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	22 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: 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		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		43,197,724		7.96%		45,982,038		8.48%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		3,547,312		0.65%		2,488,028		0.46%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		50,000		0.01%		0		0.00%
Â		Â		Â		Â		Â		Â
(4)		TOTAL:
				46,795,036		8.63%		48,470,066		8.94%

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		183		46.7300 ZAR
ORD		Purchase		211		47.3400 ZAR
ORD		Purchase		276		48.1600 ZAR
ORD		Purchase		413		46.8900 ZAR
ORD		Purchase		413		47.7600 ZAR
ORD		Purchase		506		46.6800 ZAR
ORD		Purchase		690		47.5000 ZAR
ORD		Purchase		876		47.1500 ZAR
ORD		Purchase		929		48.1000 ZAR
ORD		Purchase		1,000		47.1200 ZAR
ORD		Purchase		1,032		46.6200 ZAR
ORD		Purchase		1,057		47.2200 ZAR
ORD		Purchase		1,125		47.0500 ZAR
ORD		Purchase		1,698		46.9600 ZAR
ORD		Purchase		1,705		47.0800 ZAR
ORD		Purchase		1,733		3.6911 GBP
ORD		Purchase		2,132		46.7400 ZAR
ORD		Purchase		2,251		47.2400 ZAR
ORD		Purchase		2,603		3.7048 GBP
ORD		Purchase		2,690		46.8600 ZAR
ORD		Purchase		2,773		3.6892 GBP
ORD		Purchase		2,808		47.9800 ZAR
ORD		Purchase		2,906		46.7800 ZAR
ORD		Purchase		2,997		3.6928 GBP
ORD		Purchase		3,000		47.0300 ZAR
ORD		Purchase		3,162		46.6900 ZAR
ORD		Purchase		3,200		46.9800 ZAR
ORD		Purchase		3,297		46.9100 ZAR
ORD		Purchase		3,600		3.7067 GBP
ORD		Purchase		3,657		46.6400 ZAR
ORD		Purchase		4,000		47.2700 ZAR
ORD		Purchase		4,000		48.0500 ZAR
ORD		Purchase		4,828		46.9500 ZAR
ORD		Purchase		5,226		46.9200 ZAR
ORD		Purchase		5,238		46.7200 ZAR
ORD		Purchase		5,437		46.9300 ZAR
ORD		Purchase		5,982		46.7600 ZAR
ORD		Purchase		6,113		47.0600 ZAR
ORD		Purchase		6,198		3.6967 GBP
ORD		Purchase		6,200		46.6500 ZAR
ORD		Purchase		6,212		46.8300 ZAR
ORD		Purchase		6,287		47.0100 ZAR
ORD		Purchase		6,358		46.8200 ZAR
ORD		Purchase		6,783		46.8800 ZAR
ORD		Purchase		6,823		47.0400 ZAR
ORD		Purchase		6,848		46.8500 ZAR
ORD		Purchase		6,853		46.7100 ZAR
ORD		Purchase		8,000		47.0200 ZAR
ORD		Purchase		8,649		46.7500 ZAR
ORD		Purchase		8,813		3.6829 GBP
ORD		Purchase		9,000		46.9700 ZAR
ORD		Purchase		9,000		47.2000 ZAR
ORD		Purchase		9,752		46.8400 ZAR
ORD		Purchase		12,113		46.9900 ZAR
ORD		Purchase		13,383		46.9000 ZAR
ORD		Purchase		13,838		46.7000 ZAR
ORD		Purchase		14,802		46.9400 ZAR
ORD		Purchase		14,996		3.6963 GBP
ORD		Purchase		15,175		3.6820 GBP
ORD		Purchase		17,863		3.7049 GBP
ORD		Purchase		17,878		46.8100 ZAR
ORD		Purchase		19,162		46.8000 ZAR
