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	21 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:		43,765,346		8.07%		46,534,136		8.58%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		2,447,893		0.45%		1,078,286		0.20%
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:
				46,263,239		8.53%		47,612,422		8.78%

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		69		46.7700 ZAR
ORD		Purchase		128		46.5300 ZAR
ORD		Purchase		200		47.0000 ZAR
ORD		Purchase		200		47.4400 ZAR
ORD		Purchase		201		46.9700 ZAR
ORD		Purchase		276		46.9500 ZAR
ORD		Purchase		300		46.9400 ZAR
ORD		Purchase		300		47.6200 ZAR
ORD		Purchase		324		46.4500 ZAR
ORD		Purchase		400		46.5100 ZAR
ORD		Purchase		400		47.2300 ZAR
ORD		Purchase		413		46.4900 ZAR
ORD		Purchase		413		47.6900 ZAR
ORD		Purchase		500		47.1400 ZAR
ORD		Purchase		500		47.2000 ZAR
ORD		Purchase		600		47.3900 ZAR
ORD		Purchase		605		46.8300 ZAR
ORD		Purchase		612		46.3600 ZAR
ORD		Purchase		664		47.4000 ZAR
ORD		Purchase		664		47.4100 ZAR
ORD		Purchase		1,009		46.8400 ZAR
ORD		Purchase		1,033		47.6600 ZAR
ORD		Purchase		1,134		46.7900 ZAR
ORD		Purchase		1,143		47.6700 ZAR
ORD		Purchase		1,160		46.9100 ZAR
ORD		Purchase		1,252		47.5000 ZAR
ORD		Purchase		1,500		46.8200 ZAR
ORD		Purchase		1,500		47.7000 ZAR
ORD		Purchase		1,600		46.9300 ZAR
ORD		Purchase		1,648		3.7114 GBP
ORD		Purchase		1,653		47.9000 ZAR
ORD		Purchase		1,700		47.4500 ZAR
ORD		Purchase		1,720		46.6700 ZAR
ORD		Purchase		1,905		46.8600 ZAR
ORD		Purchase		2,485		46.5900 ZAR
ORD		Purchase		2,485		47.1000 ZAR
ORD		Purchase		2,700		47.6400 ZAR
ORD		Purchase		2,800		47.5700 ZAR
ORD		Purchase		2,863		46.7600 ZAR
ORD		Purchase		2,998		47.8200 ZAR
ORD		Purchase		3,000		46.8700 ZAR
ORD		Purchase		3,037		46.5400 ZAR
ORD		Purchase		3,100		47.7500 ZAR
ORD		Purchase		3,300		46.6000 ZAR
ORD		Purchase		3,300		47.9100 ZAR
ORD		Purchase		4,000		46.6100 ZAR
ORD		Purchase		4,000		47.0100 ZAR
ORD		Purchase		4,000		47.5900 ZAR
ORD		Purchase		4,199		3.7350 GBP
ORD		Purchase		5,000		46.7200 ZAR
ORD		Purchase		5,000		47.1500 ZAR
ORD		Purchase		5,003		46.8100 ZAR
ORD		Purchase		5,154		46.5600 ZAR
ORD		Purchase		5,200		46.8800 ZAR
ORD		Purchase		5,290		46.7800 ZAR
ORD		Purchase		5,332		3.6933 GBP
ORD		Purchase		5,600		46.6500 ZAR
ORD		Purchase		6,146		3.6667 GBP
ORD		Purchase		6,200		47.5500 ZAR
ORD		Purchase		6,779		46.5800 ZAR
ORD		Purchase		6,784		47.7400 ZAR
ORD		Purchase		7,500		47.0400 ZAR
ORD		Purchase		7,650		3.6930 GBP
ORD		Purchase		8,000		47.5600 ZAR
ORD		Purchase		8,473		46.7500 ZAR
ORD		Purchase		9,027		46.8500 ZAR
ORD		Purchase		9,266		48.2400 ZAR
ORD		Purchase		9,362		46.9900 ZAR
ORD		Purchase		10,591		46.5500 ZAR
ORD		Purchase		12,000		46.6900 ZAR
ORD		Purchase		13,000		46.9600 ZAR
ORD		Purchase		14,010		3.6210 GBP
ORD		Purchase		15,818		46.7000 ZAR
ORD		Purchase		17,784		46.8000 ZAR
ORD		Purchase		18,466		3.6645 GBP
ORD		Purchase		20,257		46.8900 ZAR
ORD		Purchase		31,201		3.6523 GBP
ORD		Purchase		36,404		3.6754 GBP
ORD		Purchase		36,823		47.5400 ZAR
ORD		Purchase		44,364		3.6718 GBP
ORD		Purchase		68,411		3.6717 GBP
ORD		Purchase		95,994		46.7020 ZAR
ORD		Sale		197		46.9700 ZAR
ORD		Sale		200		46.5700 ZAR
ORD		Sale		200		47.4400 ZAR
ORD		Sale		215		46.9300 ZAR
