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   Barclays PLC.
  are being disclosed:  
(b) Owner or controller of interest and short
  positions disclosed, if different from 1(a):  
(c) Name of offeror/offeree in relation to whose

INVESTEC PLC

  relevant securities this form relates:  
(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
  offeror/offeree:  
(e) Date position held/dealing undertaken: 5 October 2011
(f) Has the discloser previously disclosed, or are YES:
they today disclosing, under the Code in respect EVOLUTION GROUP
  of any other party to this offer? 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:       ORD            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 44,280,453 8.16% 46,051,659 8.49%
           
(2) Derivatives (other than
options): 5,233,453 0.96% 5,061,238 0.93%
           
(3) Options and agreements to
purchase/sell: 50,000 0.01% 0 0.00%
           
(4) TOTAL:
49,563,906 9.14% 51,112,897 9.42%

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:  
Details, including nature of the rights concerned and relevant percentages:  

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   Purchase/sale   Number of   Price per unit
security   securities  
ORD Purchase 60 41.7000 ZAR
ORD Purchase 102 42.1900 ZAR
ORD Purchase 138 41.6500 ZAR
ORD Purchase 251 42.1200 ZAR
ORD Purchase 260 42.6700 ZAR
ORD Purchase 311 42.3700 ZAR
ORD Purchase 460 42.5500 ZAR
ORD Purchase 488 41.8000 ZAR
ORD Purchase 625 42.3200 ZAR
ORD Purchase 727 42.7300 ZAR
ORD Purchase 847 41.9400 ZAR
ORD Purchase 898 42.6000 ZAR
ORD Purchase 980 42.2100 ZAR
ORD Purchase 1,032 41.6000 ZAR
ORD Purchase 1,033 41.5300 ZAR
ORD Purchase 1,107 41.7200 ZAR
ORD Purchase 1,187 42.0800 ZAR
ORD Purchase 1,190 41.5100 ZAR
ORD Purchase 1,213 41.7900 ZAR
ORD Purchase 1,237 42.3100 ZAR
ORD Purchase 1,343 42.4400 ZAR
ORD Purchase 1,468 41.6700 ZAR
ORD Purchase 1,711 41.6600 ZAR
ORD Purchase 1,726 42.0300 ZAR
ORD Purchase 1,828 41.6200 ZAR
ORD Purchase 1,958 41.6100 ZAR
ORD Purchase 1,995 41.5200 ZAR
ORD Purchase 2,000 42.4000 ZAR
ORD Purchase 2,063 41.5600 ZAR
ORD Purchase 2,063 42.0400 ZAR
ORD Purchase 2,131 41.4800 ZAR
ORD Purchase 2,180 41.9300 ZAR
ORD Purchase 2,478 42.1800 ZAR
ORD Purchase 2,484 42.3900 ZAR
ORD Purchase 2,649 42.0500 ZAR
ORD Purchase 3,150 41.6300 ZAR
ORD Purchase 3,160 41.9800 ZAR
ORD Purchase 3,234 42.0600 ZAR
ORD Purchase 3,424 41.6400 ZAR
ORD Purchase 3,647 42.3000 ZAR
ORD Purchase 3,706 42.0100 ZAR
ORD Purchase 3,765 42.1000 ZAR
ORD Purchase 3,929 41.9700 ZAR
ORD Purchase 3,965 42.6800 ZAR
ORD Purchase 4,000 42.5700 ZAR
ORD Purchase 4,103 42.1600 ZAR
ORD Purchase 4,544 42.3500 ZAR
ORD Purchase 4,827 42.4100 ZAR
ORD Purchase 5,173 41.7100 ZAR
ORD Purchase 6,601 41.8600 ZAR
ORD Purchase 6,612 41.9500 ZAR
ORD Purchase 7,700 3.3161 GBP
ORD Purchase 7,919 42.1700 ZAR
ORD Purchase 8,261 3.3970 GBP
ORD Purchase 8,558 41.5000 ZAR
ORD Purchase 9,963 41.9600 ZAR
ORD Purchase 10,500 3.3170 GBP
ORD Purchase 10,769 3.3713 GBP
ORD Purchase 11,423 3.3734 GBP
ORD Purchase 11,923 42.2000 ZAR
ORD Purchase 18,007 42.0000 ZAR
ORD Purchase 20,372 3.3282 GBP
ORD Purchase 20,702 3.4040 GBP
ORD Purchase 24,600 3.3193 GBP
ORD Purchase 26,120 3.3660 GBP
ORD Purchase 158,602 3.3690 GBP
ORD Purchase 357,319 3.3677 GBP
ORD Sale 2 42.2700 ZAR
ORD Sale 7 43.3900 ZAR
ORD Sale 50 41.4500 ZAR
ORD Sale 94 3.3970 GBP
ORD Sale 260 42.6700 ZAR
ORD Sale 413 41.8300 ZAR
ORD Sale 523 42.1000 ZAR
ORD Sale 642 42.2900 ZAR
ORD Sale 654 3.3971 GBP
ORD Sale 756 41.9900 ZAR
ORD Sale 776 41.4800 ZAR
ORD Sale 788 41.5600 ZAR
ORD Sale 825 41.9600 ZAR
ORD Sale 831 42.3400 ZAR
ORD Sale 877 42.4100 ZAR
ORD Sale 970 41.6800 ZAR
ORD Sale 982 41.4300 ZAR
ORD Sale 1,032 41.4900 ZAR
ORD Sale 1,032 41.5200 ZAR
ORD Sale 1,032 41.5900 ZAR
ORD Sale 1,032 41.8200 ZAR
ORD Sale 1,116 41.9800 ZAR
ORD Sale 1,190 42.0100 ZAR
ORD Sale 1,193 41.8700 ZAR
ORD Sale 1,193 41.9200 ZAR
ORD Sale 1,196 41.7800 ZAR
ORD Sale 1,216 41.7200 ZAR
ORD Sale 1,431 42.0300 ZAR
ORD Sale 1,438 41.9100 ZAR
ORD Sale 1,488 41.8500 ZAR
ORD Sale 1,493 41.9000 ZAR
ORD Sale 1,513 41.5700 ZAR
ORD Sale 1,524 42.3700 ZAR
ORD Sale 1,633 41.7400 ZAR
ORD Sale 1,853 3.3979 GBP
ORD Sale 1,887 42.4200 ZAR
ORD Sale 2,043 41.6400 ZAR
ORD Sale 2,047 42.0600 ZAR
ORD Sale 2,525 41.7500 ZAR
ORD Sale 2,838 41.6200 ZAR
ORD Sale 3,000 42.3000 ZAR
ORD Sale 3,639 41.9300 ZAR
ORD Sale 3,744 42.3100 ZAR
ORD Sale 3,748 41.6500 ZAR
ORD Sale 3,797 41.6300 ZAR
ORD Sale 4,000 41.6100 ZAR
ORD Sale 4,000 41.6900 ZAR
ORD Sale 4,000 41.8900 ZAR
ORD Sale 4,000 41.9500 ZAR
ORD Sale 4,000 42.0400 ZAR
ORD Sale 4,000 42.1200 ZAR
ORD Sale 4,014 41.7700 ZAR
ORD Sale 4,568 41.7100 ZAR
ORD Sale 4,836 41.8600 ZAR
ORD Sale 5,278 41.5500 ZAR
ORD Sale 5,774 41.8400 ZAR
ORD Sale 6,326 41.8000 ZAR
ORD Sale 8,191 42.1100 ZAR
ORD Sale 8,388 42.0500 ZAR
ORD Sale 8,616 3.3923 GBP
ORD Sale 9,000 42.0200 ZAR
ORD Sale 9,500 41.6700 ZAR
ORD Sale 9,957 41.7600 ZAR
ORD Sale 11,329 3.3201 GBP
ORD Sale 11,673 41.7300 ZAR
ORD Sale 11,880 42.2000 ZAR
ORD Sale 14,480 3.3467 GBP
ORD Sale 16,102 3.3606 GBP
ORD Sale 21,197 41.7000 ZAR
ORD Sale 30,163 42.0000 ZAR
ORD Sale 34,299 3.3898 GBP
ORD Sale 53,521 3.3510 GBP
ORD Sale 115,015 3.3545 GBP
ORD Sale 119,872 41.9155 ZAR
ORD Sale 751,530 3.3969 GBP

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD CFD Long 7 43.3757 ZAR
ORD CFD Long 2,640 41.9695 ZAR
ORD CFD Long 8,929 3.3657 GBP
ORD CFD Long 10,000 42.1864 ZAR
ORD CFD Long 33,469 3.3702 GBP
ORD CFD Long 39,896 3.3541 GBP
ORD CFD Long 119,872 41.9070 ZAR
ORD CFD Long 162,303 42.0376 ZAR
ORD CFD Long 204,280 41.8685 ZAR
ORD CFD Long 751,530 3.3969 GBP
ORD CFD Short 7 42.3828 ZAR
ORD CFD Short 163 3.3984 GBP
ORD CFD Short 683 3.3977 GBP
ORD CFD Short 3,210 3.3978 GBP
ORD CFD Short 22,237 3.3598 GBP
ORD CFD Short 25,984 42.2219 ZAR
ORD CFD Short 45,604 3.3588 GBP
ORD CFD Short 46,580 3.3659 GBP
ORD CFD Short 47,815 41.9010 ZAR
ORD CFD Short 88,497 42.0659 ZAR
ORD CFD Short 332,410 3.3678 GBP
ORD CFD Short 336,799 41.8931 ZAR

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(ii) Exercising

Class of relevant security   Product description

e.g. call option

  Number of securities   Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security   Nature of dealing

e.g. subscription, conversion

  Details   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?  

YES

Date of disclosure:  

6 Oct 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 monitoring@disclosure.org.uk. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on +44 (0)20 7638 0129.

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   Barclays PLC.
are being disclosed:  
Name of offeror/offeree in relation to whose INVESTEC PLC
relevant securities this from relates:  

2. OPTIONS AND DERIVATIVES

Class   Product   Writing,   Number   Exercise   Type   Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
      relates      
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 +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

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