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: 15 November 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:

17,320,887

3.53%

11,153,241

2.27%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

118,694

0.02%

15,983,811

3.26%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

(4)

 

 

 

 

TOTAL:

17,439,581

3.55%

27,137,052

5.53%

 

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

558

5.6870 GBP
3p ordinary

Purchase

589

5.6920 GBP
3p ordinary

Purchase

1,207

5.6880 GBP
3p ordinary

Purchase

1,238

5.6846 GBP
3p ordinary

Purchase

1,610

5.6805 GBP
3p ordinary

Purchase

5,587

5.6976 GBP
3p ordinary

Purchase

5,590

5.6949 GBP
3p ordinary

Purchase

5,602

5.6860 GBP
3p ordinary

Purchase

6,103

5.6900 GBP
3p ordinary

Purchase

6,746

5.6834 GBP
3p ordinary

Purchase

6,796

5.6818 GBP
3p ordinary

Purchase

7,803

5.7000 GBP
3p ordinary

Purchase

34,877

5.6825 GBP
3p ordinary

Purchase

41,121

5.6994 GBP
3p ordinary

Purchase

679,875

5.6820 GBP
3p ordinary

Sale

365

5.6790 GBP
3p ordinary

Sale

370

5.7000 GBP
3p ordinary

Sale

388

5.6760 GBP
3p ordinary

Sale

495

5.6908 GBP
3p ordinary

Sale

558

5.6870 GBP
3p ordinary

Sale

589

5.6920 GBP
3p ordinary

Sale

756

5.6780 GBP
3p ordinary

Sale

838

5.6874 GBP
3p ordinary

Sale

1,000

5.6855 GBP
3p ordinary

Sale

1,045

5.6835 GBP
3p ordinary

Sale

1,092

5.6730 GBP
3p ordinary

Sale

1,099

5.6810 GBP
3p ordinary

Sale

1,329

5.6868 GBP
3p ordinary

Sale

2,415

5.6929 GBP
3p ordinary

Sale

2,728

5.6880 GBP
3p ordinary

Sale

4,868

5.6865 GBP
3p ordinary

Sale

4,868

5.6860 GBP
3p ordinary

Sale

8,803

5.6900 GBP
3p ordinary

Sale

20,224

5.6872 GBP
3p ordinary

Sale

20,298

5.6877 GBP
3p ordinary

Sale

23,346

5.6824 GBP
3p ordinary

Sale

45,104

5.6997 GBP
3p ordinary

Sale

54,727

5.6876 GBP
3p ordinary

Sale

70,273

5.6861 GBP
3p ordinary

Sale

75,375

5.6985 GBP
3p ordinary

Sale

123,283

5.6723 GBP
3p ordinary

Sale

700,000

5.6777 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

5.6855 GBP
3p ordinary

CFD

Long

4,741

5.6852 GBP
3p ordinary

SWAP

Long

5,240

5.6849 GBP
3p ordinary

CFD

Long

7,536

5.6995 GBP
3p ordinary

SWAP

Long

10,655

5.6969 GBP
3p ordinary

SWAP

Long

57,224

5.6992 GBP
3p ordinary

CFD

Long

123,283

5.6722 GBP
3p ordinary

SWAP

Short

4

5.6950 GBP
3p ordinary

SWAP

Short

1,736

5.6922 GBP
3p ordinary

SWAP

Short

5,236

5.7000 GBP
3p ordinary

CFD

Short

5,587

5.6976 GBP
3p ordinary

CFD

Short

5,590

5.6949 GBP
3p ordinary

SWAP

Short

29,300

5.6828 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 Nov 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: 680461
Time of Receipt (offset from UTC): 20191118T100724+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC