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	6 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 PLC 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:		40,552,691		7.48%		42,677,262		7.87%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		5,120,150		0.94%		4,760,543		0.88%
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:
				46,744,841		8.62%		47,437,805		8.75%

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		13		47.3500 ZAR
ORD		Purchase		100		47.9600 ZAR
ORD		Purchase		173		48.3900 ZAR
ORD		Purchase		207		48.4300 ZAR
ORD		Purchase		218		47.1300 ZAR
ORD		Purchase		229		48.2500 ZAR
ORD		Purchase		390		48.3100 ZAR
ORD		Purchase		413		47.2400 ZAR
ORD		Purchase		413		47.7500 ZAR
ORD		Purchase		438		47.3800 ZAR
ORD		Purchase		450		47.0700 ZAR
ORD		Purchase		523		47.4400 ZAR
ORD		Purchase		537		47.2300 ZAR
ORD		Purchase		678		48.3300 ZAR
ORD		Purchase		748		48.2400 ZAR
ORD		Purchase		802		47.3300 ZAR
ORD		Purchase		827		46.8100 ZAR
ORD		Purchase		827		47.0500 ZAR
ORD		Purchase		827		47.4000 ZAR
ORD		Purchase		846		47.5300 ZAR
ORD		Purchase		913		4.1357 GBP
ORD		Purchase		967		47.1400 ZAR
ORD		Purchase		1,000		48.2900 ZAR
ORD		Purchase		1,000		48.4100 ZAR
ORD		Purchase		1,033		47.3600 ZAR
ORD		Purchase		1,033		47.4100 ZAR
ORD		Purchase		1,367		48.4700 ZAR
ORD		Purchase		1,401		47.2100 ZAR
ORD		Purchase		1,434		47.9100 ZAR
ORD		Purchase		1,641		4.1303 GBP
ORD		Purchase		1,682		48.2800 ZAR
ORD		Purchase		1,741		48.3600 ZAR
ORD		Purchase		2,027		47.0800 ZAR
ORD		Purchase		2,054		47.5500 ZAR
ORD		Purchase		2,278		47.5100 ZAR
ORD		Purchase		2,285		47.0600 ZAR
ORD		Purchase		2,384		47.1700 ZAR
ORD		Purchase		2,487		4.1587 GBP
ORD		Purchase		2,493		47.5200 ZAR
ORD		Purchase		2,613		47.2500 ZAR
ORD		Purchase		3,055		48.0400 ZAR
ORD		Purchase		3,170		48.4800 ZAR
ORD		Purchase		3,361		48.2200 ZAR
ORD		Purchase		3,925		47.0900 ZAR
ORD		Purchase		4,000		47.2700 ZAR
ORD		Purchase		4,000		48.4400 ZAR
ORD		Purchase		4,037		47.1100 ZAR
ORD		Purchase		4,040		48.4000 ZAR
ORD		Purchase		4,733		47.1600 ZAR
ORD		Purchase		4,749		47.1200 ZAR
ORD		Purchase		4,827		47.2200 ZAR
ORD		Purchase		4,930		48.3000 ZAR
ORD		Purchase		5,067		48.5000 ZAR
ORD		Purchase		5,074		47.1800 ZAR
ORD		Purchase		5,082		47.2000 ZAR
ORD		Purchase		5,441		48.3700 ZAR
ORD		Purchase		5,687		47.1900 ZAR
ORD		Purchase		10,327		4.1580 GBP
ORD		Purchase		15,067		4.1431 GBP
ORD		Purchase		20,654		4.2160 GBP
ORD		Purchase		21,995		47.1000 ZAR
ORD		Purchase		23,753		4.1488 GBP
ORD		Purchase		64,019		4.1676 GBP
ORD		Purchase		86,015		4.1507 GBP
ORD		Purchase		216,187		4.1608 GBP
ORD		Purchase		572,679		4.1694 GBP
ORD		Sale		23		47.8500 ZAR
ORD		Sale		107		47.2400 ZAR
ORD		Sale		123		4.2180 GBP
ORD		Sale		173		48.3900 ZAR
ORD		Sale		383		48.0800 ZAR
ORD		Sale		475		47.4900 ZAR
ORD		Sale		566		47.6000 ZAR
ORD		Sale		632		47.5700 ZAR
ORD		Sale		687		48.3800 ZAR
