REG-BARCLAYS PLC Form 8.3 - SOPHOS GROUP PLC

BarclaysAnnouncement

21/10/2019 13:15

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 interests and short positions disclosed, if different from 1(a):


The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.



 





(c) Name of offeror/offeree in relation to whose relevant securities this form relates:


Use a separate form for each offeror/offeree



SOPHOS GROUP PLC





(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:


For an opening position disclosure, state the latest practicable date prior to the disclosure



18 October 2019





(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?


If it is a cash offer or possible cash offer, state “N/A”



NO




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:

19,205,354



3.93%



4,337,396



0.89%








 



(2)


Cash-settled derivatives:









207,203



0.04%



15,241,823



3.12%








 



(3)


Stock-settled derivatives (including options)







and agreements to purchase/sell:

0



0.00%



0



0.00%








 







 



TOTAL:

19,412,557



3.98%



19,579,219



4.01%








 


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

45


5.6740 GBP


3p ordinary
Purchase

457


5.6620 GBP


3p ordinary
Purchase

485


5.6480 GBP


3p ordinary
Purchase

566


5.6625 GBP


3p ordinary
Purchase

613


5.6700 GBP


3p ordinary
Purchase

613


5.6680 GBP


3p ordinary
Purchase

623


5.6784 GBP


3p ordinary
Purchase

631


5.6650 GBP


3p ordinary
Purchase

709


5.6660 GBP


3p ordinary
Purchase

1,032


5.6520 GBP


3p ordinary
Purchase

2,598


5.6670 GBP


3p ordinary
Purchase

5,345


5.6570 GBP


3p ordinary
Purchase

5,560


5.6545 GBP


3p ordinary
Purchase

9,204


5.6639 GBP


3p ordinary
Purchase

11,407


5.6608 GBP


3p ordinary
Purchase

11,795


5.6560 GBP


3p ordinary
Purchase

15,384


5.6599 GBP


3p ordinary
Purchase

26,833


5.6643 GBP


3p ordinary
Purchase

57,689


5.6646 GBP


3p ordinary
Purchase

63,599


5.6574 GBP


3p ordinary
Purchase

64,179


5.6621 GBP


3p ordinary
Purchase

79,421


5.6600 GBP


3p ordinary
Purchase

561,035


5.6580 GBP


3p ordinary
Sale

177


5.6580 GBP


3p ordinary
Sale

197


5.6702 GBP


3p ordinary
Sale

485


5.6480 GBP


3p ordinary
Sale

613


5.6700 GBP


3p ordinary
Sale

709


5.6660 GBP


3p ordinary
Sale

1,244


5.6588 GBP


3p ordinary
Sale

1,289


5.6560 GBP


3p ordinary
Sale

3,933


5.6620 GBP


3p ordinary
Sale

4,019


5.6561 GBP


3p ordinary
Sale

7,193


5.6636 GBP


3p ordinary
Sale

8,496


5.6619 GBP


3p ordinary
Sale

9,091


5.6616 GBP


3p ordinary
Sale

12,613


5.6680 GBP


3p ordinary
Sale

13,051


5.6651 GBP


3p ordinary
Sale

28,212


5.6582 GBP


3p ordinary
Sale

54,965


5.6632 GBP


3p ordinary
Sale

105,611


5.6695 GBP


3p ordinary
Sale

113,587


5.6600 GBP


3p ordinary
Sale

252,542


5.6578 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

500


5.6635 GBP


3p ordinary
SWAP
Long

658


5.6679 GBP


3p ordinary
SWAP
Long

14,252


5.6597 GBP


3p ordinary
CFD
Long

18,211


5.6536 GBP


3p ordinary
CFD
Long

30,959


5.6628 GBP


3p ordinary
CFD
Long

54,965


5.6631 GBP


3p ordinary
CFD
Long

105,611


5.6694 GBP


3p ordinary
CFD
Long

221,978


5.6575 GBP


3p ordinary
SWAP
Short

543


5.6779 GBP


3p ordinary
SWAP
Short

625


5.6640 GBP


3p ordinary
SWAP
Short

631


5.6650 GBP


3p ordinary
SWAP
Short

773


5.6623 GBP


3p ordinary
SWAP
Short

2,598


5.6670 GBP


3p ordinary
SWAP
Short

2,801


5.6740 GBP


3p ordinary
SWAP
Short

6,969


5.6597 GBP


3p ordinary
CFD
Short

26,195


5.6643 GBP


3p ordinary
SWAP
Short

38,603


5.6652 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:



21 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/20191021005358/en/

BARCLAYS PLC