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	19 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:		43,907,548		8.09%		46,462,160		8.57%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		2,433,558		0.45%		1,286,331		0.24%
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:
				46,391,106		8.55%		47,748,491		8.80%

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		91		46.6100 ZAR
ORD		Purchase		129		46.7600 ZAR
ORD		Purchase		363		45.8000 ZAR
ORD		Purchase		381		45.7100 ZAR
ORD		Purchase		394		45.9200 ZAR
ORD		Purchase		400		46.5900 ZAR
ORD		Purchase		513		46.6400 ZAR
ORD		Purchase		550		45.7800 ZAR
ORD		Purchase		700		46.6300 ZAR
ORD		Purchase		1,165		46.3100 ZAR
ORD		Purchase		1,200		45.7500 ZAR
ORD		Purchase		1,203		46.7400 ZAR
ORD		Purchase		1,216		45.6800 ZAR
ORD		Purchase		1,252		46.5700 ZAR
ORD		Purchase		1,672		46.6500 ZAR
ORD		Purchase		1,739		46.6000 ZAR
ORD		Purchase		1,866		46.5200 ZAR
ORD		Purchase		1,925		3.6474 GBP
ORD		Purchase		2,019		3.6487 GBP
ORD		Purchase		2,826		45.7200 ZAR
ORD		Purchase		3,700		3.6775 GBP
ORD		Purchase		3,901		46.6200 ZAR
ORD		Purchase		4,000		46.7100 ZAR
ORD		Purchase		4,188		45.7600 ZAR
ORD		Purchase		4,350		45.9000 ZAR
ORD		Purchase		7,897		45.7900 ZAR
ORD		Purchase		8,011		45.7000 ZAR
ORD		Purchase		8,416		3.6516 GBP
ORD		Purchase		13,140		3.6465 GBP
ORD		Purchase		16,179		3.6800 GBP
ORD		Purchase		27,380		3.6757 GBP
ORD		Purchase		31,830		46.4000 ZAR
ORD		Purchase		37,990		3.6949 GBP
ORD		Purchase		44,477		3.6743 GBP
ORD		Purchase		117,536		3.6875 GBP
ORD		Purchase		225,342		3.6881 GBP
ORD		Sale		10		46.1400 ZAR
ORD		Sale		59		45.8900 ZAR
ORD		Sale		97		45.9600 ZAR
ORD		Sale		323		45.6500 ZAR
ORD		Sale		390		45.9000 ZAR
ORD		Sale		413		46.0900 ZAR
ORD		Sale		413		46.5500 ZAR
ORD		Sale		446		3.6877 GBP
ORD		Sale		500		46.5600 ZAR
ORD		Sale		564		45.8000 ZAR
ORD		Sale		628		46.6700 ZAR
ORD		Sale		700		46.5100 ZAR
ORD		Sale		724		46.7800 ZAR
ORD		Sale		745		46.6600 ZAR
ORD		Sale		858		45.6900 ZAR
ORD		Sale		945		46.5900 ZAR
ORD		Sale		983		46.0000 ZAR
ORD		Sale		1,033		46.3400 ZAR
ORD		Sale		1,064		46.5300 ZAR
ORD		Sale		1,125		46.7600 ZAR
ORD		Sale		1,399		46.4800 ZAR
ORD		Sale		1,488		45.7500 ZAR
ORD		Sale		1,533		46.5800 ZAR
ORD		Sale		1,541		3.6843 GBP
ORD		Sale		1,638		45.7100 ZAR
ORD		Sale		1,943		45.7400 ZAR
ORD		Sale		1,971		45.7900 ZAR
ORD		Sale		1,991		45.9400 ZAR
ORD		Sale		2,010		45.8800 ZAR
ORD		Sale		2,012		46.2100 ZAR
ORD		Sale		2,581		3.6892 GBP
ORD		Sale		2,676		45.8400 ZAR
ORD		Sale		3,094		46.6300 ZAR
ORD		Sale		3,151		46.7200 ZAR
ORD		Sale		3,191		46.6200 ZAR
ORD		Sale		3,380		3.6586 GBP
ORD		Sale		3,906		45.6700 ZAR
ORD		Sale		4,013		3.6645 GBP
ORD		Sale		4,370		3.6753 GBP
ORD		Sale		4,500		46.5200 ZAR
ORD		Sale		4,521		45.7700 ZAR
ORD		Sale		4,552		45.7600 ZAR
ORD		Sale		4,932		45.7000 ZAR
ORD		Sale		5,271		46.7500 ZAR
ORD		Sale		5,829		3.6766 GBP
ORD		Sale		6,718		46.7400 ZAR
ORD		Sale		7,671		3.6848 GBP
ORD		Sale		8,900		3.6889 GBP
ORD		Sale		9,066		46.5700 ZAR
ORD		Sale		9,090		46.6400 ZAR
ORD		Sale		9,165		46.3100 ZAR
ORD		Sale		9,505		46.6800 ZAR
ORD		Sale		9,680		3.6757 GBP
ORD		Sale		12,811		46.3000 ZAR
ORD		Sale		13,152		46.6500 ZAR
ORD		Sale		14,776		46.6000 ZAR
ORD		Sale		16,487		46.6100 ZAR
ORD		Sale		17,877		46.7300 ZAR
ORD		Sale		19,313		3.6876 GBP
ORD		Sale		20,756		3.6570 GBP
ORD		Sale		26,239		46.7100 ZAR
ORD		Sale		28,684		46.6900 ZAR
ORD		Sale		30,463		3.6850 GBP
ORD		Sale		34,660		3.6799 GBP
ORD		Sale		36,585		46.7000 ZAR
ORD		Sale		50,887		3.6642 GBP
ORD		Sale		144,481		46.6393 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		1,889		3.6595 GBP
ORD		CFD		Long		2,720		46.6899 ZAR
ORD		CFD		Long		4,760		3.6891 GBP
ORD		CFD		Long		6,010		46.6454 ZAR
ORD		CFD		Long		6,875		46.6825 ZAR
ORD		CFD		Long		14,602		3.6643 GBP
ORD		CFD		Long		19,251		3.6759 GBP
ORD		CFD		Long		33,344		46.4867 ZAR
ORD		CFD		Long		55,582		46.5564 ZAR
ORD		CFD		Long		69,755		46.2060 ZAR
ORD		CFD		Long		144,481		46.6299 ZAR
ORD		CFD		Long		149,342		46.5814 ZAR
ORD		CFD		Short		678		3.6893 GBP
ORD		CFD		Short		700		46.6449 ZAR
ORD		CFD		Short		2,827		3.6944 GBP
ORD		CFD		Short		6,183		46.1380 ZAR
ORD		CFD		Short		8,289		46.5892 ZAR
ORD		CFD		Short		8,620		3.6697 GBP
ORD		CFD		Short		20,702		46.4185 ZAR
ORD		CFD		Short		30,723		3.6730 GBP
ORD		CFD		Short		33,881		45.9938 ZAR
ORD		CFD		Short		296,086		3.6925 GBP
ORD		CFD		Short		398,354		46.5921 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	20 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.