FORM 8.3 - SOPHOS GROUP PLC - Amendment

LONDON--()-- 

FORM 8.3 - Amendment to Purchase

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:

16 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:

12,598,161

2.58%

1,623,008

0.33%

 

(2)

Cash-settled derivatives:

208,299

0.04%

8,551,872

1.75%

 

(3)

Stock-settled derivatives (including options)
and agreements to purchase/sell:

0

0.00%

0

0.00%

 
 
TOTAL:

12,806,460

2.62%

10,174,880

2.08%

 

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

17

5.7020 GBP

3p ordinary

Purchase

37

5.7040 GBP

3p ordinary

Purchase

104

5.7000 GBP

3p ordinary

Purchase

294

5.7200 GBP

3p ordinary

Purchase

402

5.7050 GBP

3p ordinary

Purchase

525

5.7140 GBP

3p ordinary

Purchase

597

5.7220 GBP

3p ordinary

Purchase

629

5.7316 GBP

3p ordinary

Purchase

1,098

5.7370 GBP

3p ordinary

Purchase

1,519

5.6780 GBP

3p ordinary

Purchase

1,565

5.7124 GBP

3p ordinary

Purchase

2,067

5.7210 GBP

3p ordinary

Purchase

2,341

5.7247 GBP

3p ordinary

Purchase

2,765

5.7116 GBP

3p ordinary

Purchase

6,275

5.7111 GBP

3p ordinary

Purchase

12,648

5.6985 GBP

3p ordinary

Purchase

15,000

5.7319 GBP

3p ordinary

Purchase

16,689

5.7170 GBP

3p ordinary

Purchase

16,691

5.7392 GBP

3p ordinary

Purchase

17,912

5.7208 GBP

3p ordinary

Purchase

19,242

5.7095 GBP

3p ordinary

Purchase

21,576

5.7161 GBP

3p ordinary

Purchase

25,107

5.7201 GBP

3p ordinary

Purchase

49,504

5.7165 GBP

3p ordinary

Purchase

113,050

5.6879 GBP

3p ordinary

Purchase

277,322

5.6816 GBP

3p ordinary

Purchase

524,593

5.6791 GBP

3p ordinary

Purchase

3,128,161

5.6980 GBP

3p ordinary

Sale

51

5.7360 GBP

3p ordinary

Sale

101

5.6980 GBP

3p ordinary

Sale

294

5.7200 GBP

3p ordinary

Sale

402

5.7050 GBP

3p ordinary

Sale

549

5.7370 GBP

3p ordinary

Sale

567

5.7210 GBP

3p ordinary

Sale

597

5.7220 GBP

3p ordinary

Sale

844

5.6782 GBP

3p ordinary

Sale

903

5.7140 GBP

3p ordinary

Sale

1,000

5.7026 GBP

3p ordinary

Sale

1,500

5.7310 GBP

3p ordinary

Sale

2,153

5.7470 GBP

3p ordinary

Sale

3,590

5.7082 GBP

3p ordinary

Sale

4,557

5.6992 GBP

3p ordinary

Sale

5,790

5.6780 GBP

3p ordinary

Sale

6,909

5.7014 GBP

3p ordinary

Sale

7,875

5.7201 GBP

3p ordinary

Sale

8,645

5.7161 GBP

3p ordinary

Sale

13,000

5.7067 GBP

3p ordinary

Sale

13,957

5.7034 GBP

3p ordinary

Sale

14,005

5.7318 GBP

3p ordinary

Sale

14,663

5.7164 GBP

3p ordinary

Sale

16,816

5.7148 GBP

3p ordinary

Sale

104,254

5.7051 GBP

3p ordinary

Sale

100,000

5.7249 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

334

5.7029 GBP

3p ordinary

CFD

Long

423

5.7212 GBP

3p ordinary

SWAP

Long

666

5.7025 GBP

3p ordinary

SWAP

Long

689

5.7248 GBP

3p ordinary

SWAP

Long

993

5.7176 GBP

3p ordinary

CFD

Long

36,954

5.7075 GBP

3p ordinary

SWAP

Long

90,718

5.7032 GBP

3p ordinary

SWAP

Short

547

5.7019 GBP

3p ordinary

SWAP

Short

615

5.7015 GBP

3p ordinary

CFD

Short

1,600

5.7487 GBP

3p ordinary

SWAP

Short

2,363

5.7131 GBP

3p ordinary

SWAP

Short

2,691

5.7340 GBP

3p ordinary

SWAP

Short

10,885

5.7141 GBP

3p ordinary

SWAP

Short

12,648

9.6068 USD

3p ordinary

CFD

Short

19,242

5.7095 GBP

3p ordinary

CFD

Short

72,780

5.6784 GBP

3p ordinary

SWAP

Short

112,499

5.6889 GBP

3p ordinary

SWAP

Short

189,225

5.6805 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: 678590
Time of Receipt (offset from UTC): 20191018T151723+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC