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)	Â	Identity of the person whose positions/dealings	Â	Barclays PLC.
Â		are being disclosed:		Â
(b)		Owner or controller of interest and short
Â		positions disclosed, if different from 1(a):		Â
(c)		Name of offeror/offeree in relation to whose		INVESTEC PLC
Â		relevant securities this form relates:		Â
(d)		If an exempt fund manager connected with an
		offeror/offeree, state this and specify identity of
Â		offeror/offeree:		Â
(e)		Date position held/dealing undertaken:		14 October 2011
(f)		Has the discloser previously disclosed, or are		YES:
		they today disclosing, under the Code in respect		EVOLUTION GROUP PLC
Â		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:	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:		44,028,390		8.12%		46,559,815		8.58%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		3,797,773		0.70%		2,714,789		0.50%
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:
				47,876,163		8.83%		49,274,604		9.08%

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		272		45.7700 ZAR
ORD		Purchase		717		45.8800 ZAR
ORD		Purchase		740		46.0400 ZAR
ORD		Purchase		861		45.9000 ZAR
ORD		Purchase		900		45.6900 ZAR
ORD		Purchase		900		45.7900 ZAR
ORD		Purchase		1,000		3.6870 GBP
ORD		Purchase		1,033		45.8300 ZAR
ORD		Purchase		1,066		46.0200 ZAR
ORD		Purchase		1,074		45.8500 ZAR
ORD		Purchase		1,077		46.0500 ZAR
ORD		Purchase		1,118		46.1000 ZAR
ORD		Purchase		1,147		45.6300 ZAR
ORD		Purchase		1,186		3.6736 GBP
ORD		Purchase		1,294		46.0000 ZAR
ORD		Purchase		1,479		45.7000 ZAR
ORD		Purchase		1,904		45.9500 ZAR
ORD		Purchase		2,000		45.7500 ZAR
ORD		Purchase		15,653		3.6769 GBP
ORD		Purchase		19,025		3.6880 GBP
ORD		Purchase		19,861		3.6823 GBP
ORD		Purchase		98,422		3.6818 GBP
ORD		Purchase		209,921		3.6827 GBP
ORD		Sale		99		3.6778 GBP
ORD		Sale		206		45.5400 ZAR
ORD		Sale		218		45.7200 ZAR
ORD		Sale		228		3.6780 GBP
ORD		Sale		320		45.8700 ZAR
ORD		Sale		400		45.3600 ZAR
ORD		Sale		400		45.4900 ZAR
ORD		Sale		405		3.6775 GBP
ORD		Sale		413		45.9400 ZAR
ORD		Sale		413		45.9600 ZAR
ORD		Sale		413		45.9700 ZAR
ORD		Sale		584		45.7800 ZAR
ORD		Sale		599		45.4300 ZAR
ORD		Sale		610		45.4400 ZAR
ORD		Sale		645		45.8900 ZAR
ORD		Sale		681		45.3300 ZAR
ORD		Sale		855		45.7700 ZAR
ORD		Sale		936		45.6100 ZAR
ORD		Sale		1,000		45.2900 ZAR
ORD		Sale		1,000		45.5500 ZAR
ORD		Sale		1,037		45.8800 ZAR
ORD		Sale		1,113		3.6803 GBP
ORD		Sale		1,125		45.6500 ZAR
ORD		Sale		1,200		46.0600 ZAR
ORD		Sale		1,300		45.9100 ZAR
ORD		Sale		1,307		45.4500 ZAR
ORD		Sale		1,353		45.4000 ZAR
ORD		Sale		1,500		45.4700 ZAR
ORD		Sale		1,652		45.9300 ZAR
ORD		Sale		1,653		45.6300 ZAR
ORD		Sale		2,477		3.6755 GBP
ORD		Sale		3,146		45.9500 ZAR
ORD		Sale		3,157		45.3700 ZAR
ORD		Sale		3,188		3.6693 GBP
ORD		Sale		3,226		45.7500 ZAR
ORD		Sale		3,378		45.5200 ZAR
ORD		Sale		3,815		45.8100 ZAR
ORD		Sale		3,950		3.6790 GBP
ORD		Sale		4,000		45.4600 ZAR
ORD		Sale		4,000		45.5900 ZAR
ORD		Sale		4,415		45.2800 ZAR
ORD		Sale		4,500		45.4200 ZAR
ORD		Sale		4,704		45.8200 ZAR
ORD		Sale		4,957		45.3500 ZAR
ORD		Sale		5,047		45.7900 ZAR
ORD		Sale		5,183		45.7000 ZAR
ORD		Sale		5,340		45.7600 ZAR
ORD		Sale		5,450		3.6851 GBP
ORD		Sale		5,834		45.6900 ZAR
ORD		Sale		6,110		45.7300 ZAR
ORD		Sale		6,169		45.3400 ZAR
ORD		Sale		6,385		45.5800 ZAR
ORD		Sale		7,200		45.2400 ZAR
ORD		Sale		8,319		3.6859 GBP
ORD		Sale		9,000		45.6200 ZAR
ORD		Sale		9,732		3.6767 GBP
ORD		Sale		10,019		45.6800 ZAR
ORD		Sale		10,107		3.6873 GBP
ORD		Sale		13,504		45.5700 ZAR
ORD		Sale		17,026		45.8000 ZAR
ORD		Sale		17,376		3.6821 GBP
ORD		Sale		20,782		45.8500 ZAR
ORD		Sale		25,924		3.6776 GBP
ORD		Sale		52,372		3.6777 GBP
ORD		Sale		74,475		45.6428 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		1,080		45.9352 ZAR
ORD		CFD		Long		1,661		45.8353 ZAR
ORD		CFD		Long		1,901		3.6705 GBP
ORD		CFD		Long		2,676		3.6757 GBP
ORD		CFD		Long		3,372		3.6708 GBP
ORD		CFD		Long		3,524		3.6902 GBP
ORD		CFD		Long		13,763		3.6750 GBP
ORD		CFD		Long		14,017		45.8316 ZAR
ORD		CFD		Long		14,284		45.8909 ZAR
ORD		CFD		Long		21,473		3.6787 GBP
ORD		CFD		Long		36,739		45.4066 ZAR
ORD		CFD		Long		74,475		45.6335 ZAR
ORD		CFD		Long		118,106		45.6561 ZAR
ORD		CFD		Short		900		45.7046 ZAR
ORD		CFD		Short		1,147		45.6446 ZAR
ORD		CFD		Short		1,572		46.0084 ZAR
ORD		CFD		Short		1,805		3.7079 GBP
ORD		CFD		Short		1,981		46.0539 ZAR
ORD		CFD		Short		2,546		45.8797 ZAR
ORD		CFD		Short		6,138		45.8955 ZAR
ORD		CFD		Short		14,826		3.6831 GBP
ORD		CFD		Short		24,340		3.6923 GBP
ORD		CFD		Short		189,930		3.6815 GBP
ORD		CFD		Short		246,078		45.6258 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	17 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 the person whose positions/dealings	Â	Barclays PLC.
are being disclosed:		Â
Name of offeror/offeree in relation to whose		INVESTEC PLC
relevant securities this from relates:		Â

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.