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	27 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				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		43,831,303		8.08%		44,991,408		8.29%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		3,307,414		0.61%		3,672,677		0.68%
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:
				47,188,717		8.70%		48,664,085		8.97%

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		105		3.6380 GBP
ORD		Purchase		130		3.7420 GBP
ORD		Purchase		3,297		3.6945 GBP
ORD		Purchase		3,865		3.6703 GBP
ORD		Purchase		4,378		3.6709 GBP
ORD		Purchase		16,874		3.6624 GBP
ORD		Purchase		19,771		3.6614 GBP
ORD		Purchase		25,667		3.6936 GBP
ORD		Purchase		33,749		3.6933 GBP
ORD		Purchase		36,149		3.6831 GBP
ORD		Purchase		37,714		3.6598 GBP
ORD		Purchase		38,738		3.6685 GBP
ORD		Purchase		109,156		3.6923 GBP
ORD		Purchase		471,729		3.6769 GBP
ORD		Sale		125		3.6340 GBP
ORD		Sale		227		3.7030 GBP
ORD		Sale		1,585		3.7420 GBP
ORD		Sale		2,626		3.6902 GBP
ORD		Sale		6,970		3.7047 GBP
ORD		Sale		10,351		3.6820 GBP
ORD		Sale		11,424		3.7085 GBP
ORD		Sale		12,372		3.6866 GBP
ORD		Sale		30,384		3.6800 GBP
ORD		Sale		36,149		3.6831 GBP
ORD		Sale		57,878		3.7110 GBP
ORD		Sale		64,480		3.6760 GBP
ORD		Sale		190,562		3.6786 GBP
ORD		Sale		403,399		3.6709 GBP
ORD		Sale		486,000		44.5000 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		934		45.0855 ZAR
ORD		CFD		Long		5,773		3.7379 GBP
ORD		CFD		Long		37,222		3.6316 GBP
ORD		CFD		Long		52,177		3.6769 GBP
ORD		CFD		Long		168,081		45.1328 ZAR
ORD		CFD		Long		486,000		3.5279 GBP
ORD		CFD		Long		508,284		3.6757 GBP
ORD		CFD		Long		1,065,714		44.8057 ZAR
ORD		CFD		Short		894		45.0091 ZAR
ORD		CFD		Short		1,770		3.6394 GBP
ORD		CFD		Short		2,063		45.1428 ZAR
ORD		CFD		Short		14,716		45.7682 ZAR
ORD		CFD		Short		19,684		3.6631 GBP
ORD		CFD		Short		38,051		3.6611 GBP
ORD		CFD		Short		52,711		3.6671 GBP
ORD		CFD		Short		57,918		3.6698 GBP
ORD		CFD		Short		82,557		44.8523 ZAR
ORD		CFD		Short		117,273		45.1006 ZAR
ORD		CFD		Short		169,015		45.1348 ZAR
ORD		CFD		Short		280,130		3.6757 GBP
ORD		CFD		Short		362,211		45.0516 ZAR
ORD		CFD		Short		486,000		44.5044 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:		28 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 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.

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.