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	29 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:		43,628,095		8.04%		45,231,098		8.34%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		5,370,747		0.99%		5,300,958		0.98%
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:
				49,048,842		9.04%		50,532,056		9.32%

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		142		45.1500 ZAR
ORD		Purchase		144		45.3300 ZAR
ORD		Purchase		288		44.6400 ZAR
ORD		Purchase		328		44.7500 ZAR
ORD		Purchase		374		44.6200 ZAR
ORD		Purchase		382		3.6950 GBP
ORD		Purchase		408		45.0800 ZAR
ORD		Purchase		413		44.6900 ZAR
ORD		Purchase		413		44.9400 ZAR
ORD		Purchase		529		44.5600 ZAR
ORD		Purchase		786		3.6099 GBP
ORD		Purchase		826		45.1100 ZAR
ORD		Purchase		832		44.6300 ZAR
ORD		Purchase		863		44.7000 ZAR
ORD		Purchase		964		44.6500 ZAR
ORD		Purchase		1,011		44.9800 ZAR
ORD		Purchase		1,032		44.3700 ZAR
ORD		Purchase		1,032		44.6600 ZAR
ORD		Purchase		1,032		44.8100 ZAR
ORD		Purchase		1,033		44.3900 ZAR
ORD		Purchase		1,074		45.0400 ZAR
ORD		Purchase		1,116		44.6000 ZAR
ORD		Purchase		1,137		45.1200 ZAR
ORD		Purchase		1,185		45.2600 ZAR
ORD		Purchase		1,353		45.1600 ZAR
ORD		Purchase		1,434		44.3600 ZAR
ORD		Purchase		1,444		45.2300 ZAR
ORD		Purchase		1,768		44.9500 ZAR
ORD		Purchase		2,353		45.2200 ZAR
ORD		Purchase		2,560		44.6700 ZAR
ORD		Purchase		2,684		44.9100 ZAR
ORD		Purchase		2,722		44.6800 ZAR
ORD		Purchase		2,748		44.3100 ZAR
ORD		Purchase		2,815		45.2700 ZAR
ORD		Purchase		3,384		44.3300 ZAR
ORD		Purchase		3,532		3.6138 GBP
ORD		Purchase		3,759		44.9300 ZAR
ORD		Purchase		3,890		45.5200 ZAR
ORD		Purchase		4,000		44.4200 ZAR
ORD		Purchase		4,000		44.8300 ZAR
ORD		Purchase		4,000		45.0500 ZAR
ORD		Purchase		4,000		45.2500 ZAR
ORD		Purchase		4,000		45.2900 ZAR
ORD		Purchase		4,000		45.5100 ZAR
ORD		Purchase		4,389		44.8400 ZAR
ORD		Purchase		4,527		44.8700 ZAR
ORD		Purchase		4,539		44.4000 ZAR
ORD		Purchase		4,540		45.4000 ZAR
ORD		Purchase		4,888		44.3400 ZAR
ORD		Purchase		5,207		44.9700 ZAR
ORD		Purchase		5,568		44.4600 ZAR
ORD		Purchase		5,678		3.6684 GBP
ORD		Purchase		5,698		44.8600 ZAR
ORD		Purchase		6,008		45.2400 ZAR
ORD		Purchase		6,064		45.4800 ZAR
ORD		Purchase		6,148		44.8000 ZAR
ORD		Purchase		6,162		3.6947 GBP
ORD		Purchase		6,286		44.8200 ZAR
ORD		Purchase		6,508		45.4500 ZAR
ORD		Purchase		6,875		44.4800 ZAR
ORD		Purchase		7,002		45.0200 ZAR
ORD		Purchase		7,130		45.0600 ZAR
ORD		Purchase		7,267		44.5300 ZAR
ORD		Purchase		7,951		44.4400 ZAR
ORD		Purchase		7,978		45.0100 ZAR
ORD		Purchase		7,986		44.8800 ZAR
ORD		Purchase		7,996		44.9200 ZAR
ORD		Purchase		8,401		44.2400 ZAR
ORD		Purchase		8,960		3.6781 GBP
