FORM 8.3 - SOPHOS GROUP PLC

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 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: 15 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:

5,971,840

1.22%

1,882,672

0.39%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

219,110

0.04%

5,063,858

1.04%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

(4)

 

 

 

 

TOTAL:

6,190,950

1.27%

6,946,530

1.42%

 

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

100

5.7510 GBP

3p ordinary

Purchase

151

5.7579 GBP

3p ordinary

Purchase

196

5.7611 GBP

3p ordinary

Purchase

248

5.7400 GBP

3p ordinary

Purchase

263

5.7680 GBP

3p ordinary

Purchase

300

5.7780 GBP

3p ordinary

Purchase

300

5.7440 GBP

3p ordinary

Purchase

500

5.7150 GBP

3p ordinary

Purchase

734

5.7690 GBP

3p ordinary

Purchase

748

5.7210 GBP

3p ordinary

Purchase

752

5.7310 GBP

3p ordinary

Purchase

777

5.7720 GBP

3p ordinary

Purchase

812

5.7410 GBP

3p ordinary

Purchase

838

5.7730 GBP

3p ordinary

Purchase

854

5.7220 GBP

3p ordinary

Purchase

927

5.7714 GBP

3p ordinary

Purchase

1,065

5.7740 GBP

3p ordinary

Purchase

1,150

5.7540 GBP

3p ordinary

Purchase

1,524

5.7487 GBP

3p ordinary

Purchase

1,582

5.7340 GBP

3p ordinary

Purchase

1,637

5.7190 GBP

3p ordinary

Purchase

1,784

5.7245 GBP

3p ordinary

Purchase

1,883

5.7562 GBP

3p ordinary

Purchase

2,037

5.7509 GBP

3p ordinary

Purchase

2,627

5.7100 GBP

3p ordinary

Purchase

2,975

5.7492 GBP

3p ordinary

Purchase

3,139

5.7674 GBP

3p ordinary

Purchase

3,282

5.7530 GBP

3p ordinary

Purchase

4,787

5.7538 GBP

3p ordinary

Purchase

5,287

5.7360 GBP

3p ordinary

Purchase

5,562

5.7575 GBP

3p ordinary

Purchase

6,525

5.7277 GBP

3p ordinary

Purchase

8,805

5.7477 GBP

3p ordinary

Purchase

10,294

5.7532 GBP

3p ordinary

Purchase

11,494

5.7507 GBP

3p ordinary

Purchase

16,697

5.7551 GBP

3p ordinary

Purchase

23,314

5.7528 GBP

3p ordinary

Purchase

29,559

5.7463 GBP

3p ordinary

Purchase

37,951

5.7634 GBP

3p ordinary

Purchase

44,623

5.7280 GBP

3p ordinary

Purchase

47,911

5.7508 GBP

3p ordinary

Purchase

90,198

5.7541 GBP

3p ordinary

Purchase

110,144

5.7402 GBP

3p ordinary

Purchase

189,043

5.7563 GBP

3p ordinary

Purchase

222,462

5.7659 GBP

3p ordinary

Purchase

236,000

5.7504 GBP

3p ordinary

Purchase

411,011

5.7270 GBP

3p ordinary

Sale

100

5.7510 GBP

3p ordinary

Sale

113

5.7546 GBP

3p ordinary

Sale

152

5.7615 GBP

3p ordinary

Sale

200

5.7740 GBP

3p ordinary

Sale

248

5.7400 GBP

3p ordinary

Sale

263

5.7680 GBP

3p ordinary

Sale

300

5.7780 GBP

3p ordinary

Sale

300

5.7440 GBP

3p ordinary

Sale

467

5.7340 GBP

3p ordinary

Sale

500

5.7150 GBP

3p ordinary

Sale

514

5.7720 GBP

3p ordinary

Sale

669

5.7754 GBP

3p ordinary

Sale

734

5.7690 GBP

3p ordinary

Sale

740

5.7280 GBP

3p ordinary

Sale

748

5.7210 GBP

3p ordinary

Sale

752

5.7310 GBP

3p ordinary

Sale

789

5.7545 GBP

3p ordinary

Sale

812

5.7410 GBP

3p ordinary

Sale

838

5.7730 GBP

3p ordinary

Sale

848

5.7678 GBP

3p ordinary

Sale

854

5.7220 GBP

3p ordinary

Sale

1,150

5.7540 GBP

3p ordinary

Sale

1,248

5.7380 GBP

3p ordinary

Sale

1,742

5.7739 GBP

3p ordinary

Sale

2,732

5.7685 GBP

3p ordinary

Sale

14,594

5.7537 GBP

3p ordinary

Sale

29,614

5.7495 GBP

3p ordinary

Sale

41,674

5.7493 GBP

3p ordinary

Sale

47,656

5.7603 GBP

3p ordinary

Sale

56,119

5.7427 GBP

3p ordinary

Sale

60,202

5.7521 GBP

3p ordinary

Sale

68,112

5.7499 GBP

3p ordinary

Sale

71,933

5.7501 GBP

3p ordinary

Sale

119,520

5.7445 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

136

5.7694 GBP

3p ordinary

SWAP

Long

152

5.7615 GBP

3p ordinary

SWAP

Long

712

5.7675 GBP

3p ordinary

CFD

Long

1,315

5.7132 GBP

3p ordinary

CFD

Long

1,361

5.7323 GBP

3p ordinary

SWAP

Long

2,337

5.7650 GBP

3p ordinary

SWAP

Long

14,724

5.7635 GBP

3p ordinary

SWAP

Long

20,843

5.7315 GBP

3p ordinary

CFD

Long

119,520

5.7445 GBP

3p ordinary

SWAP

Short

151

5.7579 GBP

3p ordinary

SWAP

Short

831

5.7280 GBP

3p ordinary

CFD

Short

1,022

5.7507 GBP

3p ordinary

SWAP

Short

1,540

5.7402 GBP

3p ordinary

SWAP

Short

2,309

5.7616 GBP

3p ordinary

SWAP

Short

2,325

5.7282 GBP

3p ordinary

SWAP

Short

2,627

5.7100 GBP

3p ordinary

SWAP

Short

4,757

5.7501 GBP

3p ordinary

SWAP

Short

4,787

5.7538 GBP

3p ordinary

CFD

Short

5,468

5.7559 GBP

3p ordinary

SWAP

Short

5,982

5.7665 GBP

3p ordinary

CFD

Short

7,039

5.7524 GBP

3p ordinary

SWAP

Short

9,780

5.7610 GBP

3p ordinary

CFD

Short

29,559

5.7463 GBP

3p ordinary

SWAP

Short

38,420

5.7509 GBP

3p ordinary

CFD

Short

90,198

5.7541 GBP

3p ordinary

SWAP

Short

91,201

5.7370 GBP

3p ordinary

CFD

Short

189,043

5.7563 GBP

3p ordinary

CFD

Short

222,462

5.7659 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:

16 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.

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 678344
Time of Receipt (offset from UTC): 20191016T123230+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC