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:

29 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:

16,534,120

3.38%

10,553,078

2.16%

 

(2)

Cash-settled derivatives:

158,783

0.03%

16,242,162

3.32%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

16,692,903

3.42%

26,795,240

5.48%

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

114

5.6840 GBP

3p ordinary Purchase

256

5.6830 GBP

3p ordinary Purchase

960

5.6728 GBP

3p ordinary Purchase

1,250

5.6956 GBP

3p ordinary Purchase

1,877

5.6788 GBP

3p ordinary Purchase

2,285

5.6817 GBP

3p ordinary Purchase

2,639

5.6870 GBP

3p ordinary Purchase

6,586

5.6860 GBP

3p ordinary Purchase

12,241

5.6970 GBP

3p ordinary Purchase

15,149

5.6775 GBP

3p ordinary Purchase

20,270

5.6832 GBP

3p ordinary Purchase

33,496

5.6850 GBP

3p ordinary Purchase

76,917

5.6820 GBP

3p ordinary Purchase

298,535

5.6766 GBP

3p ordinary Sale

144

5.6780 GBP

3p ordinary Sale

256

5.6830 GBP

3p ordinary Sale

283

5.7040 GBP

3p ordinary Sale

539

5.6820 GBP

3p ordinary Sale

1,015

5.6893 GBP

3p ordinary Sale

1,845

5.6870 GBP

3p ordinary Sale

2,103

5.6886 GBP

3p ordinary Sale

3,045

5.6927 GBP

3p ordinary Sale

4,013

5.6852 GBP

3p ordinary Sale

35,006

5.6863 GBP

3p ordinary Sale

295,119

5.6843 GBP

3p ordinary Sale

1,368,700

5.6800 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

5.6819 GBP

3p ordinary SWAP Long

3,037

5.6896 GBP

3p ordinary CFD Long

3,652

5.6795 GBP

3p ordinary CFD Long

8,120

5.6740 GBP

3p ordinary SWAP Long

26,570

5.6916 GBP

3p ordinary SWAP Short

308

5.6779 GBP

3p ordinary SWAP Short

2,342

5.6859 GBP

3p ordinary CFD Short

10,841

5.7006 GBP

3p ordinary SWAP Short

17,377

5.6765 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:

30 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: 679346
Time of Receipt (offset from UTC): 20191030T102221+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC