FORM 8.3 - SOPHOS GROUP PLC AMENDMENT

LONDON--()-- 

FORM 8.3 - Amendment to Sales

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:

21 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:

21,852,908

4.45%

13,314,882

2.71%

 

(2)

Cash-settled derivatives:

127,173

0.03%

20,967,653

4.27%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

21,980,081

4.48%

34,282,535

6.98%

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

12

5.6697 GBP

3p ordinary Purchase

570

5.6720 GBP

3p ordinary Purchase

2,324

5.6660 GBP

3p ordinary Purchase

2,415

5.6609 GBP

3p ordinary Purchase

2,640

5.6395 GBP

3p ordinary Purchase

2,640

5.6400 GBP

3p ordinary Purchase

3,188

5.6604 GBP

3p ordinary Purchase

3,686

5.6640 GBP

3p ordinary Purchase

3,687

5.6620 GBP

3p ordinary Purchase

4,207

5.6582 GBP

3p ordinary Purchase

4,523

5.6680 GBP

3p ordinary Purchase

4,767

5.6540 GBP

3p ordinary Purchase

9,029

5.6583 GBP

3p ordinary Purchase

9,348

5.6600 GBP

3p ordinary Purchase

10,560

5.6365 GBP

3p ordinary Purchase

12,435

5.6638 GBP

3p ordinary Purchase

14,220

5.6700 GBP

3p ordinary Purchase

17,209

5.6617 GBP

3p ordinary Purchase

54,097

5.6591 GBP

3p ordinary Purchase

78,743

5.6650 GBP

3p ordinary Purchase

98,157

5.6568 GBP

3p ordinary Purchase

100,000

5.6726 GBP

3p ordinary Purchase

105,623

5.6533 GBP

3p ordinary Purchase

119,270

5.6594 GBP

3p ordinary Purchase

285,769

5.6560 GBP

3p ordinary Purchase

313,071

5.6556 GBP

3p ordinary Purchase

1,390,438

5.6633 GBP

3p ordinary Purchase

1,638,435

5.6734 GBP

3p ordinary Purchase

2,335,152

5.6727 GBP

3p ordinary Purchase

3,485,000

5.6634 GBP

3p ordinary Sale

550

5.6580 GBP

3p ordinary Sale

570

5.6720 GBP

3p ordinary Sale

1,546

5.6697 GBP

3p ordinary Sale

2,964

5.6660 GBP

3p ordinary Sale

3,687

5.6620 GBP

3p ordinary Sale

4,182

5.6600 GBP

3p ordinary Sale

4,455

5.6640 GBP

3p ordinary Sale

4,523

5.6680 GBP

3p ordinary Sale

14,220

5.6700 GBP

3p ordinary Sale

88,982

5.6681 GBP

3p ordinary Sale

151,817

5.6601 GBP

3p ordinary Sale

233,753

5.6656 GBP

3p ordinary Sale

350,000

5.6740 GBP

3p ordinary Sale

410,000

5.6634 GBP

3p ordinary Sale

501,126

5.6659 GBP

3p ordinary Sale

1,179,222

5.6713 GBP

3p ordinary Sale

2,425,000

5.6702 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

4

5.6650 GBP

3p ordinary SWAP Long

216

5.6800 GBP

3p ordinary SWAP Long

1,468

5.6599 GBP

3p ordinary CFD Long

4,459

5.6795 GBP

3p ordinary SWAP Long

22,667

5.6690 GBP

3p ordinary CFD Long

26,954

5.6588 GBP

3p ordinary SWAP Long

100,000

5.6670 GBP

3p ordinary SWAP Long

1,179,222

9.4589 USD

3p ordinary SWAP Short

1,448

5.6558 GBP

3p ordinary CFD Short

3,524

5.6704 GBP

3p ordinary SWAP Short

35,341

5.6648 GBP

3p ordinary SWAP Short

73,729

5.6635 GBP

3p ordinary SWAP Short

86,923

5.6599 GBP

3p ordinary SWAP Short

100,000

5.6670 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:

25 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: 680978
Time of Receipt (offset from UTC): 20191125T120539+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC