30,448		49.0418 ZAR
ORD		CFD		Long		33,700		49.5552 ZAR
ORD		CFD		Long		48,644		49.5884 ZAR
ORD		CFD		Long		57,034		4.3062 GBP
ORD		CFD		Long		134,736		49.0714 ZAR
ORD		CFD		Long		224,983		49.6229 ZAR
ORD		CFD		Long		369,537		49.5545 ZAR
ORD		CFD		Long		485,000		4.3600 GBP
ORD		CFD		Long		538,202		49.3505 ZAR
ORD		CFD		Short		1,581		49.9199 ZAR
ORD		CFD		Short		1,720		4.3126 GBP
ORD		CFD		Short		1,756		4.3047 GBP
ORD		CFD		Short		1,807		4.3796 GBP
ORD		CFD		Short		2,000		49.8259 ZAR
ORD		CFD		Short		2,706		4.3652 GBP
ORD		CFD		Short		3,051		4.3794 GBP
ORD		CFD		Short		4,273		49.1854 ZAR
ORD		CFD		Short		4,296		4.4000 GBP
ORD		CFD		Short		4,667		4.3048 GBP
ORD		CFD		Short		8,146		49.0275 ZAR
ORD		CFD		Short		25,569		4.3414 GBP
ORD		CFD		Short		45,348		49.1498 ZAR
ORD		CFD		Short		53,613		48.6976 ZAR
ORD		CFD		Short		485,000		49.3549 ZAR
ORD		CFD		Short		616,905		4.3598 GBP
ORD		CFD		Short		709,478		49.5900 ZAR
ORD		CFD		Short		2,297,000		49.8900 ZAR

Class of relevant security

Â

Product description e.g. CFD

Â

Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position

Â

Number of reference securities

Â

Price per unit

(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 Â

Date of disclosure:	Â	5 Sep 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 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

Â

Â

15 Sep 2011

ORD

Call Options

Purchased

972,000

Â

Â

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.