REG-BARCLAYS PLC Form 8.3 - Sophos Group plc

BarclaysAnnouncement

18/10/2019 13:20

Form 8.3 - Sophos Group 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)
Full name of discloser:
Barclays PLC.


 
 


(b)
Owner or controller of interest and short
 


 
positions disclosed, if different from 1(a):


(c)
Name of offeror/offeree in relation to whose
SOPHOS GROUP PLC


 
relevant securities this form relates:


(d)
If an exempt fund manager connected with an
 


 
offeror/offeree, state this and specify identity of


 
offeror/offeree:


(e)
Date position held/dealing undertaken:

17 October 2019




(f)
In addition to the company in 1(c) above, is the discloser making 
NO


 
disclosures in respect of any other party to the offer?
 


2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

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.

(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:
3p ordinary
 
 


 
Interests
Short Positions


 

Number



(%)



Number



(%)





(1)


Relevant securities owned

 



 



 



 





and/or controlled:

16,513,299



3.38%



1,961,968



0.40%




 

 



 



 



 





(2)


Cash-settled derivatives:

 



 



 



 





 

208,270



0.04%



13,274,308



2.72%




 

 



 



 



 





(3)


Stock-settled derivatives (including options) 

 



 



 



 





and agreements to purchase/sell:

0



0.00%



0



0.00%




 

 



 



 



 





 

 



 



 



 





TOTAL:

16,721,569



3.43%



15,236,276



3.12%






 



 



 



 




All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), 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 employee options)



Class of relevant security in relation to which subscription right exists:



 





Details, including nature of the rights concerned and relevant percentages:



 




3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

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.

The currency of all prices and other monetary amounts should be stated.

(a) Purchases and sales


Class of relevant

Purchase/sale



Number of



Price per unit




security

 



securities



 




3p ordinary

Purchase



529



5.6980   GBP




3p ordinary

Purchase



573



5.6720   GBP




3p ordinary

Purchase



585



5.6920   GBP




3p ordinary

Purchase



608



5.6761   GBP




3p ordinary

Purchase



612



5.7040   GBP




3p ordinary

Purchase



715



5.6730   GBP




3p ordinary

Purchase



1,000



5.7020   GBP




3p ordinary

Purchase



1,360



5.6684   GBP




3p ordinary

Purchase



1,452



5.6834   GBP




3p ordinary

Purchase



1,969



5.6676   GBP




3p ordinary

Purchase



2,058



5.6649   GBP




3p ordinary

Purchase



2,237



5.6620   GBP




3p ordinary

Purchase



4,980



5.6768   GBP




3p ordinary

Purchase



6,768



5.6780   GBP




3p ordinary

Purchase



6,903



5.6607   GBP




3p ordinary

Purchase



8,607



5.6692   GBP




3p ordinary

Purchase



9,750



5.6513   GBP




3p ordinary

Purchase



11,040



5.6617   GBP




3p ordinary

Purchase



22,097



5.6711   GBP




3p ordinary

Purchase



59,568



5.6612   GBP




3p ordinary

Purchase



61,326



5.6950   GBP




3p ordinary

Purchase



100,798



5.6726   GBP




3p ordinary

Purchase



166,406



5.6821   GBP




3p ordinary

Purchase



184,377



5.6835   GBP




3p ordinary

Purchase



299,612



5.6912   GBP




3p ordinary

Purchase



354,943



5.6685   GBP




3p ordinary

Purchase



443,293



5.6797   GBP




3p ordinary

Purchase



710,876



5.6895   GBP




3p ordinary

Purchase



846,176



5.6833   GBP




3p ordinary

Sale



89



5.7020   GBP




3p ordinary

Sale



375



5.6320   GBP




3p ordinary

Sale



529



5.6980   GBP




3p ordinary

Sale



585



5.6920   GBP




3p ordinary

Sale



612



5.7040   GBP




3p ordinary

Sale



642



5.6270   GBP




3p ordinary

Sale



715



5.6730   GBP




3p ordinary

Sale



1,000



5.6955   GBP




3p ordinary

Sale



1,252



5.6780   GBP




3p ordinary

Sale



3,094



5.6620   GBP




3p ordinary

Sale



5,307



5.6578   GBP




3p ordinary

Sale



8,728



5.6715   GBP




3p ordinary

Sale



10,672



5.6966   GBP




3p ordinary

Sale



13,449



5.6769   GBP




3p ordinary

Sale



13,554



5.6648   GBP




3p ordinary

Sale



14,810



5.6682   GBP




3p ordinary

Sale



32,448



5.6880   GBP




3p ordinary

Sale



51,146



5.6535   GBP




3p ordinary

Sale



58,129



5.7001   GBP




3p ordinary

Sale



113,883



5.6455   GBP




3p ordinary

Sale



122,479



5.6675   GBP




3p ordinary

Sale



186,820



5.6700   GBP




3p ordinary

Sale



250,000



5.7529   GBP




(b) Cash-settled derivative transactions


Class of

Product



Nature of dealing



Number of



Price per




relevant

description



 



reference



unit




security

 



 



securities



 




3p ordinary

  SWAP  



Long



1,000



5.6955   GBP




3p ordinary

  SWAP  



Long



2,270



5.6791   GBP




3p ordinary

  SWAP  



Long



3,418



5.6754   GBP




3p ordinary

  CFD  



Long



4,609



5.6316   GBP




3p ordinary

  CFD  



Long



5,149



5.6975   GBP




3p ordinary

  CFD  



Long



8,685



5.6609   GBP




3p ordinary

  CFD  



Long



10,672



5.6966   GBP




3p ordinary

  CFD  



Long



58,129



5.7001   GBP




3p ordinary

  SWAP  



Long



130,611



5.6677   GBP




3p ordinary

  CFD  



Long



186,820



5.6699   GBP




3p ordinary

  SWAP  



Short



816



5.6761   GBP




3p ordinary

  SWAP  



Short



1,447



5.6834   GBP




3p ordinary

  SWAP  



Short



2,631



5.6665   GBP




3p ordinary

  SWAP  



Short



3,135



5.6850   GBP




3p ordinary

  SWAP  



Short



3,159



5.6827   GBP




3p ordinary

  SWAP  



Short



3,664



5.6881   GBP




3p ordinary

  CFD  



Short



22,097



5.6711   GBP




3p ordinary

  SWAP  



Short



101,695



5.6731   GBP




(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying



Class of relevant security



Product description e.g. call option



Writing, purchasing, selling, varying etc.



Number of securities to which option relates



Exercise price per unit



Type


e.g. American, European etc.



Expiry date



Option money paid/ received per unit





 



 



 



 



 



 



 



 




(ii) Exercise



Class of relevant security



Product description


e.g. call option



Exercising/ exercised against



Number of securities



Exercise price per unit





 



 



 



 



 


 




(d) Other dealings (including subscribing for new securities)



Class of relevant security



Nature of dealing


e.g. subscription, conversion



Details



Price per unit (if applicable)





 



 


 



 



 




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:


Irrevocable commitments and letters of intent should not be included. 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?
NO 


Date of disclosure:

18 Oct 2019




Contact name:

Large Holdings Regulatory Operations




Telephone number:

020 3134 7213




Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel’s Market Surveillance Unit.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
View source version on businesswire.com: https://www.businesswire.com/news/home/20191018005263/en/

BARCLAYS PLC