ORD		Purchase		9,301		44.3500 ZAR
ORD		Purchase		9,405		44.4700 ZAR
ORD		Purchase		10,111		44.8900 ZAR
ORD		Purchase		10,242		45.1900 ZAR
ORD		Purchase		12,107		44.9000 ZAR
ORD		Purchase		13,564		44.9900 ZAR
ORD		Purchase		13,725		45.5000 ZAR
ORD		Purchase		13,980		44.8500 ZAR
ORD		Purchase		14,087		3.6116 GBP
ORD		Purchase		17,214		44.9600 ZAR
ORD		Purchase		18,077		44.4100 ZAR
ORD		Purchase		22,895		45.0000 ZAR
ORD		Purchase		29,276		3.6609 GBP
ORD		Purchase		32,973		3.6143 GBP
ORD		Purchase		33,369		3.6517 GBP
ORD		Purchase		54,369		3.6707 GBP
ORD		Purchase		182,533		44.8082 ZAR
ORD		Sale		1		45.1600 ZAR
ORD		Sale		33		45.3900 ZAR
ORD		Sale		72		44.3800 ZAR
ORD		Sale		124		44.6600 ZAR
ORD		Sale		200		45.1400 ZAR
ORD		Sale		284		44.8500 ZAR
ORD		Sale		394		44.8000 ZAR
ORD		Sale		397		44.4200 ZAR
ORD		Sale		413		45.3300 ZAR
ORD		Sale		423		44.4300 ZAR
ORD		Sale		500		44.8800 ZAR
ORD		Sale		511		44.8900 ZAR
ORD		Sale		580		44.5600 ZAR
ORD		Sale		700		3.6912 GBP
ORD		Sale		800		3.6967 GBP
ORD		Sale		826		45.1900 ZAR
ORD		Sale		900		3.6718 GBP
ORD		Sale		1,003		44.5100 ZAR
ORD		Sale		1,003		44.8700 ZAR
ORD		Sale		1,031		44.9400 ZAR
ORD		Sale		1,032		45.1200 ZAR
ORD		Sale		1,043		44.6800 ZAR
ORD		Sale		1,062		44.9300 ZAR
ORD		Sale		1,176		44.6500 ZAR
ORD		Sale		1,204		44.6200 ZAR
ORD		Sale		1,238		45.4600 ZAR
ORD		Sale		1,247		44.3900 ZAR
ORD		Sale		1,258		45.5000 ZAR
ORD		Sale		1,264		44.8300 ZAR
ORD		Sale		1,309		44.3600 ZAR
ORD		Sale		1,421		44.9000 ZAR
ORD		Sale		1,500		45.2300 ZAR
ORD		Sale		1,533		44.9700 ZAR
ORD		Sale		3,188		3.6330 GBP
ORD		Sale		4,000		45.0900 ZAR
ORD		Sale		4,184		45.3400 ZAR
ORD		Sale		4,943		44.9600 ZAR
ORD		Sale		5,032		45.0800 ZAR
ORD		Sale		6,811		45.3800 ZAR
ORD		Sale		8,492		44.3500 ZAR
ORD		Sale		10,351		3.6530 GBP
ORD		Sale		14,850		3.6675 GBP
ORD		Sale		53,708		3.6491 GBP
ORD		Sale		67,079		3.6536 GBP
ORD		Sale		174,399		3.6429 GBP
ORD		Sale		367,495		3.6467 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		1,387		3.6927 GBP
ORD		CFD		Long		1,805		44.3358 ZAR
ORD		CFD		Long		1,924		3.6155 GBP
ORD		CFD		Long		1,942		44.8089 ZAR
ORD		CFD		Long		5,419		3.6212 GBP
ORD		CFD		Long		14,531		3.6889 GBP
ORD		CFD		Long		25,437		3.6587 GBP
ORD		CFD		Long		38,333		45.0629 ZAR
ORD		CFD		Long		543,596		44.8626 ZAR
ORD		CFD		Long		554,931		3.6478 GBP
ORD		CFD		Short		1,313		3.6669 GBP
ORD		CFD		Short		3,716		44.8896 ZAR
ORD		CFD		Short		6,252		3.6887 GBP
ORD		CFD		Short		11,541		3.6439 GBP
ORD		CFD		Short		41,174		3.6865 GBP
ORD		CFD		Short		42,080		45.0225 ZAR
ORD		CFD		Short		182,533		44.8170 ZAR
ORD		CFD		Short		357,347		44.8868 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:		30 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.