ORD		Sale		748		48.2400 ZAR
ORD		Sale		831		47.1500 ZAR
ORD		Sale		967		47.1400 ZAR
ORD		Sale		1,087		48.2100 ZAR
ORD		Sale		1,100		47.0900 ZAR
ORD		Sale		1,149		47.4700 ZAR
ORD		Sale		1,232		48.1500 ZAR
ORD		Sale		1,285		47.5600 ZAR
ORD		Sale		1,334		47.3100 ZAR
ORD		Sale		1,348		48.4300 ZAR
ORD		Sale		1,751		47.3000 ZAR
ORD		Sale		1,977		47.1800 ZAR
ORD		Sale		2,178		48.1000 ZAR
ORD		Sale		2,280		47.0800 ZAR
ORD		Sale		2,285		47.6300 ZAR
ORD		Sale		2,582		47.1300 ZAR
ORD		Sale		2,645		47.1600 ZAR
ORD		Sale		2,678		48.3100 ZAR
ORD		Sale		2,918		48.1900 ZAR
ORD		Sale		2,999		47.1200 ZAR
ORD		Sale		3,192		48.5000 ZAR
ORD		Sale		3,410		47.6500 ZAR
ORD		Sale		3,419		47.6600 ZAR
ORD		Sale		3,773		47.5300 ZAR
ORD		Sale		3,939		47.2900 ZAR
ORD		Sale		3,998		47.3900 ZAR
ORD		Sale		4,000		47.2700 ZAR
ORD		Sale		4,000		47.4200 ZAR
ORD		Sale		4,000		47.4600 ZAR
ORD		Sale		4,000		47.5200 ZAR
ORD		Sale		4,000		47.6900 ZAR
ORD		Sale		4,000		47.8200 ZAR
ORD		Sale		4,000		48.1800 ZAR
ORD		Sale		4,027		47.2800 ZAR
ORD		Sale		4,500		47.6100 ZAR
ORD		Sale		4,597		47.1100 ZAR
ORD		Sale		4,711		47.2300 ZAR
ORD		Sale		5,033		47.4000 ZAR
ORD		Sale		5,143		47.1900 ZAR
ORD		Sale		5,248		47.4400 ZAR
ORD		Sale		5,300		47.6200 ZAR
ORD		Sale		5,527		47.3300 ZAR
ORD		Sale		6,046		47.7200 ZAR
ORD		Sale		6,701		47.6400 ZAR
ORD		Sale		6,893		47.4300 ZAR
ORD		Sale		7,833		47.4100 ZAR
ORD		Sale		7,890		47.3200 ZAR
ORD		Sale		7,978		47.8100 ZAR
ORD		Sale		9,111		47.1700 ZAR
ORD		Sale		10,087		47.3600 ZAR
ORD		Sale		10,117		47.3400 ZAR
ORD		Sale		10,207		47.1000 ZAR
ORD		Sale		12,857		47.5500 ZAR
ORD		Sale		13,155		47.5800 ZAR
ORD		Sale		15,900		47.2600 ZAR
ORD		Sale		17,323		47.5400 ZAR
ORD		Sale		19,158		47.2000 ZAR
ORD		Sale		20,476		47.3800 ZAR
ORD		Sale		24,963		48.2000 ZAR
ORD		Sale		25,462		47.3700 ZAR
ORD		Sale		25,650		4.1519 GBP
ORD		Sale		33,404		4.1657 GBP
ORD		Sale		37,953		47.2500 ZAR
ORD		Sale		44,502		4.1743 GBP
ORD		Sale		221,084		4.1633 GBP
ORD		Sale		423,563		47.8049 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		3,846		47.4662 ZAR
ORD		CFD		Long		8,911		4.1289 GBP
ORD		CFD		Long		10,719		4.1760 GBP
ORD		CFD		Long		62,558		4.1860 GBP
ORD		CFD		Long		130,424		47.5903 ZAR
ORD		CFD		Long		161,890		4.1613 GBP
ORD		CFD		Long		355,432		47.4924 ZAR
ORD		CFD		Long		423,563		47.7953 ZAR
ORD		CFD		Short		321		47.1150 ZAR
ORD		CFD		Short		2,059		4.1369 GBP
ORD		CFD		Short		4,051		48.0424 ZAR
ORD		CFD		Short		5,373		4.2355 GBP
ORD		CFD		Short		10,023		4.2218 GBP
ORD		CFD		Short		12,510		47.1188 ZAR
ORD		CFD		Short		70,208		4.1837 GBP
ORD		CFD		Short		113,542		47.6308 ZAR
ORD		CFD		Short		782,841		47.6560 ZAR
ORD		CFD		Short		812,375		4.1632 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 Â

Date of disclosure:	Â	7 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].

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.