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:

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.

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 678578
Time of Receipt (offset from UTC): 20191018T123803+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC