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:		8 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 PLC
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:		40,159,027		7.40%		42,199,599		7.78%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		3,151,634		0.58%		2,855,932		0.53%
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:
				44,382,661		8.18%		45,055,531		8.31%

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		500		49.1330 ZAR
ORD		Purchase		1,107		49.2000 ZAR
ORD		Purchase		1,534		4.2987 GBP
ORD		Purchase		1,711		49.2700 ZAR
ORD		Purchase		1,748		49.3100 ZAR
ORD		Purchase		1,852		48.8100 ZAR
ORD		Purchase		1,887		48.6500 ZAR
ORD		Purchase		2,134		4.2909 GBP
ORD		Purchase		2,387		48.5900 ZAR
ORD		Purchase		2,387		48.6600 ZAR
ORD		Purchase		2,408		49.3400 ZAR
ORD		Purchase		2,718		48.6000 ZAR
ORD		Purchase		3,000		48.9200 ZAR
ORD		Purchase		3,000		49.1000 ZAR
ORD		Purchase		3,074		48.8200 ZAR
ORD		Purchase		4,000		48.6800 ZAR
ORD		Purchase		4,000		48.7200 ZAR
ORD		Purchase		4,000		48.7300 ZAR
ORD		Purchase		4,000		49.0600 ZAR
ORD		Purchase		4,000		49.1500 ZAR
ORD		Purchase		4,000		49.3300 ZAR
ORD		Purchase		4,923		48.6200 ZAR
ORD		Purchase		5,000		48.8500 ZAR
ORD		Purchase		5,283		49.2800 ZAR
ORD		Purchase		5,613		48.6100 ZAR
ORD		Purchase		6,046		48.7900 ZAR
ORD		Purchase		7,610		49.2500 ZAR
ORD		Purchase		8,976		4.2912 GBP
ORD		Purchase		9,000		48.7100 ZAR
ORD		Purchase		9,917		48.7000 ZAR
ORD		Purchase		10,924		48.5000 ZAR
ORD		Purchase		11,691		4.2652 GBP
ORD		Purchase		12,027		4.2685 GBP
ORD		Purchase		12,575		4.2848 GBP
ORD		Purchase		22,903		48.7500 ZAR
ORD		Purchase		24,066		49.3000 ZAR
ORD		Purchase		27,464		49.0000 ZAR
ORD		Purchase		28,034		48.9000 ZAR
ORD		Purchase		28,165		49.4000 ZAR
ORD		Purchase		29,254		4.2583 GBP
ORD		Purchase		56,674		48.8000 ZAR
ORD		Purchase		161,310		48.8707 ZAR
ORD		Purchase		191,208		4.2840 GBP
ORD		Sale		11		48.4900 ZAR
ORD		Sale		49		49.2700 ZAR
ORD		Sale		300		49.0100 ZAR
ORD		Sale		314		48.4400 ZAR
ORD		Sale		321		49.3800 ZAR
ORD		Sale		388		48.5900 ZAR
ORD		Sale		390		49.4400 ZAR
ORD		Sale		400		48.5500 ZAR
ORD		Sale		413		49.1900 ZAR
ORD		Sale		413		49.3400 ZAR
ORD		Sale		500		49.1330 ZAR
ORD		Sale		600		48.5300 ZAR
ORD		Sale		607		49.2000 ZAR
ORD		Sale		745		48.8600 ZAR
ORD		Sale		827		49.2600 ZAR
ORD		Sale		838		48.6100 ZAR
ORD		Sale		840		48.5800 ZAR
ORD		Sale		1,033		49.0400 ZAR
ORD		Sale		1,033		49.1800 ZAR
ORD		Sale		1,033		49.2500 ZAR
ORD		Sale		1,080		49.0800 ZAR
ORD		Sale		1,184		48.8000 ZAR
ORD		Sale		1,186		4.2740 GBP
ORD		Sale		1,286		49.0700 ZAR
ORD		Sale		1,353		48.6900 ZAR
ORD		Sale		1,444		49.1600 ZAR
ORD		Sale		1,670		48.5200 ZAR
ORD		Sale		2,067		49.2800 ZAR
ORD		Sale		2,239		49.0500 ZAR
ORD		Sale		3,260		49.0600 ZAR
ORD		Sale		3,913		49.2100 ZAR
ORD		Sale		4,301		4.2770 GBP
ORD		Sale		7,877		4.2721 GBP
ORD		Sale		8,055		48.6000 ZAR
ORD		Sale		9,707		4.2692 GBP
ORD		Sale		30,953		4.2707 GBP
ORD		Sale		30,982		4.2732 GBP
ORD		Sale		42,471		4.2728 GBP
ORD		Sale		107,510		4.2788 GBP
ORD		Sale		332,381		4.2757 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		321		49.3642 ZAR
ORD		CFD		Long		830		49.1942 ZAR
ORD		CFD		Long		1,348		48.5942 ZAR
ORD		CFD		Long		1,444		4.2388 GBP
ORD		CFD		Long		4,586		48.6628 ZAR
ORD		CFD		Long		28,792		48.9760 ZAR
ORD		CFD		Long		39,943		4.2787 GBP
ORD		CFD		Long		441,588		48.9030 ZAR
ORD		CFD		Long		447,710		4.2750 GBP
ORD		CFD		Short		1,175		49.2657 ZAR
ORD		CFD		Short		1,534		4.2987 GBP
ORD		CFD		Short		34,648		4.2863 GBP
ORD		CFD		Short		35,877		48.9333 ZAR
ORD		CFD		Short		35,989		4.2577 GBP
ORD		CFD		Short		40,544		4.2818 GBP
ORD		CFD		Short		64,004		4.3000 GBP
ORD		CFD		Short		161,310		48.8804 ZAR
ORD		CFD		Short		279,103		48.9156 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:		9 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.