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:

22 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:

19,385,388

3.97%

1,624,402

0.33%

 

(2)

Cash-settled derivatives:

196,892

0.04%

16,033,794

3.28%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

19,582,280

4.01%

17,658,196

3.61%

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

120

5.6420 GBP

3p ordinary Purchase

217

5.6290 GBP

3p ordinary Purchase

280

5.6360 GBP

3p ordinary Purchase

433

5.6293 GBP

3p ordinary Purchase

517

5.6309 GBP

3p ordinary Purchase

848

5.6287 GBP

3p ordinary Purchase

1,103

5.6469 GBP

3p ordinary Purchase

1,145

5.6322 GBP

3p ordinary Purchase

1,149

5.6344 GBP

3p ordinary Purchase

2,180

5.6256 GBP

3p ordinary Purchase

5,634

5.6257 GBP

3p ordinary Purchase

9,031

5.6260 GBP

3p ordinary Purchase

14,293

5.6264 GBP

3p ordinary Purchase

26,073

5.6356 GBP

3p ordinary Purchase

26,823

5.6278 GBP

3p ordinary Purchase

39,411

5.6335 GBP

3p ordinary Purchase

42,289

5.6277 GBP

3p ordinary Purchase

55,933

5.6274 GBP

3p ordinary Purchase

250,676

5.6245 GBP

3p ordinary Purchase

366,084

5.6283 GBP

3p ordinary Sale

509

5.6421 GBP

3p ordinary Sale

597

5.6382 GBP

3p ordinary Sale

957

5.6396 GBP

3p ordinary Sale

1,000

5.6432 GBP

3p ordinary Sale

1,128

5.6408 GBP

3p ordinary Sale

2,114

5.6289 GBP

3p ordinary Sale

13,272

5.6331 GBP

3p ordinary Sale

15,157

5.6260 GBP

3p ordinary Sale

41,000

5.6335 GBP

3p ordinary Sale

722,998

5.6285 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

622

5.6392 GBP

3p ordinary

SWAP Long

1,000

5.6357 GBP

3p ordinary

SWAP Long

1,000

5.6432 GBP

3p ordinary

CFD Long

5,096

5.6305 GBP

3p ordinary

SWAP Long

8,788

5.6353 GBP

3p ordinary

SWAP Short

1,678

5.6350 GBP

3p ordinary

CFD Short

7,567

5.6124 GBP

3p ordinary

CFD Short

10,024

5.6428 GBP

3p ordinary

SWAP Short

10,455

5.6276 GBP

3p ordinary

CFD Short

25,281

5.6356 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:

23 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: 678941
Time of Receipt (offset from UTC): 20191023T123729+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC