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	13 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		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		43,997,059		8.11%		46,513,202		8.58%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		4,204,360		0.78%		3,168,978		0.58%
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:
				48,251,419		8.90%		49,682,180		9.16%

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		74		45.3800 ZAR
ORD		Purchase		74		46.4600 ZAR
ORD		Purchase		92		45.7100 ZAR
ORD		Purchase		147		46.0400 ZAR
ORD		Purchase		151		45.9300 ZAR
ORD		Purchase		184		45.4000 ZAR
ORD		Purchase		211		45.8600 ZAR
ORD		Purchase		275		46.4200 ZAR
ORD		Purchase		326		45.4100 ZAR
ORD		Purchase		335		45.5800 ZAR
ORD		Purchase		373		46.1200 ZAR
ORD		Purchase		416		45.5300 ZAR
ORD		Purchase		500		3.7650 GBP
ORD		Purchase		500		45.5600 ZAR
ORD		Purchase		500		45.7900 ZAR
ORD		Purchase		540		46.0500 ZAR
ORD		Purchase		579		46.1600 ZAR
ORD		Purchase		596		3.6735 GBP
ORD		Purchase		600		45.5700 ZAR
ORD		Purchase		685		45.8300 ZAR
ORD		Purchase		700		45.6400 ZAR
ORD		Purchase		760		45.9500 ZAR
ORD		Purchase		762		46.0100 ZAR
ORD		Purchase		800		45.6100 ZAR
ORD		Purchase		900		45.5000 ZAR
ORD		Purchase		1,000		45.4800 ZAR
ORD		Purchase		1,043		45.9100 ZAR
ORD		Purchase		1,100		45.6300 ZAR
ORD		Purchase		1,100		45.8000 ZAR
ORD		Purchase		1,100		45.9600 ZAR
ORD		Purchase		1,170		3.6600 GBP
ORD		Purchase		1,249		46.0300 ZAR
ORD		Purchase		1,300		46.4000 ZAR
ORD		Purchase		1,438		3.6628 GBP
ORD		Purchase		1,614		46.2900 ZAR
ORD		Purchase		1,651		3.7229 GBP
ORD		Purchase		1,665		45.5900 ZAR
ORD		Purchase		1,713		46.0000 ZAR
ORD		Purchase		1,725		45.4700 ZAR
ORD		Purchase		1,750		3.7003 GBP
ORD		Purchase		1,817		45.7300 ZAR
ORD		Purchase		2,066		46.2500 ZAR
ORD		Purchase		2,243		45.7800 ZAR
ORD		Purchase		2,317		45.9700 ZAR
ORD		Purchase		2,678		45.7700 ZAR
ORD		Purchase		2,685		45.8100 ZAR
ORD		Purchase		2,752		46.0800 ZAR
ORD		Purchase		2,777		45.6700 ZAR
ORD		Purchase		2,795		45.8500 ZAR
ORD		Purchase		2,833		46.0700 ZAR
ORD		Purchase		2,978		45.8200 ZAR
ORD		Purchase		3,183		45.9800 ZAR
ORD		Purchase		3,211		45.6200 ZAR
ORD		Purchase		3,415		45.6900 ZAR
ORD		Purchase		3,416		45.6500 ZAR
ORD		Purchase		3,500		3.6764 GBP
ORD		Purchase		3,810		45.7200 ZAR
ORD		Purchase		3,896		46.1000 ZAR
ORD		Purchase		4,060		45.9900 ZAR
ORD		Purchase		4,273		46.1100 ZAR
ORD		Purchase		4,456		45.6000 ZAR
ORD		Purchase		4,900		3.7546 GBP
ORD		Purchase		5,325		3.7538 GBP
ORD		Purchase		5,800		45.6600 ZAR
ORD		Purchase		6,501		45.6800 ZAR
ORD		Purchase		7,571		3.6718 GBP
ORD		Purchase		7,717		45.7500 ZAR
ORD		Purchase		7,741		45.7400 ZAR
ORD		Purchase		8,445		45.7600 ZAR
ORD		Purchase		9,929		46.0200 ZAR
ORD		Purchase		16,746		3.6900 GBP
ORD		Purchase		17,133		45.7000 ZAR
ORD		Purchase		26,061		3.6982 GBP
ORD		Purchase		28,470		3.6701 GBP
ORD		Purchase		46,129		3.6979 GBP
ORD		Purchase		257,326		3.6986 GBP
ORD		Purchase		271,598		3.7000 GBP
ORD		Sale		150		46.4500 ZAR
ORD		Sale		275		46.4200 ZAR
ORD		Sale		369		45.6000 ZAR
ORD		Sale		481		46.0400 ZAR
ORD		Sale		600		46.1600 ZAR
ORD		Sale		625		46.3900 ZAR
ORD		Sale		736		45.5600 ZAR
ORD		Sale		818		45.5000 ZAR
ORD		Sale		831		46.1100 ZAR
ORD		Sale		849		45.4700 ZAR
ORD		Sale		934		45.4000 ZAR
ORD		Sale		970		45.9900 ZAR
ORD		Sale		1,013		3.7022 GBP
ORD		Sale		1,226		45.5100 ZAR
ORD		Sale		1,448		45.6400 ZAR
ORD		Sale		1,500		46.0200 ZAR
ORD		Sale		1,665		45.5900 ZAR
ORD		Sale		1,727		45.8300 ZAR
ORD		Sale		1,764		46.0700 ZAR
ORD		Sale		1,799		45.8900 ZAR
ORD		Sale		2,032		46.4000 ZAR
ORD		Sale		2,368		45.6700 ZAR
ORD		Sale		2,393		45.6900 ZAR
ORD		Sale		2,407		46.3600 ZAR
ORD		Sale		2,465		45.5800 ZAR
ORD		Sale		2,622		45.5700 ZAR
ORD		Sale		2,740		45.6500 ZAR
ORD		Sale		2,885		45.6200 ZAR
ORD		Sale		2,942		45.9000 ZAR
ORD		Sale		2,997		3.7074 GBP
ORD		Sale		3,249		46.2900 ZAR
ORD		Sale		3,259		3.6997 GBP
ORD		Sale		3,324		45.8100 ZAR
ORD		Sale		3,355		45.9600 ZAR
ORD		Sale		3,378		45.9700 ZAR
ORD		Sale		3,424		3.6970 GBP
ORD		Sale		3,482		46.0900 ZAR
ORD		Sale		3,754		45.7300 ZAR
ORD		Sale		3,883		3.6831 GBP
ORD		Sale		4,000		45.8700 ZAR
ORD		Sale		4,130		46.2300 ZAR
ORD		Sale		4,349		45.6100 ZAR
ORD		Sale		4,423		45.5200 ZAR
ORD		Sale		4,600		46.0300 ZAR
ORD		Sale		4,668		45.7200 ZAR
ORD		Sale		4,718		3.6869 GBP
ORD		Sale		4,819		45.9500 ZAR
ORD		Sale		5,000		46.0500 ZAR
ORD		Sale		5,350		45.9800 ZAR
ORD		Sale		5,561		45.7400 ZAR
ORD		Sale		5,674		46.0800 ZAR
ORD		Sale		5,748		45.7800 ZAR
ORD		Sale		5,978		45.8400 ZAR
ORD		Sale		6,180		45.8500 ZAR
ORD		Sale		6,273		46.2700 ZAR
ORD		Sale		6,409		46.0100 ZAR
ORD		Sale		6,418		45.6800 ZAR
ORD		Sale		7,841		45.7000 ZAR
ORD		Sale		8,345		45.8200 ZAR
ORD		Sale		9,123		45.6300 ZAR
ORD		Sale		9,151		45.5300 ZAR
ORD		Sale		10,059		45.7100 ZAR
ORD		Sale		10,711		46.0000 ZAR
ORD		Sale		11,616		45.7900 ZAR
ORD		Sale		14,731		45.8800 ZAR
ORD		Sale		16,555		45.8000 ZAR
ORD		Sale		19,101		46.1000 ZAR
ORD		Sale		19,662		45.6600 ZAR
ORD		Sale		24,411		45.7700 ZAR
ORD		Sale		28,656		3.7110 GBP
ORD		Sale		32,712		3.6899 GBP
ORD		Sale		35,547		45.7500 ZAR
ORD		Sale		37,931		3.7017 GBP
ORD		Sale		39,751		45.7600 ZAR
ORD		Sale		45,215		3.6904 GBP
ORD		Sale		97,892		3.6830 GBP
ORD		Sale		269,502		45.7764 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		1,100		46.1281 ZAR
ORD		CFD		Long		5,135		46.1112 ZAR
ORD		CFD		Long		7,187		45.6884 ZAR
ORD		CFD		Long		10,529		45.6417 ZAR
ORD		CFD		Long		13,044		3.6835 GBP
ORD		CFD		Long		26,267		3.6888 GBP
ORD		CFD		Long		35,850		3.6801 GBP
ORD		CFD		Long		61,453		45.8004 ZAR
ORD		CFD		Long		62,151		45.9260 ZAR
ORD		CFD		Long		78,621		45.7637 ZAR
ORD		CFD		Long		212,053		45.8027 ZAR
ORD		CFD		Long		269,502		45.7672 ZAR
ORD		CFD		Short		1,809		3.7609 GBP
ORD		CFD		Short		2,000		45.6946 ZAR
ORD		CFD		Short		2,568		3.6511 GBP
ORD		CFD		Short		9,724		46.0648 ZAR
ORD		CFD		Short		14,393		45.6987 ZAR
ORD		CFD		Short		17,501		45.8029 ZAR
ORD		CFD		Short		17,835		45.7315 ZAR
ORD		CFD		Short		490,321		3.7005 GBP
ORD		CFD		Short		646,278		45.7950 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	14 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].

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.