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	10 October 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:		44,292,085		8.17%		46,446,462		8.56%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		6,004,239		1.11%		5,361,195		0.99%
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:
				50,346,324		9.28%		51,807,657		9.55%

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		5		45.0600 ZAR
ORD		Purchase		13		44.0700 ZAR
ORD		Purchase		29		44.1300 ZAR
ORD		Purchase		48		44.1100 ZAR
ORD		Purchase		98		45.2800 ZAR
ORD		Purchase		124		44.9300 ZAR
ORD		Purchase		153		44.8600 ZAR
ORD		Purchase		230		44.1500 ZAR
ORD		Purchase		242		45.1000 ZAR
ORD		Purchase		407		44.0000 ZAR
ORD		Purchase		421		44.8900 ZAR
ORD		Purchase		500		44.9500 ZAR
ORD		Purchase		528		44.2600 ZAR
ORD		Purchase		580		45.2100 ZAR
ORD		Purchase		597		44.0900 ZAR
ORD		Purchase		700		43.9900 ZAR
ORD		Purchase		831		44.2200 ZAR
ORD		Purchase		934		44.9800 ZAR
ORD		Purchase		990		44.2100 ZAR
ORD		Purchase		1,000		3.5808 GBP
ORD		Purchase		1,000		44.7100 ZAR
ORD		Purchase		1,032		44.1700 ZAR
ORD		Purchase		1,173		44.0200 ZAR
ORD		Purchase		1,196		44.2900 ZAR
ORD		Purchase		1,202		44.0600 ZAR
ORD		Purchase		1,238		44.1200 ZAR
ORD		Purchase		1,255		56.2071 ZAR
ORD		Purchase		1,270		44.9400 ZAR
ORD		Purchase		1,385		44.2000 ZAR
ORD		Purchase		1,452		45.0000 ZAR
ORD		Purchase		1,865		44.0100 ZAR
ORD		Purchase		1,962		44.0800 ZAR
ORD		Purchase		1,964		44.1600 ZAR
ORD		Purchase		2,029		45.1600 ZAR
ORD		Purchase		2,066		44.9200 ZAR
ORD		Purchase		2,435		44.3200 ZAR
ORD		Purchase		2,468		44.2700 ZAR
ORD		Purchase		2,600		3.6407 GBP
ORD		Purchase		2,776		44.2500 ZAR
ORD		Purchase		3,343		3.6263 GBP
ORD		Purchase		3,590		45.0100 ZAR
ORD		Purchase		4,000		45.1500 ZAR
ORD		Purchase		4,035		45.0200 ZAR
ORD		Purchase		4,077		44.9100 ZAR
ORD		Purchase		5,843		3.6908 GBP
ORD		Purchase		6,742		3.6228 GBP
ORD		Purchase		10,046		45.1800 ZAR
ORD		Purchase		10,663		44.9900 ZAR
ORD		Purchase		11,512		44.9000 ZAR
ORD		Purchase		14,281		3.6631 GBP
ORD		Purchase		33,054		3.6322 GBP
ORD		Purchase		111,550		3.6292 GBP
ORD		Sale		60		44.5500 ZAR
ORD		Sale		61		44.1300 ZAR
ORD		Sale		85		3.6940 GBP
ORD		Sale		96		45.1800 ZAR
ORD		Sale		98		44.0800 ZAR
ORD		Sale		100		44.0700 ZAR
ORD		Sale		162		45.3000 ZAR
ORD		Sale		175		44.9400 ZAR
ORD		Sale		185		45.1000 ZAR
ORD		Sale		203		44.9600 ZAR
ORD		Sale		215		45.0900 ZAR
ORD		Sale		232		45.1700 ZAR
ORD		Sale		238		44.2300 ZAR
ORD		Sale		240		45.2300 ZAR
ORD		Sale		318		45.1900 ZAR
ORD		Sale		400		44.4000 ZAR
ORD		Sale		400		44.5000 ZAR
ORD		Sale		450		44.0300 ZAR
ORD		Sale		455		44.6400 ZAR
ORD		Sale		479		44.2400 ZAR
ORD		Sale		500		44.2700 ZAR
ORD		Sale		583		44.7000 ZAR
ORD		Sale		600		44.1700 ZAR
ORD		Sale		600		44.3300 ZAR
ORD		Sale		648		44.0900 ZAR
ORD		Sale		684		44.1200 ZAR
ORD		Sale		700		44.5900 ZAR
ORD		Sale		800		44.8600 ZAR
ORD		Sale		826		44.6800 ZAR
ORD		Sale		900		45.1200 ZAR
ORD		Sale		991		45.2000 ZAR
ORD		Sale		1,000		45.2400 ZAR
ORD		Sale		1,033		43.9800 ZAR
ORD		Sale		1,033		44.6100 ZAR
ORD		Sale		1,033		45.2500 ZAR
ORD		Sale		1,075		3.6905 GBP
ORD		Sale		1,079		43.9900 ZAR
ORD		Sale		1,202		44.0600 ZAR
ORD		Sale		1,219		44.0100 ZAR
ORD		Sale		1,233		44.1500 ZAR
ORD		Sale		1,240		44.6200 ZAR
ORD		Sale		1,343		44.8900 ZAR
ORD		Sale		1,402		45.2100 ZAR
ORD		Sale		1,440		44.7700 ZAR
ORD		Sale		1,615		44.7400 ZAR
ORD		Sale		1,790		44.6700 ZAR
ORD		Sale		1,833		44.3400 ZAR
ORD		Sale		1,879		44.0500 ZAR
ORD		Sale		2,014		45.2200 ZAR
ORD		Sale		2,040		44.7300 ZAR
ORD		Sale		2,044		3.5820 GBP
ORD		Sale		2,126		44.2200 ZAR
ORD		Sale		2,172		44.6600 ZAR
ORD		Sale		2,277		44.0000 ZAR
ORD		Sale		2,377		44.1100 ZAR
ORD		Sale		2,429		45.2800 ZAR
ORD		Sale		2,462		44.2100 ZAR
ORD		Sale		2,497		45.2600 ZAR
ORD		Sale		2,500		44.9900 ZAR
ORD		Sale		2,838		44.2000 ZAR
ORD		Sale		2,970		44.9000 ZAR
ORD		Sale		3,015		44.2500 ZAR
ORD		Sale		3,052		45.0000 ZAR
ORD		Sale		3,094		44.1600 ZAR
ORD		Sale		3,102		3.6605 GBP
ORD		Sale		3,139		3.6647 GBP
ORD		Sale		3,202		44.1400 ZAR
ORD		Sale		3,267		3.6089 GBP
ORD		Sale		3,327		44.2600 ZAR
ORD		Sale		4,000		44.3000 ZAR
ORD		Sale		4,210		44.3500 ZAR
ORD		Sale		4,334		45.2700 ZAR
ORD		Sale		4,630		44.9800 ZAR
ORD		Sale		4,704		44.9100 ZAR
ORD		Sale		4,853		45.0100 ZAR
ORD		Sale		4,870		44.3200 ZAR
ORD		Sale		5,009		44.6300 ZAR
ORD		Sale		5,112		44.6000 ZAR
ORD		Sale		5,144		44.7500 ZAR
ORD		Sale		5,843		3.6908 GBP
ORD		Sale		5,924		3.6820 GBP
ORD		Sale		8,116		3.6374 GBP
ORD		Sale		9,171		44.6500 ZAR
ORD		Sale		9,469		45.0200 ZAR
ORD		Sale		10,946		44.1000 ZAR
ORD		Sale		14,405		44.8000 ZAR
ORD		Sale		14,469		3.6871 GBP
ORD		Sale		40,557		3.6619 GBP
ORD		Sale		95,729		3.6459 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		75		3.6884 GBP
ORD		CFD		Long		100		3.6886 GBP
ORD		CFD		Long		1,146		44.1858 ZAR
ORD		CFD		Long		1,700		3.6885 GBP
ORD		CFD		Long		4,419		3.5920 GBP
ORD		CFD		Long		5,287		3.6365 GBP
ORD		CFD		Long		6,924		44.4844 ZAR
ORD		CFD		Long		7,959		44.5666 ZAR
ORD		CFD		Long		11,226		44.7462 ZAR
ORD		CFD		Long		19,289		44.6382 ZAR
ORD		CFD		Long		19,941		3.6431 GBP
ORD		CFD		Long		23,477		3.6424 GBP
ORD		CFD		Long		26,191		44.7608 ZAR
ORD		CFD		Long		66,985		45.0743 ZAR
ORD		CFD		Long		81,737		3.6584 GBP
ORD		CFD		Long		84,417		44.5973 ZAR
ORD		CFD		Short		15		44.0900 ZAR
ORD		CFD		Short		1,255		56.2182 ZAR
ORD		CFD		Short		1,385		44.2000 ZAR
ORD		CFD		Short		1,473		3.5981 GBP
ORD		CFD		Short		2,921		44.7284 ZAR
ORD		CFD		Short		6,389		45.0983 ZAR
ORD		CFD		Short		22,247		3.6210 GBP
ORD		CFD		Short		55,020		44.8604 ZAR
ORD		CFD		Short		87,419		3.6194 GBP
ORD		CFD		Short		157,152		44.6314 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	11 Oct 2011
Contact name:	Â	Geoff Smith
Telephone number:	Â	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].

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.