Form 8.3 - SOPHOS

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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

 

(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

SOPHOS GROUP PLC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

23 October 2019

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

NO

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:

17,176,768

3.52%

5,772,598

1.18%

 

(2)

Cash-settled derivatives:

194,696

0.04%

16,156,723

3.31%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

17,371,464

3.56%

21,929,321

4.49%

 

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

478

5.6598 GBP
3p ordinary Purchase

478

5.6600 GBP
3p ordinary Purchase

726

5.6621 GBP
3p ordinary Purchase

781

5.6620 GBP
3p ordinary Purchase

1,526

5.6690 GBP
3p ordinary Purchase

2,151

5.6689 GBP
3p ordinary Purchase

2,215

5.6680 GBP
3p ordinary Purchase

3,068

5.6700 GBP
3p ordinary Purchase

3,498

5.6684 GBP
3p ordinary Purchase

4,675

5.6627 GBP
3p ordinary Purchase

6,108

5.6622 GBP
3p ordinary Purchase

6,915

5.6645 GBP
3p ordinary Purchase

8,213

5.6644 GBP
3p ordinary Purchase

8,254

5.6678 GBP
3p ordinary Purchase

11,132

5.6673 GBP
3p ordinary Purchase

15,639

5.6637 GBP
3p ordinary Purchase

16,124

5.6597 GBP
3p ordinary Purchase

24,362

5.6614 GBP
3p ordinary Purchase

25,002

5.6676 GBP
3p ordinary Purchase

89,075

5.6633 GBP
3p ordinary Purchase

144,305

5.6656 GBP
3p ordinary Sale

423

5.6564 GBP
3p ordinary Sale

577

5.6535 GBP
3p ordinary Sale

773

5.6580 GBP
3p ordinary Sale

1,526

5.6690 GBP
3p ordinary Sale

2,337

5.6680 GBP
3p ordinary Sale

2,498

5.6646 GBP
3p ordinary Sale

16,602

5.6600 GBP
3p ordinary Sale

25,509

5.6613 GBP
3p ordinary Sale

211,172

5.6686 GBP
3p ordinary Sale

4,134,146

5.6620 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

100

5.6619 GBP
3p ordinary SWAP Long

423

5.6564 GBP
3p ordinary SWAP Long

577

5.6535 GBP
3p ordinary CFD Long

7,567

5.6595 GBP
3p ordinary SWAP Long

8,935

5.6671 GBP
3p ordinary CFD Long

12,852

5.6578 GBP
3p ordinary SWAP Short

1,388

5.6621 GBP
3p ordinary SWAP Short

1,862

5.6689 GBP
3p ordinary CFD Short

2,624

5.6716 GBP
3p ordinary CFD Short

3,199

5.6627 GBP
3p ordinary SWAP Short

5,463

5.6623 GBP
3p ordinary SWAP Short

6,915

5.6645 GBP
3p ordinary SWAP Short

18,396

5.6600 GBP
3p ordinary CFD Short

25,002

5.6676 GBP
3p ordinary SWAP Short

90,730

5.6633 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:

24 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: 679025
Time of Receipt (offset from UTC): 20191024T125216+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC