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	12 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

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)

	Â		Â	Interests			Â	Short Positions
Â		Â		Number	Â	(%)		Number	Â	(%)
(1)		Relevant securities owned
		and/or controlled:		44,094,549		8.13%		46,515,394		8.58%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		5,255,807		0.97%		4,385,713		0.81%
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:
				49,400,356		9.11%		50,901,107		9.38%

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		29		46.0100 ZAR
ORD		Purchase		59		3.7630 GBP
ORD		Purchase		99		46.0800 ZAR
ORD		Purchase		108		46.0900 ZAR
ORD		Purchase		136		45.7500 ZAR
ORD		Purchase		154		46.2700 ZAR
ORD		Purchase		175		45.9800 ZAR
ORD		Purchase		211		45.4200 ZAR
ORD		Purchase		213		45.9200 ZAR
ORD		Purchase		303		45.9000 ZAR
ORD		Purchase		400		3.7600 GBP
ORD		Purchase		400		45.8200 ZAR
ORD		Purchase		419		46.4300 ZAR
ORD		Purchase		427		46.0700 ZAR
ORD		Purchase		471		46.1600 ZAR
ORD		Purchase		507		3.7560 GBP
ORD		Purchase		513		45.0600 ZAR
ORD		Purchase		519		46.2200 ZAR
ORD		Purchase		535		45.8500 ZAR
ORD		Purchase		561		45.9600 ZAR
ORD		Purchase		580		46.0600 ZAR
ORD		Purchase		703		46.4800 ZAR
ORD		Purchase		748		46.2000 ZAR
ORD		Purchase		760		46.0200 ZAR
ORD		Purchase		864		46.3300 ZAR
ORD		Purchase		888		46.5000 ZAR
ORD		Purchase		1,033		46.0400 ZAR
ORD		Purchase		1,033		46.1800 ZAR
ORD		Purchase		1,102		45.7900 ZAR
ORD		Purchase		1,115		45.8300 ZAR
ORD		Purchase		1,153		45.8700 ZAR
ORD		Purchase		1,319		45.7800 ZAR
ORD		Purchase		1,331		46.2600 ZAR
ORD		Purchase		1,365		46.1400 ZAR
ORD		Purchase		1,449		45.8100 ZAR
ORD		Purchase		1,558		45.9900 ZAR
ORD		Purchase		1,590		46.2900 ZAR
ORD		Purchase		1,600		46.2800 ZAR
ORD		Purchase		1,615		46.4400 ZAR
ORD		Purchase		1,653		45.9700 ZAR
ORD		Purchase		1,751		46.2400 ZAR
ORD		Purchase		1,976		46.3400 ZAR
ORD		Purchase		2,000		44.9800 ZAR
ORD		Purchase		2,000		45.9300 ZAR
ORD		Purchase		2,100		46.4100 ZAR
ORD		Purchase		2,159		46.0300 ZAR
ORD		Purchase		2,267		45.9500 ZAR
ORD		Purchase		2,492		46.3000 ZAR
ORD		Purchase		2,520		45.7400 ZAR
ORD		Purchase		2,526		46.4600 ZAR
ORD		Purchase		2,546		46.3100 ZAR
ORD		Purchase		2,788		3.7655 GBP
ORD		Purchase		2,930		45.8800 ZAR
ORD		Purchase		2,932		45.8600 ZAR
ORD		Purchase		3,179		46.0500 ZAR
ORD		Purchase		3,290		46.4700 ZAR
ORD		Purchase		5,019		46.3200 ZAR
ORD		Purchase		5,207		3.7650 GBP
ORD		Purchase		6,024		45.8400 ZAR
ORD		Purchase		6,120		46.2300 ZAR
ORD		Purchase		7,763		45.8000 ZAR
ORD		Purchase		10,097		3.7541 GBP
ORD		Purchase		15,860		3.7611 GBP
ORD		Purchase		16,651		3.7383 GBP
ORD		Purchase		17,209		3.7329 GBP
ORD		Purchase		20,152		3.7237 GBP
ORD		Purchase		111,845		3.7231 GBP
ORD		Purchase		240,906		3.7228 GBP
ORD		Sale		50		46.4400 ZAR
ORD		Sale		66		45.9800 ZAR
ORD		Sale		120		45.4300 ZAR
ORD		Sale		200		46.4300 ZAR
ORD		Sale		323		45.4200 ZAR
ORD		Sale		400		44.6800 ZAR
ORD		Sale		403		46.4800 ZAR
ORD		Sale		413		45.2900 ZAR
ORD		Sale		413		45.6900 ZAR
ORD		Sale		413		45.9700 ZAR
ORD		Sale		422		45.4700 ZAR
ORD		Sale		483		45.3300 ZAR
ORD		Sale		500		44.5500 ZAR
ORD		Sale		529		45.1600 ZAR
ORD		Sale		566		45.2200 ZAR
ORD		Sale		600		46.3600 ZAR
ORD		Sale		993		46.0600 ZAR
ORD		Sale		1,000		46.3700 ZAR
ORD		Sale		1,026		45.0300 ZAR
ORD		Sale		1,058		44.6500 ZAR
ORD		Sale		1,076		46.4600 ZAR
ORD		Sale		1,103		46.3100 ZAR
ORD		Sale		1,112		46.0200 ZAR
ORD		Sale		1,262		46.0500 ZAR
ORD		Sale		1,280		45.9000 ZAR
ORD		Sale		1,306		46.1000 ZAR
ORD		Sale		1,320		46.0400 ZAR
ORD		Sale		1,324		3.6749 GBP
ORD		Sale		1,444		45.8500 ZAR
ORD		Sale		1,500		44.8900 ZAR
ORD		Sale		1,534		45.5100 ZAR
ORD		Sale		1,757		44.7000 ZAR
ORD		Sale		1,798		45.9400 ZAR
ORD		Sale		1,887		46.3800 ZAR
ORD		Sale		1,900		46.2800 ZAR
ORD		Sale		1,974		44.5900 ZAR
ORD		Sale		2,000		44.6100 ZAR
ORD		Sale		2,188		46.4000 ZAR
ORD		Sale		2,215		46.0100 ZAR
ORD		Sale		2,284		44.7500 ZAR
ORD		Sale		2,392		45.9100 ZAR
ORD		Sale		2,551		46.1300 ZAR
ORD		Sale		2,600		46.4500 ZAR
ORD		Sale		2,729		46.3300 ZAR
ORD		Sale		2,906		46.4200 ZAR
ORD		Sale		3,000		46.2600 ZAR
ORD		Sale		3,133		45.8900 ZAR
ORD		Sale		3,134		45.7600 ZAR
ORD		Sale		3,219		45.9200 ZAR
ORD		Sale		3,458		46.3400 ZAR
ORD		Sale		3,588		3.7635 GBP
ORD		Sale		3,768		45.8700 ZAR
ORD		Sale		3,854		45.9600 ZAR
ORD		Sale		3,900		46.2900 ZAR
ORD		Sale		4,000		44.7200 ZAR
ORD		Sale		4,000		44.8600 ZAR
ORD		Sale		4,033		46.0700 ZAR
ORD		Sale		4,119		45.1700 ZAR
ORD		Sale		4,120		44.9000 ZAR
ORD		Sale		4,221		45.7700 ZAR
ORD		Sale		4,428		45.7500 ZAR
ORD		Sale		4,697		45.7900 ZAR
ORD		Sale		5,100		44.5600 ZAR
ORD		Sale		5,312		45.8800 ZAR
ORD		Sale		5,650		45.0000 ZAR
ORD		Sale		6,489		45.9900 ZAR
ORD		Sale		6,754		44.6200 ZAR
ORD		Sale		7,544		45.8100 ZAR
ORD		Sale		8,212		45.8600 ZAR
ORD		Sale		8,364		45.8200 ZAR
ORD		Sale		9,198		46.0000 ZAR
ORD		Sale		10,591		44.6000 ZAR
ORD		Sale		11,532		45.8300 ZAR
ORD		Sale		12,683		45.8400 ZAR
ORD		Sale		15,256		3.7574 GBP
ORD		Sale		16,070		45.7800 ZAR
ORD		Sale		17,188		3.7179 GBP
ORD		Sale		24,160		3.7260 GBP
ORD		Sale		24,988		45.9500 ZAR
ORD		Sale		25,669		3.7355 GBP
ORD		Sale		43,879		45.8000 ZAR
ORD		Sale		67,163		46.3900 ZAR
ORD		Sale		76,550		3.7230 GBP
ORD		Sale		104,737		45.6531 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		303		3.7476 GBP
ORD		CFD		Long		422		45.4554 ZAR
ORD		CFD		Long		3,697		3.6489 GBP
ORD		CFD		Long		3,963		45.4164 ZAR
ORD		CFD		Long		5,148		3.6717 GBP
ORD		CFD		Long		35,508		3.7324 GBP
ORD		CFD		Long		43,898		45.9519 ZAR
ORD		CFD		Long		47,911		45.6558 ZAR
ORD		CFD		Long		60,016		45.8705 ZAR
ORD		CFD		Long		104,737		45.6439 ZAR
ORD		CFD		Long		179,401		45.6245 ZAR
ORD		CFD		Short		422		46.0047 ZAR
ORD		CFD		Short		471		46.1747 ZAR
ORD		CFD		Short		1,366		3.7650 GBP
ORD		CFD		Short		2,513		45.0107 ZAR
ORD		CFD		Short		3,000		3.7446 GBP
ORD		CFD		Short		4,197		3.7375 GBP
ORD		CFD		Short		40,492		46.0097 ZAR
ORD		CFD		Short		44,839		3.7383 GBP
ORD		CFD		Short		284,138		3.7184 GBP
ORD		CFD		Short		396,450		45.6702 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:	Â	13 October 2011
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.

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.