ORD		Sale		248		46.9900 ZAR
ORD		Sale		300		47.6200 ZAR
ORD		Sale		315		47.5000 ZAR
ORD		Sale		400		46.5100 ZAR
ORD		Sale		400		46.9000 ZAR
ORD		Sale		400		47.1000 ZAR
ORD		Sale		413		47.4600 ZAR
ORD		Sale		453		47.0100 ZAR
ORD		Sale		500		3.7290 GBP
ORD		Sale		500		3.7300 GBP
ORD		Sale		500		47.1400 ZAR
ORD		Sale		500		47.4900 ZAR
ORD		Sale		500		47.7000 ZAR
ORD		Sale		500		47.8000 ZAR
ORD		Sale		501		47.3600 ZAR
ORD		Sale		503		47.0400 ZAR
ORD		Sale		600		47.4700 ZAR
ORD		Sale		600		47.4800 ZAR
ORD		Sale		624		46.7000 ZAR
ORD		Sale		671		46.7200 ZAR
ORD		Sale		694		46.6300 ZAR
ORD		Sale		741		46.5600 ZAR
ORD		Sale		800		46.5900 ZAR
ORD		Sale		800		47.3500 ZAR
ORD		Sale		813		46.9500 ZAR
ORD		Sale		813		47.6600 ZAR
ORD		Sale		900		47.9200 ZAR
ORD		Sale		1,064		47.4300 ZAR
ORD		Sale		1,080		46.8700 ZAR
ORD		Sale		1,100		46.6000 ZAR
ORD		Sale		1,221		47.5200 ZAR
ORD		Sale		1,265		3.7297 GBP
ORD		Sale		1,272		46.9100 ZAR
ORD		Sale		1,276		46.7500 ZAR
ORD		Sale		1,347		46.5800 ZAR
ORD		Sale		1,394		48.0000 ZAR
ORD		Sale		1,400		47.5400 ZAR
ORD		Sale		1,400		47.9600 ZAR
ORD		Sale		1,410		47.5300 ZAR
ORD		Sale		1,436		46.6400 ZAR
ORD		Sale		1,500		3.7246 GBP
ORD		Sale		1,500		47.6500 ZAR
ORD		Sale		1,500		47.9700 ZAR
ORD		Sale		1,600		3.7012 GBP
ORD		Sale		1,600		46.6200 ZAR
ORD		Sale		1,698		47.3900 ZAR
ORD		Sale		1,705		46.8100 ZAR
ORD		Sale		1,966		46.8900 ZAR
ORD		Sale		2,086		46.8300 ZAR
ORD		Sale		2,329		47.0000 ZAR
ORD		Sale		2,400		47.4500 ZAR
ORD		Sale		2,400		47.7400 ZAR
ORD		Sale		2,506		46.7400 ZAR
ORD		Sale		2,600		48.0500 ZAR
ORD		Sale		2,612		47.4100 ZAR
ORD		Sale		2,731		46.7900 ZAR
ORD		Sale		2,900		47.9100 ZAR
ORD		Sale		2,998		47.8200 ZAR
ORD		Sale		3,087		46.6900 ZAR
ORD		Sale		3,120		46.6500 ZAR
ORD		Sale		3,310		46.7300 ZAR
ORD		Sale		3,529		46.8400 ZAR
ORD		Sale		4,384		46.8600 ZAR
ORD		Sale		4,406		46.7600 ZAR
ORD		Sale		5,135		3.7323 GBP
ORD		Sale		5,763		47.4000 ZAR
ORD		Sale		5,818		46.8000 ZAR
ORD		Sale		7,463		46.7800 ZAR
ORD		Sale		8,400		3.7003 GBP
ORD		Sale		9,946		3.6847 GBP
ORD		Sale		11,014		46.8800 ZAR
ORD		Sale		12,329		47.9000 ZAR
ORD		Sale		14,010		3.6220 GBP
ORD		Sale		28,614		3.6392 GBP
ORD		Sale		46,648		3.6490 GBP
ORD		Sale		84,043		48.2400 ZAR
ORD		Sale		185,439		3.6499 GBP
ORD		Sale		189,934		3.6414 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		3,318		3.6927 GBP
ORD		CFD		Long		4,906		48.1538 ZAR
ORD		CFD		Long		14,376		3.6861 GBP
ORD		CFD		Long		18,591		47.3874 ZAR
ORD		CFD		Long		21,500		48.2113 ZAR
ORD		CFD		Long		21,985		47.2877 ZAR
ORD		CFD		Long		35,754		3.6346 GBP
ORD		CFD		Long		43,540		47.2760 ZAR
ORD		CFD		Long		48,726		46.9811 ZAR
ORD		CFD		Long		54,750		48.2245 ZAR
ORD		CFD		Long		288,260		3.6317 GBP
ORD		CFD		Long		390,785		46.9665 ZAR
ORD		CFD		Short		413		46.3748 ZAR
ORD		CFD		Short		1,750		46.7335 ZAR
ORD		CFD		Short		6,355		3.6114 GBP
ORD		CFD		Short		8,136		3.6162 GBP
ORD		CFD		Short		8,502		3.6597 GBP
ORD		CFD		Short		18,912		3.7214 GBP
ORD		CFD		Short		27,852		3.6536 GBP
ORD		CFD		Short		95,994		46.7112 ZAR
ORD		CFD		Short		111,967		47.1673 ZAR
ORD		CFD		Short		180,661		46.9846 ZAR
ORD		CFD		Short		213,998		47.5775 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	24 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.