ORD		Purchase		20,701		3.6860 GBP
ORD		Purchase		27,275		3.6838 GBP
ORD		Purchase		29,047		3.7013 GBP
ORD		Purchase		37,639		47.0000 ZAR
ORD		Purchase		51,424		3.6961 GBP
ORD		Purchase		123,326		47.0933 ZAR
ORD		Purchase		188,987		3.7010 GBP
ORD		Sale		1		47.1600 ZAR
ORD		Sale		3		47.8000 ZAR
ORD		Sale		250		46.8800 ZAR
ORD		Sale		472		46.9800 ZAR
ORD		Sale		638		46.8100 ZAR
ORD		Sale		766		47.0800 ZAR
ORD		Sale		808		46.8300 ZAR
ORD		Sale		843		46.7800 ZAR
ORD		Sale		1,147		47.2000 ZAR
ORD		Sale		1,247		3.6939 GBP
ORD		Sale		1,329		46.8200 ZAR
ORD		Sale		1,385		47.1700 ZAR
ORD		Sale		1,509		48.1200 ZAR
ORD		Sale		1,570		46.9200 ZAR
ORD		Sale		1,571		46.8600 ZAR
ORD		Sale		1,706		47.0400 ZAR
ORD		Sale		2,056		46.7100 ZAR
ORD		Sale		2,111		46.7200 ZAR
ORD		Sale		2,434		47.0600 ZAR
ORD		Sale		2,603		3.7048 GBP
ORD		Sale		2,646		46.9100 ZAR
ORD		Sale		3,051		46.9000 ZAR
ORD		Sale		3,780		46.7500 ZAR
ORD		Sale		4,000		46.9900 ZAR
ORD		Sale		4,170		46.9500 ZAR
ORD		Sale		4,630		47.3600 ZAR
ORD		Sale		5,114		46.9400 ZAR
ORD		Sale		5,591		46.7600 ZAR
ORD		Sale		5,863		46.8500 ZAR
ORD		Sale		6,432		46.9300 ZAR
ORD		Sale		9,000		46.7000 ZAR
ORD		Sale		9,951		3.6896 GBP
ORD		Sale		15,640		47.0500 ZAR
ORD		Sale		15,819		47.0000 ZAR
ORD		Sale		18,705		3.6894 GBP
ORD		Sale		24,058		3.7076 GBP
ORD		Sale		29,564		46.8000 ZAR
ORD		Sale		31,614		3.6999 GBP
ORD		Sale		41,775		3.7057 GBP
ORD		Sale		51,806		46.6500 ZAR
ORD		Sale		136,435		3.7035 GBP
ORD		Sale		356,409		3.7037 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		3		47.7833 ZAR
ORD		CFD		Long		304		46.9649 ZAR
ORD		CFD		Long		1,685		3.7934 GBP
ORD		CFD		Long		1,745		46.9268 ZAR
ORD		CFD		Long		19,833		3.7206 GBP
ORD		CFD		Long		48,414		46.8812 ZAR
ORD		CFD		Long		50,880		46.6313 ZAR
ORD		CFD		Long		70,575		46.9253 ZAR
ORD		CFD		Long		424,079		46.9931 ZAR
ORD		CFD		Long		429,595		3.7057 GBP
ORD		CFD		Short		3		46.8666 ZAR
ORD		CFD		Short		3,743		46.8107 ZAR
ORD		CFD		Short		10,477		3.7144 GBP
ORD		CFD		Short		11,828		3.7083 GBP
ORD		CFD		Short		17,765		3.6982 GBP
ORD		CFD		Short		21,617		3.7103 GBP
ORD		CFD		Short		56,788		3.7020 GBP
ORD		CFD		Short		78,623		3.6984 GBP
ORD		CFD		Short		123,326		47.1026 ZAR
ORD		CFD		Short		171,921		46.8310 ZAR
ORD		CFD		Short		297,007		46.9514 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 Â

Date of disclosure:	Â	Â
Contact name:	Â	Geoff Smith
Telephone number:	Â	020 7116 2913

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 PLC

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

50,000

4,425.0000

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.

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.