Form 8.3 - ARRIS GROUP INC

LONDON--()--

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 ARRIS GROUP INC NEW
  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: 4 May 2015
(f) In addition to the company in 1(c) above, is the discloser making YES:
  disclosures in respect of any other party to the offer? PACE PLC

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:       ORD            
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 6,165 0.00% 236,300 0.16%
           
(2) Cash-settled derivatives:
211,531 0.14% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 49,100 0.03% 44,400 0.03%
           
 
TOTAL: 266,796 0.18% 280,700 0.19%

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  
ORD Purchase 3 34.3400 USD
ORD Purchase 4 34.3475 USD
ORD Purchase 100 34.2400 USD
ORD Purchase 100 34.3697 USD
ORD Purchase 100 34.6200 USD
ORD Purchase 215 34.2900 USD
ORD Purchase 300 34.2033 USD
ORD Purchase 300 34.2566 USD
ORD Purchase 300 34.2866 USD
ORD Purchase 303 34.3566 USD
ORD Purchase 353 34.3629 USD
ORD Purchase 400 34.2025 USD
ORD Purchase 400 34.2363 USD
ORD Purchase 400 34.4250 USD
ORD Purchase 869 34.3171 USD
ORD Purchase 1,405 34.4500 USD
ORD Purchase 1,798 34.3200 USD
ORD Purchase 3,400 34.3338 USD
ORD Purchase 4,100 34.2961 USD
ORD Purchase 6,236 34.3071 USD
ORD Purchase 7,262 34.2903 USD
ORD Purchase 7,528 34.2902 USD
ORD Purchase 8,070 34.2694 USD
ORD Purchase 8,431 34.2770 USD
ORD Purchase 10,800 34.2746 USD
ORD Purchase 11,800 34.3600 USD
ORD Purchase 11,900 34.2644 USD
ORD Purchase 12,103 34.3028 USD
ORD Purchase 13,738 34.3002 USD
ORD Purchase 51,834 34.2918 USD
ORD Sale 3 34.3466 USD
ORD Sale 3 34.3700 USD
ORD Sale 50 34.2000 USD
ORD Sale 100 34.1900 USD
ORD Sale 100 34.2400 USD
ORD Sale 200 34.2425 USD
ORD Sale 200 34.5200 USD
ORD Sale 300 34.2566 USD
ORD Sale 303 34.2444 USD
ORD Sale 1,065 34.3200 USD
ORD Sale 1,400 34.4314 USD
ORD Sale 1,505 34.4380 USD
ORD Sale 2,000 34.3147 USD
ORD Sale 2,700 34.2859 USD
ORD Sale 2,763 34.2530 USD
ORD Sale 4,700 34.2799 USD
ORD Sale 6,480 34.3149 USD
ORD Sale 7,395 34.2902 USD
ORD Sale 8,240 34.3022 USD
ORD Sale 9,900 34.2542 USD
ORD Sale 10,200 34.2808 USD
ORD Sale 10,905 34.3162 USD
ORD Sale 11,800 34.3600 USD
ORD Sale 80,426 34.2892 USD

(b) Cash-settled derivative transactions

Class of relevant security   Product description

e.g. CFD

  Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

  Number of reference securities   Price per unit

(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”

(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”

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?   YES
Date of disclosure: 5 May 2015
Contact name: Jay Supaya
Telephone number: 020 7773 0635

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

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) 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   Barclays PLC.
are being disclosed:  
Name of offeror/offeree in relation to whose

ARRIS GROUP INC NEW

relevant securities this from relates:  

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class   Product   Writing,   Number   Exercise   Type   Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
      relates      
ORD Put Options Purchased -2,100 27.5000 American 15 May 2015
ORD Put Options Purchased -2,100 27.5000 American 21 Aug 2015
ORD Put Options Purchased -900 30.0000 American 21 Aug 2015
ORD Put Options Purchased -100 32.5000 American 15 May 2015
ORD Put Options Written 2,100 25.0000 American 15 May 2015
ORD Put Options Written 1,800 25.0000 American 21 Aug 2015
ORD Put Options Written 400 30.0000 American 15 May 2015
ORD Put Options Written 400 35.0000 American 15 May 2015
ORD Put Options Written 4,200 37.5000 American 15 May 2015
ORD Put Options Written 600 40.0000 American 15 May 2015
ORD Call Options Purchased 700 25.0000 American 21 Aug 2015
ORD Call Options Purchased 13,500 30.0000 American 15 May 2015
ORD Call Options Purchased 100 30.0000 American 20 Nov 2015
ORD Call Options Purchased 1,500 32.5000 American 15 May 2015
ORD Call Options Purchased 300 32.5000 American 19 Jun 2015
ORD Call Options Purchased 1,800 35.0000 American 21 Aug 2015
ORD Call Options Purchased 100 35.0000 American 20 Nov 2015
ORD Call Options Purchased 21,300 37.5000 American 15 May 2015
ORD Call Options Purchased 300 37.5000 American 21 Aug 2015
ORD Call Options Written -500 22.5000 American 15 May 2015
ORD Call Options Written -100 25.0000 American 15 May 2015
ORD Call Options Written -600 27.5000 American 15 May 2015
ORD Call Options Written -900 32.5000 American 21 Aug 2015
ORD Call Options Written -26,400 35.0000 American 15 May 2015
ORD Call Options Written -200 35.0000 American 19 Jun 2015
ORD Call Options Written -1,400 37.5000 American 19 Jun 2015
ORD Call Options Written -5,300 40.0000 American 15 May 2015
ORD Call Options Written -3,800 40.0000 American 19 Jun 2015

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 cash-settled derivatives.

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 disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 464288
Time of Receipt (offset from UTC): 20150505T132627+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC