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:		7 September 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
Â		Â		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	ORD
	Â			Interests	Â	Â	Â	Short Positions	Â	Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		40,555,509		7.48%		42,724,217		7.88%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		4,049,716		0.75%		3,660,681		0.67%
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
		TOTAL:
				45,677,225		8.42%		46,384,898		8.55%

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		70		47.8900 ZAR
ORD		Purchase		77		48.0300 ZAR
ORD		Purchase		91		47.9300 ZAR
ORD		Purchase		175		47.9800 ZAR
ORD		Purchase		200		48.0100 ZAR
ORD		Purchase		200		48.3000 ZAR
ORD		Purchase		227		15.2096 ZAR
ORD		Purchase		357		48.1300 ZAR
ORD		Purchase		400		48.1100 ZAR
ORD		Purchase		448		48.0700 ZAR
ORD		Purchase		450		47.9500 ZAR
ORD		Purchase		678		48.4000 ZAR
ORD		Purchase		756		48.0500 ZAR
ORD		Purchase		977		47.8600 ZAR
ORD		Purchase		1,033		47.9100 ZAR
ORD		Purchase		1,090		47.8500 ZAR
ORD		Purchase		1,100		47.9000 ZAR
ORD		Purchase		1,100		48.2100 ZAR
ORD		Purchase		1,213		47.9900 ZAR
ORD		Purchase		1,357		48.4100 ZAR
ORD		Purchase		1,357		48.4300 ZAR
ORD		Purchase		1,357		48.5100 ZAR
ORD		Purchase		1,357		48.5300 ZAR
ORD		Purchase		1,631		48.2300 ZAR
ORD		Purchase		2,000		48.3700 ZAR
ORD		Purchase		2,084		48.1400 ZAR
ORD		Purchase		2,169		48.1200 ZAR
ORD		Purchase		2,514		48.3200 ZAR
ORD		Purchase		2,552		48.0000 ZAR
ORD		Purchase		2,759		48.1500 ZAR
ORD		Purchase		2,765		47.8700 ZAR
ORD		Purchase		2,975		48.1000 ZAR
ORD		Purchase		3,400		48.2600 ZAR
ORD		Purchase		3,693		48.1700 ZAR
ORD		Purchase		4,000		48.3100 ZAR
ORD		Purchase		4,000		48.5000 ZAR
ORD		Purchase		4,174		48.2900 ZAR
ORD		Purchase		4,670		47.9600 ZAR
ORD		Purchase		4,811		48.2700 ZAR
ORD		Purchase		4,986		48.3800 ZAR
ORD		Purchase		5,110		4.2177 GBP
ORD		Purchase		5,887		48.0600 ZAR
ORD		Purchase		6,812		48.4500 ZAR
ORD		Purchase		13,117		4.2247 GBP
ORD		Purchase		15,808		48.6000 ZAR
ORD		Purchase		20,791		4.2334 GBP
ORD		Purchase		55,238		4.2303 GBP
ORD		Purchase		232,760		4.2308 GBP
ORD		Purchase		537,000		47.1000 ZAR
ORD		Sale		87		47.9700 ZAR
ORD		Sale		119		4.2572 GBP
ORD		Sale		123		48.4200 ZAR
ORD		Sale		260		48.2700 ZAR
ORD		Sale		300		48.0000 ZAR
ORD		Sale		388		48.0700 ZAR
ORD		Sale		395		48.0800 ZAR
ORD		Sale		400		47.9400 ZAR
ORD		Sale		400		47.9600 ZAR
ORD		Sale		400		47.9900 ZAR
ORD		Sale		400		48.1500 ZAR
ORD		Sale		400		48.1900 ZAR
ORD		Sale		400		48.2100 ZAR
ORD		Sale		408		48.3100 ZAR
ORD		Sale		500		48.3300 ZAR
ORD		Sale		543		48.4700 ZAR
ORD		Sale		600		47.9000 ZAR
ORD		Sale		659		48.5700 ZAR
ORD		Sale		667		48.3200 ZAR
ORD		Sale		678		48.4000 ZAR
ORD		Sale		696		48.2300 ZAR
ORD		Sale		700		48.5500 ZAR
ORD		Sale		827		48.4400 ZAR
ORD		Sale		954		48.1000 ZAR
ORD		Sale		1,000		48.2200 ZAR
ORD		Sale		1,011		48.1600 ZAR
ORD		Sale		1,033		48.5600 ZAR
ORD		Sale		1,033		48.5800 ZAR
ORD		Sale		1,076		48.1800 ZAR
ORD		Sale		1,080		47.9300 ZAR
ORD		Sale		1,294		48.1200 ZAR
ORD		Sale		1,552		48.1700 ZAR
ORD		Sale		1,568		48.2500 ZAR
ORD		Sale		1,600		48.6000 ZAR
ORD		Sale		1,689		48.4100 ZAR
ORD		Sale		2,047		48.1400 ZAR
ORD		Sale		2,132		4.2574 GBP
ORD		Sale		2,160		48.5100 ZAR
ORD		Sale		2,188		48.1100 ZAR
ORD		Sale		2,198		48.0300 ZAR
ORD		Sale		2,317		48.0900 ZAR
ORD		Sale		2,350		48.4300 ZAR
ORD		Sale		2,384		48.3700 ZAR
ORD		Sale		2,510		48.5000 ZAR
ORD		Sale		2,674		48.0200 ZAR
ORD		Sale		3,353		48.5200 ZAR
ORD		Sale		3,368		48.4500 ZAR
ORD		Sale		3,630		48.5300 ZAR
ORD		Sale		3,912		48.3000 ZAR
ORD		Sale		3,998		4.2591 GBP
ORD		Sale		4,000		48.0400 ZAR
ORD		Sale		4,200		48.0100 ZAR
ORD		Sale		4,656		48.3800 ZAR
ORD		Sale		6,108		48.4900 ZAR
ORD		Sale		7,056		48.3900 ZAR
ORD		Sale		7,893		4.2302 GBP
ORD		Sale		7,975		4.2322 GBP
ORD		Sale		11,120		4.2229 GBP
ORD		Sale		28,370		4.2578 GBP
ORD		Sale		32,706		4.2285 GBP
ORD		Sale		36,751		4.2447 GBP
ORD		Sale		108,352		4.2416 GBP
ORD		Sale		145,265		4.2290 GBP
ORD		Sale		537,000		47.1000 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		380		4.2584 GBP
ORD		CFD		Long		614		48.0022 ZAR
ORD		CFD		Long		1,317		48.1427 ZAR
ORD		CFD		Long		1,779		48.1833 ZAR
ORD		CFD		Long		2,220		4.2175 GBP
ORD		CFD		Long		4,476		48.1415 ZAR
ORD		CFD		Long		8,548		4.2564 GBP
ORD		CFD		Long		54,703		4.2227 GBP
ORD		CFD		Long		65,886		48.3435 ZAR
ORD		CFD		Long		96,192		4.2278 GBP
ORD		CFD		Long		108,352		4.2415 GBP
ORD		CFD		Long		537,000		4.1275 GBP
ORD		CFD		Long		628,842		47.2659 ZAR
ORD		CFD		Short		227		15.2126 ZAR
ORD		CFD		Short		977		47.8753 ZAR
ORD		CFD		Short		1,373		48.3680 ZAR
ORD		CFD		Short		1,539		48.0980 ZAR
ORD		CFD		Short		4,113		48.1344 ZAR
ORD		CFD		Short		4,538		4.2485 GBP
ORD		CFD		Short		5,455		48.3956 ZAR
ORD		CFD		Short		11,675		48.6194 ZAR
ORD		CFD		Short		26,591		4.2206 GBP
ORD		CFD		Short		43,195		4.2207 GBP
ORD		CFD		Short		53,902		4.2232 GBP
ORD		CFD		Short		63,483		48.1996 ZAR
ORD		CFD		Short		74,072		48.3224 ZAR
ORD		CFD		Short		97,971		4.2283 GBP
ORD		CFD		Short		540,000		47.1047 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:		8 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 the person whose positions/dealings	Â	Barclays PLC.
are being disclosed:		Â
Name of offeror/offeree in relation to whose		INVESTEC
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

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.